[Title 34 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 1998 Edition]
[From the U.S. Government Printing Office]


[[Page i]]

          34



          Education



          PARTS 300 to 399

                         Revised as of July 1, 1998

          CONTAINING
          A CODIFICATION OF DOCUMENTS
          OF GENERAL APPLICABILITY
          AND FUTURE EFFECT
          AS OF JULY 1, 1998

          With Ancillaries
          Published by
          the Office of the Federal Register
          National Archives and Records
          Administration
          as a Special Edition of
          the Federal Register



[[Page ii]]

                                      




                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 1998



               For sale by U.S. Government Printing Office
 Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328



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                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 34:
    Subtitle B--Regulations of the Offices of the Department 
        of Education (Continued)..............................        
        Chapter III--Office of Special Education and 
        Rehabilitative Services, Department of Education 
        (Parts 300-399).......................................       5
  Findings Aids:
    Table of CFR Titles and Chapters..........................     487
    Alphabetical List of Agencies Appearing in the CFR........     505
    List of CFR Sections Affected.............................     515



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   Cite this Code:  CFR

   To cite the regulations in this volume use title, part and
   section number. Thus,  34 CFR 300.1 refers to title 34, part
   300, section 1.

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                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
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parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

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HOW TO USE THE CODE OF FEDERAL REGULATIONS

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OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
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OBSOLETE PROVISIONS

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[[Page vii]]

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                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

July 1, 1998.



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                               THIS TITLE

    Title 34--Education is presently composed of three volumes (parts 1 
to 299, parts 300 to 399, and part 400 to End). The contents of these 
volumes represent all regulations codified under this title of the CFR 
as of July 1, 1998.

    A redesignation table appears in the Finding Aids section of the 
last volume.

    For this volume, Gregory R. Walton was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Frances D. McDonald, assisted by Alomha S. Morris.

[[Page x]]




[[Page 1]]



                           TITLE 34--EDUCATION




                  (This book contains parts 300 to 399)

  --------------------------------------------------------------------

 SUBTITLE B--Regulations of the Offices of the Department of Education 
                                (Continued)

                                                                    Part

Chapter III--Office of Special Education and Rehabilitative 
  Services, Department of Education.........................         300

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 Subtitle B--Regulations of the Offices of the Department of Education 
                               (Continued)

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CHAPTER III--OFFICE OF SPECIAL EDUCATION AND REHABILITATIVE SERVICES, DEPARTMENT OF EDUCATION




  --------------------------------------------------------------------

Part                                                                Page
300             Assistance to states for the education of 
                    children with disabilities..............           9
301             Preschool grants for children with 
                    disabilities............................          90
303             Early intervention program for infants and 
                    toddlers with disabilities..............          95
304             Removal of architectural barriers to 
                    individuals with disabilities program...         135
305             Regional Resource and Federal Centers (Eff. 
                    until Oct. 1, 1998).....................         140
307             Services for children with deaf-blindness 
                    (Eff. until Oct. 1, 1998)...............         145
309             Early education program for children with 
                    disabilities (Eff. until Oct. 1, 1998)..         157
315             Program for children with severe 
                    disabilities (Eff. until Oct. 1, 1998)..         164
316             Training personnel for the education of 
                    individuals with disabilities--parent 
                    training and information centers (Eff. 
                    until Oct. 1, 1998).....................         171
318             Training personnel for the education of 
                    individuals with disabilities--grants 
                    for personnel training (Eff. until Oct. 
                    1, 1998)................................         177
319             Training personnel for the education of 
                    individuals with disabilities--grants to 
                    State educational agencies and 
                    institutions of higher education (Eff. 
                    until Oct. 1, 1998).....................         190
320             Clearinghouses (Eff. until Oct. 1, 1998)....         196
324             Research in education of individuals with 
                    disabilities program (Eff. until Oct. 1, 
                    1998)...................................         201
325             State systems for transition services for 
                    youth with disabilities program (Eff. 
                    until Oct. 1, 1998).....................         208

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326             Secondary education and transitional 
                    services for youth with disabilities 
                    program (Eff. until Oct. 1, 1998).......         213
327             Special studies program (Eff. until Oct. 1, 
                    1998)...................................         220
328             Program for children and youth with serious 
                    emotional disturbance (Eff. until Oct. 
                    1, 1998)................................         226
330             Captioned films including videos loan 
                    service program for deaf and hard of 
                    hearing individuals (Eff. until Oct. 1, 
                    1998)...................................         231
331             Educational media and descriptive videos 
                    loan service program for individuals 
                    with disabilities (Eff. until Oct. 1, 
                    1998)...................................         232
332             Educational media research, production, 
                    distribution, and training (Eff. until 
                    Oct. 1, 1998)...........................         233
333             Technology, educational media, and materials 
                    for individuals with disabilities 
                    program (Eff. until Oct. 1, 1998).......         238
338             Postsecondary education programs for 
                    individuals with disabilities (Eff. 
                    until Oct. 1, 1998).....................         243
345             State grants program for technology-related 
                    assistance for individuals with 
                    disabilities............................         247
350             Disability and rehabilitation research 
                    projects and centers program............         266
356             Disability and rehabilitation research: 
                    Research fellowships....................         281
359             Disability and rehabilitation research: 
                    Special projects and demonstrations for 
                    spinal cord injuries....................         284
361             The State vocational rehabilitation services 
                    program.................................         287
363             The State supported employment services 
                    program.................................         339
364             State independent living services program 
                    and centers for independent living 
                    program: General provisions.............         345
365             State independent living services...........         365
366             Centers for independent living..............         368
367             Independent living services for older 
                    individuals who are blind...............         387
369             Vocational rehabilitation service projects..         394
370             Client assistance program...................         401
371             Vocational rehabilitation service projects 
                    for American Indians with disabilities..         411
376             Special projects and demonstrations for 
                    providing transitional rehabilitation 
                    services to youth with disabilities.....         416
377             Demonstration projects to increase client 
                    choice program..........................         418

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379             Projects with industry......................         424
380             Special projects and demonstrations for 
                    providing supported employment services 
                    to individuals with the most severe 
                    disabilities and technical assistance 
                    projects................................         433
381             Protection and advocacy of individual rights         437
385             Rehabilitation training.....................         443
386             Rehabilitation training: Rehabilitation 
                    long-term training......................         450
387             Experimental and innovative training........         456
388             State vocational rehabilitation unit in-
                    service training........................         458
389             Rehabilitation continuing education programs         461
390             Rehabilitation short-term training..........         463
395             Vending facility program for the blind on 
                    Federal and other property..............         464
396             Training of interpreters for individuals who 
                    are deaf and individuals who are deaf-
                    blind...................................         480
397-399

[Reserved]

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PART 300--ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES--Table of Contents




                           Subpart A--General

   Purpose, Applicability, and Regulations That Apply to This Program

Sec.
300.1  Purpose.
300.2  Applicability to State, local, and private agencies.
300.3  Regulations that apply.
300.4  Act.
300.5  Assistive technology device.
300.6  Assistive technology service.
300.7  Children with disabilities.
300.8  Free appropriate public education.
300.9  Include.
300.10  Intermediate educational unit.
300.11  Local educational agency.
300.12  Native language.
300.13  Parent.
300.14  Public agency.
300.15  Qualified.
300.16  Related services.
300.17  Special education.
300.18  Transition services.

    Subpart B--State Plans and Local Educational Agency Applications

                          State Plans--General

300.110  Condition of assistance.
300.111  Content of plan.

                          State Plans--Contents

300.121  Right to a free appropriate public education.
300.122  Timelines and ages for free appropriate public education.
300.123  Full educational opportunity goal.
300.124  [Reserved]
300.125  Full educational opportunity goal--timetable.
300.126  Full educational opportunity goal--facilities, personnel, and 
          services.
300.127  Priorities.
300.128  Identification, location, and evaluation of children with 
          disabilities.
300.129  Confidentiality of personally identifiable information.
300.130  Individualized education programs.
300.131  Procedural safeguards.
300.132  Least restrictive environment.
300.133  Protection in evaluation procedures.
300.134  Responsibility of State educational agency for all educational 
          programs.
300.135  [Reserved]
300.136  Implementation procedures--State educational agency.
300.137  Procedures for consultation.
300.138  Other Federal programs.
300.139  Comprehensive system of personnel development.
300.140  Private schools.
300.141  Recovery of funds for misclassified children.
300.142-300.143  [Reserved]
300.144  Hearing on application.
300.145  Prohibition of commingling.
300.146  Annual evaluation.
300.147  State advisory panel.
300.148  Policies and procedures for use of part B funds.
300.149  Description of use of part B funds.
300.150  State-level nonsupplanting.
300.151  Additional information if the State educational agency provides 
          direct services.
300.152  Interagency agreements.
300.153  Personnel standards.
300.154  Transition of individuals from part H to part B.

             Local Educational Agency Applications--General

300.180  Submission of application.
300.181  [Reserved]
300.182  The excess cost requirement.
300.183  Meeting the excess cost requirement.
300.184  Excess costs--computation of minimum amount.
300.185  Computation of excess costs--consolidated application.
300.186  Excess costs--limitation on use of part B funds.
300.187-300.189  [Reserved]
300.190  Consolidated applications.
300.191  [Reserved]
300.192  State regulation of consolidated applications.
300.193  State educational agency approval; disapproval.
300.194  Withholding.

             Local Educational Agency Applications--Contents

300.220  Child identification.
300.221  Confidentiality of personally identifiable information.
300.222  Full educational opportunity goal--timetable.
300.223  Facilities, personnel, and services.
300.224  Personnel development.
300.225  Priorities.
300.226  Parent involvement.
300.227  Participation in regular education programs.
300.228  [Reserved]
300.229  Excess cost.
300.230  Nonsupplanting.
300.231  Comparable services.
300.232-300.234  [Reserved]
300.235  Individualized education programs.
300.236  [Reserved]
300.237  Procedural safeguards.
300.238  Use of part B funds.
300.239  [Reserved]
300.240  Other requirements.

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               Application From Secretary of the Interior

300.260  Submission of application; approval.
300.261  Public participation.
300.262  Use of part B funds.
300.263  Applicable regulations.

                          Public Participation

300.280  Public hearings before adopting a State plan.
300.281  Notice.
300.282  Opportunity to participate; comment period.
300.283  Review of public comments before adopting plan.
300.284  Publication and availability of approved plan.

                           Subpart C--Services

                    Free Appropriate Public Education

300.300  Timelines for free appropriate public education.
300.301  Free appropriate public education--methods and payments.
300.302  Residential placement.
300.303  Proper functioning of hearing aids.
300.304  Full educational opportunity goal.
300.305  Program options.
300.306  Nonacademic services.
300.307  Physical education.
300.308  Assistive technology.

                  Priorities in the Use of Part B Funds

300.320  Definitions of ``first priority children'' and ``second 
          priority children.''
300.321  Priorities.
300.322  [Reserved]
300.323  Services to other children.
300.324  Application of local educational agency to use funds for the 
          second priority.

                    Individualized Education Programs

300.340  Definitions.
300.341  State educational agency responsibility.
300.342  When individualized education programs must be in effect.
300.343  Meetings.
300.344  Participants in meetings.
300.345  Parent participation.
300.346  Content of individualized education program.
300.347  Agency responsibilities for transition services.
300.348  Private school placements by public agencies.
300.349  Children with disabilities in parochial or other private 
          schools.
300.350  Individualized education program--accountability.

             Direct Service by the State Educational Agency

300.360  Use of local educational agency allocation for direct services.
300.361  Nature and location of services.
300.370  Use of State agency allocations.
300.371  State matching.
300.372  Applicability of nonsupplanting requirement.

              Comprehensive System of Personnel Development

300.380  General.
300.381  Adequate supply of qualified personnel.
300.382  Personnel preparation and continuing education.
300.383  Data system on personnel and personnel development.
300.384-300.387  [Reserved]

                       Subpart D--Private Schools

  Children With Disabilities in Private Schools Placed or Referred by 
                             Public Agencies

300.400  Applicability of Secs. 300.400-300.402.
300.401  Responsibility of State educational agency.
300.402  Implementation by State educational agency.
300.403  Placement of children by parents.

 Children With Disabilities Enrolled by Their Parents in Private Schools

300.450  Definition of ``private school children with disabilities.''
300.451  State educational agency responsibility.
300.452  Local educational agency responsibility.

                         Procedures for By-Pass

300.480  By-pass--general.
300.481  Provisions for services under a by-pass.

                         Due Process Procedures

300.482  Notice of intent to implement a by-pass.
300.483  Request to show cause.
300.484  Show cause hearing.
300.485  Decision.
300.486  Filing requirements.
300.487  Judicial review.

                    Subpart E--Procedural Safeguards

             Due Process Procedures for Parents and Children

300.500  Definitions of ``consent'', ``evaluation,'' and ``personally 
          identifiable''.
300.501  General responsibility of public agencies.
300.502  Opportunity to examine records.

[[Page 11]]

300.503  Independent educational evaluation.
300.504  Prior notice; parent consent.
300.505  Content of notice.
300.506  Impartial due process hearing.
300.507  Impartial hearing officer.
300.508  Hearing rights.
300.509  Hearing decision; appeal.
300.510  Administrative appeal; impartial review.
300.511  Civil action.
300.512  Timelines and convenience of hearings and reviews.
300.513  Child's status during proceedings.
300.514  Surrogate parents.
300.515  Attorneys' fees.

                   Protection in Evaluation Procedures

300.530  General.
300.531  Preplacement evaluation.
300.532  Evaluation procedures.
300.533  Placement procedures.
300.534  Reevaluation.

  Additional Procedures for Evaluating Children with Specific Learning 
                              Disabilities

300.540  Additional team members.
300.541  Criteria for determining the existence of a specific learning 
          disability.
300.542  Observation.
300.543  Written report.

                      Least Restrictive Environment

300.550  General.
300.551  Continuum of alternative placements.
300.552  Placements.
300.553  Nonacademic settings.
300.554  Children in public or private institutions.
300.555  Technical assistance and training activities.
300.556  Monitoring activities.

                     Confidentiality of Information

300.560  Definitions.
300.561  Notice to parents.
300.562  Access rights.
300.563  Record of access.
300.564  Records on more than one child.
300.565  List of types and locations of information.
300.566  Fees.
300.567  Amendment of records at parent's request.
300.568  Opportunity for a hearing.
300.569  Result of hearing.
300.570  Hearing procedures.
300.571  Consent.
300.572  Safeguards.
300.573  Destruction of information.
300.574  Children's rights.
300.575  Enforcement.
300.576  Department.

                          Department Procedures

300.580  [Reserved]
300.581  Disapproval of a State plan.
300.582  Content of notice.
300.583  Hearing official or panel.
300.584  Hearing procedures.
300.585  Initial decision; final decision.
300.586  Filing requirements.
300.587  Judicial review.
300.588  [Reserved]
300.589  Waiver of requirement regarding supplementing and supplanting 
          with part B funds.

                     Subpart F--State Administration

                                 General

300.600  Responsibility for all educational programs.
300.601  Relation of part B to other Federal programs.

                              Use of Funds

300.620  Federal funds for State administration.
300.621  Allowable costs.

                          State Advisory Panel

300.650  Establishment.
300.651  Membership.
300.652  Advisory panel functions.
300.653  Advisory panel procedures.

                       State Complaint Procedures

300.660  Adoption of State complaint procedures.
300.661  Minimum State complaint procedures.
300.662  Filing a complaint.

                 Subpart G--Allocation of Funds; Reports

                               Allocations

300.700  Special definition of the term ``State.''
300.701  State entitlement; formula.
300.702  Limitations and exclusions.
300.703  Ratable reductions.
300.704  Hold harmless provision.
300.705  Allocation for State in which by-pass is implemented for 
          private school children with disabilities.
300.706  Within-State distribution: Fiscal year 1979 and after.
300.707  Local educational agency entitlement; formula.
300.708  Reallocation of local educational agency funds.
300.709  Payments to the Secretary of the Interior for the education of 
          Indian children.
300.710  Payments to the Secretary of the Interior for Indian tribes or 
          tribal organizations.
300.711  Entitlements to jurisdictions.

[[Page 12]]

                                 Reports

300.750  Annual report of children served--report requirement.
300.751  Annual report of children served--information required in the 
          report.
300.752  Annual report of children served--certification.
300.753  Annual report of children served--criteria for counting 
          children.
300.754  Annual report of children served--other responsibilities of the 
          State educational agency.


Appendixes A and B to Part 300  [Reserved]
Appendix C to Part 300--Notice of Interpretation

    Authority: 20 U.S.C. 1411-1420, unless otherwise noted.

    Source: 57 FR 44798, Sept. 29, 1992, unless otherwise noted.



                           Subpart A--General

   Purpose, Applicability, and Regulations That Apply to this Program



Sec. 300.1  Purpose.

    The purpose of this part is--
    (a) To ensure that all children with disabilities have available to 
them a free appropriate public education that includes special education 
and related services to meet their unique needs;
    (b) To ensure that the rights of children with disabilities and 
their parents are protected;
    (c) To assist States and localities to provide for the education of 
all children with disabilities; and
    (d) To assess and ensure the effectiveness of efforts to educate 
those children.

(Authority: 20 U.S.C. 1401 Note)



Sec. 300.2  Applicability to State, local, and private agencies.

    (a) States. This part applies to each State that receives payments 
under Part B of the Act.
    (b) Public agencies within the State. The State plan is submitted by 
the State educational agency on behalf of the State as a whole. 
Therefore, the provisions of this part apply to all political 
subdivisions of the State that are involved in the education of children 
with disabilities. These would include:
    (1) The State educational agency;
    (2) Local educational agencies and intermediate educational units;
    (3) Other State agencies and schools (such as Departments of Mental 
Health and Welfare and State schools for students with deafness or 
students with blindness); and
    (4) State correctional facilities.
    (c) Private schools and facilities. Each public agency in the State 
is responsible for ensuring that the rights and protections under this 
part are given to children referred to or placed in private schools and 
facilities by that public agency. (See Secs. 300.400-300.402)

(Authority: 20 U.S.C. 1412(1), (6); 1413(a); 1413(a)(4)(B))


    Note: The requirements of this part are binding on each public 
agency that has direct or delegated authority to provide special 
education and related services in a State that receives funds under Part 
B of the Act, regardless of whether that agency is receiving funds under 
Part B.



Sec. 300.3  Regulations that apply.

    The following regulations apply to this program:
    (a) 34 CFR part 76 (State-Administered Programs) except for 
Secs. 76.780-76.782.
    (b) 34 CFR part 77 (Definitions).
    (c) 34 CFR part 79 (Intergovernmental Review of Department of 
Education Programs and Activities).
    (d) 34 CFR part 80 (Uniform Administrative Requirements for Grants 
and Cooperative Agreements to State and Local Governments).
    (e) 34 CFR part 81 (General Education Provisions Act-- Enforcement).
    (f) 34 CFR part 82 (New Restrictions on Lobbying).
    (g) 34 CFR part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace 
(Grants)).
    (h) 34 CFR part 86 (Drug-Free Schools and Campuses).
    (i) The regulations in this part--34 CFR part 300 (Assistance to 
States for Education of Children with Disabilities).

(Authority: 20 U.S.C. 1221e-3(a)(1))

                               Definitions

    Note 1: Definitions of terms that are used throughout these 
regulations are included in

[[Page 13]]

this subpart. Other terms are defined in the specific subparts in which 
they are used. Below is a list of those terms and the specific sections 
in which they are defined:

Appropriate professional requirements in the State (Sec. 300.153(a)(1))
Average per pupil expenditure in public elementary and secondary schools 
in the United States (Sec. 300.701(c))
Consent (Sec. 300.500)
Destruction (Sec. 300.560)
Direct services (Sec. 300.370(b)(1))
Education records (Sec. 300.560)
Evaluation (Sec. 300.500)
First priority children (Sec. 300.320(a)) Highest requirements in the 
State applicable to a specific profession or discipline 
(Sec. 300.153(a)(2))
Independent educational evaluation (Sec. 300.503(a)(3)(i))
Individualized education program (Sec. 300.340)
Participating agency, as used in the IEP requirements in Secs. 300.346 
and 300.347 (Sec. 300.340(b))
Participating agency, as used in the confidentiality requirements in 
Secs. 300.560-300.576 (Sec. 300.560)
Party or parties (Sec. 300.584(a))
Personally identifiable (Sec. 300.500)
Private school children with disabilities (Sec. 300.450)
Profession or discipline (Sec. 300.153(a)(3))
Public expense (Sec. 300.503(a)(3)(ii))
Second priority children (Sec. 300.320(b))
Special definition of ``State'' (Sec. 300.700)
State-approved or recognized certification, licensing, registration, or 
other comparable requirements (Sec. 300.153(a)(4))
Support services (Sec. 300.370(b)(2))

    Note 2: Below are abbreviations for selected terms that are used 
throughout these regulations:

``FAPE'' means ``free appropriate public education.''
``IEP'' means ``individualized education program.''
``IEU'' means ``intermediate educational unit.''
``LEA'' means ``local educational agency.''
``LRE'' means ``least restrictive environment.''
``SEA'' means ``State educational agency.''

    As appropriate, each abbreviation is used interchangeably with its 
nonabbreviated term.



Sec. 300.4  Act.

    As used in this part, ``Act'' means the Individuals with 
Disabilities Education Act, formerly the Education of the Handicapped 
Act.

(Authority: 20 U.S.C. 1400)



Sec. 300.5  Assistive technology device.

    As used in this part, ``assistive technology device'' means any 
item, piece of equipment, or product system, whether acquired 
commercially off the shelf, modified, or customized, that is used to 
increase, maintain, or improve the functional capabilities of children 
with disabilities.

(Authority: 20 U.S.C. 1401(a)(25))



Sec. 300.6  Assistive technology service.

    As used in this part, ``assistive technology service'' means any 
service that directly assists a child with a disability in the 
selection, acquisition, or use of an assistive technology device. The 
term includes --
    (a) The evaluation of the needs of a child with a disability, 
including a functional evaluation of the child in the child's customary 
environment;
    (b) Purchasing, leasing, or otherwise providing for the acquisition 
of assistive technology devices by children with disabilities;
    (c) Selecting, designing, fitting, customizing, adapting, applying, 
retaining, repairing, or replacing assistive technology devices;
    (d) Coordinating and using other therapies, interventions, or 
services with assistive technology devices, such as those associated 
with existing education and rehabilitation plans and programs;
    (e) Training or technical assistance for a child with a disability 
or, if appropriate, that child's family; and
    (f) Training or technical assistance for professionals (including 
individuals providing education or rehabilitation services), employers, 
or other individuals who provide services to, employ, or are otherwise 
substantially involved in the major life functions of children with 
disabilities.

(Authority: 20 U.S.C. 1401(a)(26))


    Note: The definitions of ``assistive technology device'' and 
``assistive technology service'' used in this part are taken directly 
from section 602(a)(25)-(26) of the Act, but in accordance with Part B, 
the statutory reference to ``individual with a disability'' has been 
replaced with ``child with a disability.'' The Act's definitions of 
``assistive technology device'' and ``assistive technology service'' 
incorporate verbatim the definitions of these terms used in the 
Technology-

[[Page 14]]

Related Assistance for Individuals with Disabilities Act of 1988.



Sec. 300.7  Children with disabilities.

    (a)(1) As used in this part, the term ``children with disabilities'' 
means those children evaluated in accordance with Secs. 300.530-300.534 
as having mental retardation, hearing impairments including deafness, 
speech or language impairments, visual impairments including blindness, 
serious emotional disturbance, orthopedic impairments, autism, traumatic 
brain injury, other health impairments, specific learning disabilities, 
deaf-blindness, or multiple disabilities, and who because of those 
impairments need special education and related services.
    (2) The term ``children with disabilities'' for children aged 3 
through 5 may, at a State's discretion, include children--
    (i) Who are experiencing developmental delays, as defined by the 
State and as measured by appropriate diagnostic instruments and 
procedures, in one or more of the following areas: physical development, 
cognitive development, communication development, social or emotional 
development, or adaptive development; and
    (ii) Who, for that reason, need special education and related 
services.
    (b) The terms used in this definition are defined as follows:
    (1) ``Autism'' means a developmental disability significantly 
affecting verbal and nonverbal communication and social interaction, 
generally evident before age 3, that adversely affects a child's 
educational performance. Other characteristics often associated with 
autism are engagement in repetitive activities and stereotyped 
movements, resistance to environmental change or change in daily 
routines, and unusual responses to sensory experiences. The term does 
not apply if a child's educational performance is adversely affected 
primarily because the child has a serious emotional disturbance, as 
defined in paragraph (b)(9) of this section.
    (2) ``Deaf-blindness'' means concomitant hearing and visual 
impairments, the combination of which causes such severe communication 
and other developmental and educational problems that they cannot be 
accommodated in special education programs solely for children with 
deafness or children with blindness.
    (3) ``Deafness'' means a hearing impairment that is so severe that 
the child is impaired in processing linguistic information through 
hearing, with or without amplification, that adversely affects a child's 
educational performance.
    (4) ``Hearing impairment'' means an impairment in hearing, whether 
permanent or fluctuating, that adversely affects a child's educational 
performance but that is not included under the definition of deafness in 
this section.
    (5) ``Mental retardation'' means significantly subaverage general 
intellectual functioning existing concurrently with deficits in adaptive 
behavior and manifested during the developmental period that adversely 
affects a child's educational performance.
    (6) ``Multiple disabilities'' means concomitant impairments (such as 
mental retardation-blindness, mental retardation-orthopedic impairment, 
etc.), the combination of which causes such severe educational problems 
that they cannot be accommodated in special education programs solely 
for one of the impairments. The term does not include deaf-blindness.
    (7) ``Orthopedic impairment'' means a severe orthopedic impairment 
that adversely affects a child's educational performance. The term 
includes impairments caused by congenital anomaly (e.g., clubfoot, 
absence of some member, etc.), impairments caused by disease (e.g., 
poliomyelitis, bone tuberculosis, etc.), and impairments from other 
causes (e.g., cerebral palsy, amputations, and fractures or burns that 
cause contractures).
    (8) ``Other health impairment'' means having limited strength, 
vitality or alertness, due to chronic or acute health problems such as a 
heart condition, tuberculosis, rheumatic fever, nephritis, asthma, 
sickle cell anemia, hemophilia, epilepsy, lead poisoning, leukemia, or 
diabetes that adversely affects a child's educational performance.
    (9) ``Serious emotional disturbance'' is defined as follows:
    (i) The term means a condition exhibiting one or more of the 
following

[[Page 15]]

characteristics over a long period of time and to a marked degree that 
adversely affects a child's educational performance--
    (A) An inability to learn that cannot be explained by intellectual, 
sensory, or health factors;
    (B) An inability to build or maintain satisfactory interpersonal 
relationships with peers and teachers;
    (C) Inappropriate types of behavior or feelings under normal 
circumstances;
    (D) A general pervasive mood of unhappiness or depression; or
    (E) A tendency to develop physical symptoms or fears associated with 
personal or school problems.
    (ii) The term includes schizophrenia. The term does not apply to 
children who are socially maladjusted, unless it is determined that they 
have a serious emotional disturbance.
    (10) ``Specific learning disability'' means a disorder in one or 
more of the basic psychological processes involved in understanding or 
in using language, spoken or written, that may manifest itself in an 
imperfect ability to listen, think, speak, read, write, spell, or to do 
mathematical calculations. The term includes such conditions as 
perceptual disabilities, brain injury, minimal brain dysfunction, 
dyslexia, and developmental aphasia. The term does not apply to children 
who have learning problems that are primarily the result of visual, 
hearing, or motor disabilities, of mental retardation, of emotional 
disturbance, or of environmental, cultural, or economic disadvantage.
    (11) ``Speech or language impairment'' means a communication 
disorder such as stuttering, impaired articulation, a language 
impairment, or a voice impairment that adversely affects a child's 
educational performance.
    (12) ``Traumatic brain injury'' means an acquired injury to the 
brain caused by an external physical force, resulting in total or 
partial functional disability or psychosocial impairment, or both, that 
adversely affects a child's educational performance. The term applies to 
open or closed head injuries resulting in impairments in one or more 
areas, such as cognition; language; memory; attention; reasoning; 
abstract thinking; judgment; problem-solving; sensory, perceptual and 
motor abilities; psychosocial behavior; physical functions; information 
processing; and speech. The term does not apply to brain injuries that 
are congenital or degenerative, or brain injuries induced by birth 
trauma.
    (13) ``Visual impairment including blindness'' means an impairment 
in vision that, even with correction, adversely affects a child's 
educational performance. The term includes both partial sight and 
blindness.

(Authority: 20 U.S.C. 1401(a)(1))


    Note: If a child manifests characteristics of the disability 
category ``autism'' after age 3, that child still could be diagnosed as 
having ``autism'' if the criteria in paragraph (b)(1) of this section 
are satisfied.



Sec. 300.8  Free appropriate public education.

    As used in this part, the term ``free appropriate public education'' 
means special education and related services that--
    (a) Are provided at public expense, under public supervision and 
direction, and without charge;
    (b) Meet the standards of the SEA, including the requirements of 
this part;
    (c) Include preschool, elementary school, or secondary school 
education in the State involved; and
    (d) Are provided in conformity with an IEP that meets the 
requirements of Secs. 300.340-300.350.

(Authority: 20 U.S.C. 1401(a)(18))



Sec. 300.9  Include.

    As used in this part, the term ``include'' means that the items 
named are not all of the possible items that are covered, whether like 
or unlike the ones named.

(Authority: 20 U.S.C. 1417(b))



Sec. 300.10  Intermediate educational unit.

    As used in this part, the term ``intermediate educational unit'' 
means any public authority, other than an LEA, that--
    (a) Is under the general supervision of an SEA;

[[Page 16]]

    (b) Is established by State law for the purpose of providing free 
public education on a regional basis; and
    (c) Provides special education and related services to children with 
disabilities within that State.

(Authority: 20 U.S.C. 1401(a)(23))



Sec. 300.11  Local educational agency.

    (a) [Reserved]
    (b) For the purposes of this part, the term ``local educational 
agency'' also includes intermediate educational units.

(Authority: 20 U.S.C. 1401(a)(8))



Sec. 300.12  Native language.

    As used in this part, the term ``native language'' has the meaning 
given that term by section 703(a)(2) of the Bilingual Education Act, 
which provides as follows:

    The term ``native language,'' when used with reference to an 
individual of limited English proficiency, means the language normally 
used by that individual, or in the case of a child, the language 
normally used by the parents of the child.

(Authority: 20 U.S.C. 3283(a)(2); 1401(a)(22))


    Note: Section 602(a)(22) of the Act states that the term ``native 
language'' has the same meaning as the definition from section 703(a)(2) 
of the Bilingual Education Act. (The term is used in the prior notice 
and evaluation sections under Sec. 300.505(b)(2) and 
Sec. 300.532(a)(1).) In using the term, the Act does not prevent the 
following means of communication:
    (1) In all direct contact with a child (including evaluation of the 
child), communication would be in the language normally used by the 
child and not that of the parents, if there is a difference between the 
two.
    (2) For individuals with deafness or blindness, or for individuals 
with no written language, the mode of communication would be that 
normally used by the individual (such as sign language, braille, or oral 
communication).



Sec. 300.13  Parent.

    As used in this part, the term ``parent'' means a parent, a 
guardian, a person acting as a parent of a child, or a surrogate parent 
who has been appointed in accordance with Sec. 300.514. The term does 
not include the State if the child is a ward of the State.

(Authority: 20 U.S.C. 1415)


    Note: The term ``parent'' is defined to include persons acting in 
the place of a parent, such as a grandmother or stepparent with whom a 
child lives, as well as persons who are legally responsible for a 
child's welfare.



Sec. 300.14  Public agency.

    As used in this part, the term ``public agency'' includes the SEA, 
LEAs, IEUs, and any other political subdivisions of the State that are 
responsible for providing education to children with disabilities.

(Authority: 20 U.S.C. 1412(2)(B); 1412(6); 1413(a))



Sec. 300.15  Qualified.

    As used in this part, the term ``qualified'' means that a person has 
met SEA approved or recognized certification, licensing, registration, 
or other comparable requirements that apply to the area in which he or 
she is providing special education or related services.

(Authority: 20 U.S.C. 1417(b))



Sec. 300.16  Related services.

    (a) As used in this part, the term ``related services'' means 
transportation and such developmental, corrective, and other supportive 
services as are required to assist a child with a disability to benefit 
from special education, and includes speech pathology and audiology, 
psychological services, physical and occupational therapy, recreation, 
including therapeutic recreation, early identification and assessment of 
disabilities in children, counseling services, including rehabilitation 
counseling, and medical services for diagnostic or evaluation purposes. 
The term also includes school health services, social work services in 
schools, and parent counseling and training.
    (b) The terms used in this definition are defined as follows:
    (1) ``Audiology'' includes--
    (i) Identification of children with hearing loss;
    (ii) Determination of the range, nature, and degree of hearing loss, 
including referral for medical or other professional attention for the 
habilitation of hearing;

[[Page 17]]

    (iii) Provision of habilitative activities, such as language 
habilitation, auditory training, speech reading (lip-reading), hearing 
evaluation, and speech conservation;
    (iv) Creation and administration of programs for prevention of 
hearing loss;
    (v) Counseling and guidance of pupils, parents, and teachers 
regarding hearing loss; and
    (vi) Determination of the child's need for group and individual 
amplification, selecting and fitting an appropriate aid, and evaluating 
the effectiveness of amplification.
    (2) ``Counseling services'' means services provided by qualified 
social workers, psychologists, guidance counselors, or other qualified 
personnel.
    (3) ``Early identification and assessment of disabilities in 
children'' means the implementation of a formal plan for identifying a 
disability as early as possible in a child's life.
    (4) ``Medical services'' means services provided by a licensed 
physician to determine a child's medically related disability that 
results in the child's need for special education and related services.
    (5) ``Occupational therapy'' includes--
    (i) Improving, developing or restoring functions impaired or lost 
through illness, injury, or deprivation;
    (ii) Improving ability to perform tasks for independent functioning 
when functions are impaired or lost; and
    (iii) Preventing, through early intervention, initial or further 
impairment or loss of function.
    (6) ``Parent counseling and training'' means assisting parents in 
understanding the special needs of their child and providing parents 
with information about child development.
    (7) ``Physical therapy'' means services provided by a qualified 
physical therapist.
    (8) ``Psychological services'' includes--
    (i) Administering psychological and educational tests, and other 
assessment procedures;
    (ii) Interpreting assessment results;
    (iii) Obtaining, integrating, and interpreting information about 
child behavior and conditions relating to learning.
    (iv) Consulting with other staff members in planning school programs 
to meet the special needs of children as indicated by psychological 
tests, interviews, and behavioral evaluations; and
    (v) Planning and managing a program of psychological services, 
including psychological counseling for children and parents.
    (9) ``Recreation'' includes--
    (i) Assessment of leisure function;
    (ii) Therapeutic recreation services;
    (iii) Recreation programs in schools and community agencies; and
    (iv) Leisure education.
    (10) ``Rehabilitation counseling services'' means services provided 
by qualified personnel in individual or group sessions that focus 
specifically on career development, employment preparation, achieving 
independence, and integration in the workplace and community of a 
student with a disability. The term also includes vocational 
rehabilitation services provided to students with disabilities by 
vocational rehabilitation programs funded under the Rehabilitation Act 
of 1973, as amended.
    (11) ``School health services'' means services provided by a 
qualified school nurse or other qualified person.
    (12) ``Social work services in schools'' includes--
    (i) Preparing a social or developmental history on a child with a 
disability;
    (ii) Group and individual counseling with the child and family;
    (iii) Working with those problems in a child's living situation 
(home, school, and community) that affect the child's adjustment in 
school; and
    (iv) Mobilizing school and community resources to enable the child 
to learn as effectively as possible in his or her educational program.
    (13) ``Speech pathology'' includes--
    (i) Identification of children with speech or language impairments;
    (ii) Diagnosis and appraisal of specific speech or language 
impairments;
    (iii) Referral for medical or other professional attention necessary 
for the habilitation of speech or language impairments;

[[Page 18]]

    (iv) Provision of speech and language services for the habilitation 
or prevention of communicative impairments; and
    (v) Counseling and guidance of parents, children, and teachers 
regarding speech and language impairments.
    (14) ``Transportation'' includes--
    (i) Travel to and from school and between schools;
    (ii) Travel in and around school buildings; and
    (iii) Specialized equipment (such as special or adapted buses, 
lifts, and ramps), if required to provide special transportation for a 
child with a disability.

(Authority: 20 U.S.C. 1401(a)(17))


    Note: With respect to related services, the Senate Report states:
    The Committee bill provides a definition of related services, making 
clear that all such related services may not be required for each 
individual child and that such term includes early identification and 
assessment of handicapping conditions and the provision of services to 
minimize the effects of such conditions.

(S. Rep. No. 94-168, p. 12 (1975))

    The list of related services is not exhaustive and may include other 
developmental, corrective, or supportive services (such as artistic and 
cultural programs, and art, music, and dance therapy), if they are 
required to assist a child with a disability to benefit from special 
education.
    There are certain kinds of services that might be provided by 
persons from varying professional backgrounds and with a variety of 
operational titles, depending upon requirements in individual States. 
For example, counseling services might be provided by social workers, 
psychologists, or guidance counselors, and psychological testing might 
be done by qualified psychological examiners, psychometrists, or 
psychologists, depending upon State standards.
    Each related service defined under this part may include appropriate 
administrative and supervisory activities that are necessary for program 
planning, management, and evaluation.



Sec. 300.17  Special education.

    (a)(1) As used in this part, the term ``special education'' means 
specially designed instruction, at no cost to the parents, to meet the 
unique needs of a child with a disability, including--
    (i) Instruction conducted in the classroom, in the home, in 
hospitals and institutions, and in other settings; and
    (ii) Instruction in physical education.
    (2) The term includes speech pathology, or any other related 
service, if the service consists of specially designed instruction, at 
no cost to the parents, to meet the unique needs of a child with a 
disability, and is considered special education rather than a related 
service under State standards.
    (3) The term also includes vocational education if it consists of 
specially designed instruction, at no cost to the parents, to meet the 
unique needs of a child with a disability.
    (b) The terms in this definition are defined as follows:
    (1) ``At no cost'' means that all specially designed instruction is 
provided without charge, but does not preclude incidental fees that are 
normally charged to nondisabled students or their parents as a part of 
the regular education program.
    (2) ``Physical education'' is defined as follows:
    (i) The term means the development of--
    (A) Physical and motor fitness;
    (B) Fundamental motor skills and patterns; and
    (C) Skills in aquatics, dance, and individual and group games and 
sports (including intramural and lifetime sports).
    (ii) The term includes special physical education, adaptive physical 
education, movement education, and motor development.

(Authority: 20 U.S.C. 1401(a)(16))

    (3) Vocational education means organized educational programs that 
are directly related to the preparation of individuals for paid or 
unpaid employment, or for additional preparation for a career requiring 
other than a baccalaureate or advanced degree.

(Authority: 20 U.S.C. 1401(16))


    Note 1: The definition of special education is a particularly 
important one under these regulations, since a child does not have a 
disability under this part unless he or she needs special education. 
(See the definition of children with disabilities in Sec. 300.7.) The 
definition of related services (Sec. 300.16) also depends on this 
definition, since a related service must be necessary for a child to 
benefit from special education. Therefore, if a child does not need 
special education, there can be no related services, and the child is 
not a child

[[Page 19]]

with a disability and is therefore not covered under the Act.


    Note 2: The above definition of vocational education is taken from 
the Vocational Education Act of 1963, as amended by Public Law 94-482. 
Under that Act, ``vocational education'' includes industrial arts and 
consumer and homemaking education programs.

[57 FR 44798, Sept. 29, 1992; 57 FR 48694, Oct. 27, 1992]



Sec. 300.18  Transition services.

    (a) As used in this part, ``transition services'' means a 
coordinated set of activities for a student, designed within an outcome-
oriented process, that promotes movement from school to post-school 
activities, including postsecondary education, vocational training, 
integrated employment (including supported employment), continuing and 
adult education, adult services, independent living, or community 
participation.
    (b) The coordinated set of activities described in paragraph (a) of 
this section must--
    (1) Be based on the individual student's needs, taking into account 
the student's preferences and interests; and
    (2) Include--
    (i) Instruction;
    (ii) Community experiences;
    (iii) The development of employment and other post-school adult 
living objectives; and
    (iv) If appropriate, acquisition of daily living skills and 
functional vocational evaluation.

(Authority: 20 U.S.C. 1401(a)(19))


    Note: Transition services for students with disabilities may be 
special education, if they are provided as specially designed 
instruction, or related services, if they are required to assist a 
student with a disability to benefit from special education. The list of 
activities in paragraph (b) is not intended to be exhaustive.

[57 FR 44798, Sept. 29, 1992; 57 FR 48694, Oct. 27, 1992]



    Subpart B--State Plans and Local Educational Agency Applications

                          State Plans--General



Sec. 300.110  Condition of assistance.

    In order to receive funds under part B of the Act for any fiscal 
year, a State must submit a State plan to the Secretary through its SEA, 
which plan shall be effective for a period of 3 fiscal years.

(Authority: 20 U.S.C. 1231g, 1412, 1413)


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.111  Content of plan.

    Each State plan must contain the provisions required in 
Secs. 300.121-300.154.
[57 FR 48694, Oct. 27, 1992]

                          State Plans--Contents



Sec. 300.121  Right to a free appropriate public education.

    (a) Each State plan must include information that shows that the 
State has in effect a policy that ensures that all children with 
disabilities have the right to FAPE within the age ranges and timelines 
under Sec. 300.122.
    (b) The information must include a copy of each State statute, court 
order, State Attorney General opinion, and other State documents that 
show the source of the policy.
    (c) The information must show that the policy--
    (1) Applies to all public agencies in the State;
    (2) Applies to all children with disabilities;
    (3) Implements the priorities established under Secs. 300.320-
300.324; and

[[Page 20]]

    (4) Establishes timelines for implementing the policy, in accordance 
with Sec. 300.122.

(Authority: 20 U.S.C. 1412(1), (2)(B), (6); 1413(a)(1))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.122  Timelines and ages for free appropriate public education.

    (a) General. Each State plan must include in detail the policies and 
procedures that the State will undertake or has undertaken in order to 
ensure that FAPE is available for all children with disabilities aged 3 
through 18 within the State not later than September 1, 1978, and for 
all children with disabilities aged 3 through 21 within the State not 
later than September 1, 1980.
    (b) Documents relating to timelines. Each State plan must include a 
copy of each State statute, court order, Attorney General decision, and 
other State documents that demonstrate that the State has established 
timelines in accordance with paragraph (a) of this section.
    (c) Exception. The requirement in paragraph (a) of this section does 
not apply to a State with respect to children with disabilities aged 3, 
4, 5, 18, 19, 20, or 21 to the extent that the requirement would be 
inconsistent with State law or practice, or the order of any court, 
respecting public education for one or more of those age groups in the 
State.
    (d) Documents relating to exceptions. Each State plan must--
    (1) Describe in detail the extent that the exception in paragraph 
(c) of this section applies to the State; and
    (2) Include a copy of each State law, court order, and other 
documents that provide a basis for the exception.

(Authority: 20 U.S.C. 1412(2)(B))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.123  Full educational opportunity goal.

    Each State plan must include in detail the policies and procedures 
that the State will undertake, or has undertaken, in order to ensure 
that the State has a goal of providing full educational opportunity to 
all children with disabilities aged birth through 21.

(Authority: 20 U.S.C. 1412(2)(A))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.124  [Reserved]



Sec. 300.125  Full educational opportunity goal--timetable.

    Each State plan must contain a detailed timetable for accomplishing 
the goal of providing full educational opportunity for all children with 
disabilities.

(Authority: 20 U.S.C. 1412(2)(A))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.126  Full educational opportunity goal--facilities, personnel, and services.

    Each State plan must include a description of the kind and number of 
facilities, personnel, and services necessary throughout the State to 
meet the goal of providing full educational opportunity for all children 
with disabilities.

(Authority: 20 U.S.C. 1412(2)(A))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.127  Priorities.

    Each State plan must include information that shows that --
    (a) The State has established priorities that meet the requirements 
of Secs. 300.320-300.324;
    (b) The State priorities meet the timelines under Sec. 300.122; and

[[Page 21]]

    (c) The State has made progress in meeting those timelines.

(Authority: 20 U.S.C. 1412(3))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.128  Identification, location, and evaluation of children with disabilities.

    (a) General requirement. Each State plan must include in detail the 
policies and procedures that the State will undertake, or has 
undertaken, to ensure that--
    (1) All children with disabilities, regardless of the severity of 
their disability, and who are in need of special education and related 
services are identified, located, and evaluated; and
    (2) A practical method is developed and implemented to determine 
which children are currently receiving needed special education and 
related services and which children are not currently receiving needed 
special education and related services.
    (b) Information. Each State plan must:
    (1) Designate the State agency (if other than the SEA) responsible 
for coordinating the planning and implementation of the policies and 
procedures under paragraph (a) of this section.
    (2) Name each agency that participates in the planning and 
implementation and describe the nature and extent of its participation.
    (3) Describe the extent that--
    (i) The activities described in paragraph (a) of this section have 
been achieved under the current State plan; and
    (ii) The resources named for these activities in that plan have been 
used.
    (4) Describe each type of activity to be carried out during the next 
school year, including the role of the agency named under paragraph 
(b)(1) of this section, timelines for completing those activities, 
resources that will be used, and expected outcomes.
    (5) Describe how the policies and procedures under paragraph (a) of 
this section will be monitored to ensure that the SEA obtains--
    (i) The number of children with disabilities within each disability 
category that have been identified, located, and evaluated; and
    (ii) Information adequate to evaluate the effectiveness of those 
policies and procedures.
    (6) Describe the method the State uses to determine which children 
are currently receiving special education and related services and which 
children are not receiving special education and related services.

(Authority: 20 U.S.C. 1412(2)(C))


    Note 1: The State is responsible for ensuring that all children with 
disabilities are identified, located, and evaluated, including children 
in all public and private agencies and institutions in the State. 
Collection and use of data are subject to the confidentiality 
requirements of Secs. 300.560-300.576.


    Note 2: Under both Parts B and H of the Act, States are responsible 
for identifying, locating, and evaluating infants and toddlers from 
birth through 2 years of age who have disabilities or who are suspected 
of having disabilities. In States where the SEA and the State's lead 
agency for the Part H program are different and the Part H lead agency 
will be participating in the child find activities described in 
paragraph (a) of this section, the nature and extent of the Part H lead 
agency's participation must, under paragraph (b)(2) of this section, be 
included in the State plan. With the SEA's agreement, the Part H lead 
agency's participation may include the actual implementation of child 
find activities for infants and toddlers. The use of an interagency 
agreement or other mechanism for providing for the Part H lead agency's 
participation would not alter or diminish the responsibility of the SEA 
to ensure compliance with all child find requirements, including the 
requirement in paragraph (a)(1) of this section that all children with 
disabilities who are in need of special education and related services 
are evaluated.


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.129  Confidentiality of personally identifiable information.

    (a) Each State plan must include in detail the policies and 
procedures that

[[Page 22]]

the State will undertake, or has undertaken, in order to ensure the 
protection of the confidentiality of any personally identifiable 
information collected, used, or maintained under this part.
    (b) The Secretary shall use the criteria in Secs. 300.560-300.576 to 
evaluate the policies and procedures of the State under paragraph (a) of 
this section.

(Authority: 20 U.S.C. 1412(2)(D); 1417(c))


    Note: The confidentiality regulations were published in the Federal 
Register in final form on February 27, 1976 (41 FR 8603-8610), and met 
the requirements of Part B of the Act. Those regulations are 
incorporated in Secs. 300.560-300.576.


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.130  Individualized education programs.

    (a) Each State plan must include information that shows that each 
public agency in the State maintains records of the IEP for each child 
with disabilities, and each public agency establishes, reviews, and 
revises each program as provided in Secs. 300.340-300.350.
    (b) Each State plan must include--
    (1) A copy of each State statute, policy, and standard that 
regulates the manner in which IEPs are developed, implemented, reviewed, 
and revised; and
    (2) The procedures that the SEA follows in monitoring and evaluating 
those programs.

(Authority: 20 U.S.C. 1412(4), 1413(a)(1))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.131  Procedural safeguards.

    Each State plan must include procedural safeguards that ensure that 
the requirements of Secs. 300.500-300.514 are met.

(Authority: 20 U.S.C. 1412(5)(A))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.132  Least restrictive environment.

    (a) Each State plan must include procedures that ensure that the 
requirements of Secs. 300.550-300.556 are met.
    (b) Each State plan must include the following information:
    (1) The number of children with disabilities in the State, within 
each disability category, who are participating in regular education 
programs, consistent with Secs. 300.550-300.556.
    (2) The number of children with disabilities who are in separate 
classes or separate school facilities, or who are otherwise removed from 
the regular education environment.

(Authority: 20 U.S.C. 1412(5)(B))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.133  Protection in evaluation procedures.

    Each State plan must include procedures that ensure that the 
requirements of Secs. 300.530-300.534 are met.

(Authority: 20 U.S.C. 1412(5)(C))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.134  Responsibility of State educational agency for all educational programs.

    (a) Each State plan must include information that shows that the 
requirements of Sec. 300.600 are met.
    (b) The information under paragraph (a) of this section must include 
a copy of each State statute, State regulation, signed agreement between 
respective

[[Page 23]]

agency officials, and any other documents that show compliance with that 
paragraph.

(Authority: 20 U.S.C. 1412(6))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.135  [Reserved]



Sec. 300.136  Implementation procedures--State educational agency.

    Each State plan must describe the procedures the SEA follows to 
inform each public agency of its responsibility for ensuring effective 
implementation of procedural safeguards for the children with 
disabilities served by that public agency.

(Authority: 20 U.S.C. 1412(6))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.137  Procedures for consultation.

    Each State plan must include an assurance that in carrying out the 
requirements of section 612 of the Act, procedures are established for 
consultation with individuals involved in or concerned with the 
education of children with disabilities, including individuals with 
disabilities and parents of children with disabilities.

(Authority: 20 U.S.C. 1412(7)(A))



Sec. 300.138  Other Federal programs.

    Each State plan must provide that programs and procedures are 
established to ensure that funds received by the State or any public 
agency in the State under any other Federal program, including subpart 2 
of part D of chapter 1 of title I of the Elementary and Secondary 
Education Act of 1965, under which there is specific authority for 
assistance for the education of children with disabilities, are used by 
the State, or any public agency in the State, only in a manner 
consistent with the goal of providing FAPE for all children with 
disabilities, except that nothing in this section limits the specific 
requirements of the laws governing those Federal programs.

(Authority: 20 U.S.C. 1413(a)(2))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.139  Comprehensive system of personnel development.

    Each State plan must include the procedures required under 
Secs. 300.380-300.383.

(Authority: 20 U.S.C. 1413(a)(3))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.140  Private schools.

    Each State plan must include policies and procedures that ensure 
that the requirements of Secs. 300.400-300.403 and Secs. 300.450-300.452 
are met.

(Authority: 20 U.S.C. 1413(a)(4))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.141  Recovery of funds for misclassified children.

    Each State plan must include policies and procedures that ensure 
that the State seeks to recover any funds provided under part B of the 
Act for services to a child who is determined to be erroneously 
classified as eligible to be counted under section 611(a) or (d) of the 
Act.

(Authority: 20 U.S.C. 1413(a)(5))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.142-300.143  [Reserved]



Sec. 300.144  Hearing on application.

    Each State plan must include procedures to ensure that the SEA does 
not take any final action with respect to an application submitted by an 
LEA

[[Page 24]]

before giving the LEA reasonable notice and an opportunity for a hearing 
under Sec. 76.401(d) of this title.

(Authority: 20 U.S.C. 1413(a)(8))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.145  Prohibition of commingling.

    Each State plan must provide assurance satisfactory to the Secretary 
that funds provided under part B of the Act are not commingled with 
State funds.

(Authority: 20 U.S.C. 1413(a)(9))


    Note: This assurance is satisfied by the use of a separate 
accounting system that includes an audit trail of the expenditure of the 
part B funds. Separate bank accounts are not required. (See 34 CFR 
76.702 (Fiscal control and fund accounting procedures).)



Sec. 300.146  Annual evaluation.

    Each State plan must include procedures for evaluation at least 
annually of the effectiveness of programs in meeting the educational 
needs of children with disabilities, including evaluation of IEPs.

(Authority: 20 U.S.C. 1413(a)(11))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.147  State advisory panel.

    Each State plan must provide that the requirements of Secs. 300.650-
300.653 are met.

(Authority: 20 U.S.C. 1413(a)(12))



Sec. 300.148  Policies and procedures for use of part B funds.

    Each State plan must set forth policies and procedures designed to 
ensure that funds paid to the State under part B of the Act are spent in 
accordance with the provisions of part B, with particular attention 
given to sections 611(b), 611(c), 611(d), 612(2), and 612(3) of the Act.

(Authority: 20 U.S.C. 1413(a)(1))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.149  Description of use of part B funds.

    (a) State allocation. Each State plan must include the following 
information about the State's use of funds under Sec. 300.370 and 
Sec. 300.620:
    (1) A list of administrative positions, and a description of duties 
for each person whose salary is paid in whole or in part with those 
funds.
    (2) For each position, the percentage of salary paid with those 
funds.
    (3) A description of each administrative activity the SEA will carry 
out during the next school year with those funds.
    (4) A description of each direct service and each support service 
that the SEA will provide during the next period covered by the State 
plan with those funds, and the activities the State advisory panel will 
undertake during that period with those funds.
    (b) Local educational agency allocation. Each State plan must 
include--
    (1) An estimate of the number and percent of LEAs in the State that 
will receive an allocation under this part (other than LEAs that submit 
a consolidated application);
    (2) An estimate of the number of LEAs that will receive an 
allocation under a consolidated application;
    (3) An estimate of the number of consolidated applications and the 
average number of LEAs per application; and
    (4) A description of direct services that the SEA will provide under 
Sec. 300.360.

(Authority: 20 U.S.C.1412(6))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.150  State-level nonsupplanting.

    Each State plan must provide assurance satisfactory to the Secretary 
that funds provided under this part will be

[[Page 25]]

used so as to supplement and increase the level of Federal (other than 
funds available under this part), State, and local funds--including 
funds that are not under the direct control of the SEA or LEAs -- 
expended for special education and related services provided to children 
with disabilities under this part and in no case to supplant those 
Federal (other than funds available under this part), State, and local 
funds unless a waiver is granted in accordance with Sec. 300.589.

(Authority: 20 U.S.C. 1413(a)(9))


    Note: This requirement is distinct from the LEA nonsupplanting 
provision already contained in these regulations at Sec. 300.230. Under 
this State-level provision, the State must assure that part B funds 
distributed to LEAs and IEUs will be used to supplement and not supplant 
other Federal, State, and local funds (including funds not under the 
control of educational agencies) that would have been expended for 
special education and related services provided to children with 
disabilities in the absence of the part B funds. The portion of part B 
funds that are not distributed to LEAs or IEUs under the statutory 
formula (20 U.S.C. 1411(d)) are not subject to this nonsupplanting 
provision. See 20 U.S.C. 1411(c)(3). States may not permit LEAs or IEUs 
to use part B funds to satisfy a financial commitment for services that 
would have been paid for by a health or other agency pursuant to policy 
or practice but for the fact that these services are now included in the 
IEPs of children with disabilities.

(H.R. Rep. No. 860, 99th Cong., 21-22 (1986))



Sec. 300.151  Additional information if the State educational agency provides direct services.

    If an SEA provides FAPE for children with disabilities or provides 
them with direct services, its State plan must include the information 
required under Secs. 300.226, 300.227, 300.231, and 300.235.

(Authority: 20 U.S.C. 1413(b))



Sec. 300.152  Interagency agreements.

    (a) Each State plan must set forth policies and procedures for 
developing and implementing interagency agreements between--
    (1) The SEA; and
    (2) All other State and local agencies that provide or pay for 
services required under this part for children with disabilities.
    (b) The policies and procedures referred to in paragraph (a) of this 
section must--
    (1) Describe the role that each of those agencies plays in providing 
or paying for services required under this part for children with 
disabilities; and
    (2) Provide for the development and implementation of interagency 
agreements that--
    (i) Define the financial responsibility of each agency for providing 
children with disabilities with FAPE;
    (ii) Establish procedures for resolving interagency disputes among 
agencies that are parties to the agreements; and
    (iii) Establish procedures under which LEAs may initiate proceedings 
in order to secure reimbursement from agencies that are parties to the 
agreements or otherwise implement the provisions of the agreements.

(Authority: 20 U.S.C. 1413(a)(13))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.153  Personnel standards.

    (a) As used in this part:
    (1) Appropriate professional requirements in the State means entry 
level requirements that--
    (i) Are based on the highest requirements in the State applicable to 
the profession or discipline in which a person is providing special 
education or related services; and
    (ii) Establish suitable qualifications for personnel providing 
special education and related services under this part to children and 
youth with disabilities who are served by State, local, and private 
agencies (see Sec. 300.2).
    (2) Highest requirements in the State applicable to a specific 
profession or discipline means the highest entry-level academic degree 
needed for any State approved or recognized certification, licensing, 
registration, or other comparable requirements that apply to that 
profession or discipline.
    (3) Profession or discipline means a specific occupational category 
that--
    (i) Provides special education and related services to children with 
disabilities under this part;

[[Page 26]]

    (ii) Has been established or designated by the State; and
    (iii) Has a required scope of responsibility and degree of 
supervision.
    (4) State approved or recognized certification, licensing, 
registration, or other comparable requirements means the requirements 
that a State legislature either has enacted or has authorized a State 
agency to promulgate through rules to establish the entry-level 
standards for employment in a specific profession or discipline in that 
State.
    (b)(1) Each State plan must include policies and procedures relating 
to the establishment and maintenance of standards to ensure that 
personnel necessary to carry out the purposes of this part are 
appropriately and adequately prepared and trained.
    (2) The policies and procedures required in paragraph (b)(1) of this 
section must provide for the establishment and maintenance of standards 
that are consistent with any State approved or recognized certification, 
licensing, registration, or other comparable requirements that apply to 
the profession or discipline in which a person is providing special 
education or related services.
    (c) To the extent that a State's standards for a profession or 
discipline, including standards for temporary or emergency 
certification, are not based on the highest requirements in the State 
applicable to a specific profession or discipline, the State plan must 
include the steps the State is taking and the procedures for notifying 
public agencies and personnel of those steps and the timelines it has 
established for the retraining or hiring of personnel to meet 
appropriate professional requirements in the State.
    (d)(1) In meeting the requirements in paragraphs (b) and (c) of this 
section, a determination must be made about the status of personnel 
standards in the State. That determination must be based on current 
information that accurately describes, for each profession or discipline 
in which personnel are providing special education or related services, 
whether the applicable standards are consistent with the highest 
requirements in the State for that profession or discipline.
    (2) The information required in paragraph (d)(1) of this section 
must be on file in the SEA, and available to the public.
    (e) In identifying the highest requirements in the State for 
purposes of this section, the requirements of all State statutes and the 
rules of all State agencies applicable to serving children and youth 
with disabilities must be considered.

(Authority: 20 U.S.C. 1413(a)(14))


    Note: The regulations require that the State use its own existing 
highest requirements to determine the standards appropriate to personnel 
who provide special education and related services under this part. The 
regulations do not require States to set any specified training 
standard, such as a master's degree, for employment of personnel who 
provide services under this part. In some instances, States will be 
required to show that they are taking steps to retrain or to hire 
personnel to meet the standards adopted by the SEA that are based on 
requirements for practice in a specific profession or discipline that 
were established by other State agencies. States in this position need 
not, however, require personnel providing services under this part to 
apply for and obtain the license, registration, or other comparable 
credential required by other agencies of individuals in that profession 
or discipline. The regulations permit each State to determine the 
specific occupational categories required to provide special education 
and related services and to revise or expand these categories as needed. 
The professions or disciplines defined by the State need not be limited 
to traditional occupational categories.


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.154  Transition of individuals from part H to part B.

    Each State plan must set forth policies and procedures relating to 
the smooth transition for those individuals participating in the early 
intervention program under part H of the Act who will participate in 
preschool programs assisted under this part, including a method of 
ensuring that when a child turns age 3 an IEP, or, if consistent with 
sections 614(a)(5) and 677(d) of the Act, an individualized family 
service

[[Page 27]]

plan, has been developed and implemented by the child's third birthday.

(Authority: 20 U.S.C. 1413(a)(15))

             Local Educational Agency Applications--General



Sec. 300.180  Submission of application.

    In order to receive payments under part B of the Act for any fiscal 
year, an LEA must submit an application to the SEA.

(Authority: 20 U.S.C. 1414(a))


(Approved by the Office of Management and Budget under control number 
1820-0600)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.181  [Reserved]



Sec. 300.182  The excess cost requirement.

    An LEA may only use funds under part B of the Act for the excess 
costs of providing special education and related services for children 
with disabilities.

(Authority: 20 U.S.C. 1414(a)(1), (a)(2)(B)(i))



Sec. 300.183  Meeting the excess cost requirement.

    (a) An LEA meets the excess cost requirement if it has on the 
average spent at least the amount determined under Sec. 300.184 for the 
education of each of its children with disabilities. This amount may not 
include capital outlay or debt service.

(Authority: 20 U.S.C. 1402(20); 1414(a)(1))


    Note: The excess cost requirement means that the LEA must spend a 
certain minimum amount for the education of its children with 
disabilities before part B funds are used. This ensures that children 
served with part B funds have at least the same average amount spent on 
them, from sources other than part B, as do the children in the school 
district taken as a whole.
    The minimum amount that must be spent for the education of children 
with disabilities is computed under a statutory formula. Section 300.184 
implements this formula and gives a step-by-step method to determine the 
minimum amount. Excess costs are those costs of special education and 
related services that exceed the minimum amount. Therefore, if an LEA 
can show that it has (on the average) spent the minimum amount for the 
education of each of its children with disabilities, it has met the 
excess cost requirement, and all additional costs are excess costs. Part 
B funds can then be used to pay for these additional costs, subject to 
the other requirements of part B (priorities, etc.). In the Note under 
Sec. 300.184, there is an example of how the minimum amount is computed.



Sec. 300.184  Excess costs--computation of minimum amount.

    The minimum average amount that an LEA must spend under Sec. 300.183 
for the education of each of its children with disabilities is computed 
as follows:
    (a) Add all expenditures of the LEA in the preceding school year, 
except capital outlay and debt service--
    (1) For elementary school students, if the child with a disability 
is an elementary school student; or
    (2) For secondary school students, if the child with a disability is 
a secondary school student.
    (b) From this amount, subtract the total of the following amounts 
spent for elementary school students or for secondary school students, 
as the case may be--
    (1) Amounts the agency spent in the preceding school year from funds 
awarded under part B of the Act and titles I and VII of the Elementary 
and Secondary Education Act of 1965; and
    (2) Amounts from State and local funds that the agency spent in the 
preceding school year for--
    (i) Programs for children with disabilities;
    (ii) Programs to meet the special educational needs of educationally 
deprived children; and
    (iii) Programs of bilingual education for limited English proficient 
children.
    (c) Divide the result under paragraph (b) of this section by the 
average number of students enrolled in the agency in the preceding 
school year--
    (1) In its elementary schools, if the child with a disability is an 
elementary school student; or
    (2) In its secondary schools, if the child with a disability is a 
secondary school student.

(Authority: 20 U.S.C. 1414(a)(1))


    Note: The following is an example of how an LEA might compute the 
average minimum amount it must spend for the education of each of its 
children with disabilities, under Sec. 300.183. This example follows the 
formula in Sec. 300.184. Under the statute

[[Page 28]]

and regulations, the LEA must make one computation for children with 
disabilities in its elementary schools and a separate computation for 
children with disabilities in its secondary schools. The computation for 
elementary school students with disabilities would be done as follows:
    a. First, the LEA must determine its total amount of expenditures 
for elementary school students from all sources--local, State, and 
Federal (including part B)--in the preceding school year. Only capital 
outlay and debt service are excluded.

    Example: An LEA spent the following amounts last year for elementary 
school students (including its elementary school students with 
disabilities):

(1) From local tax funds.............................         $2,750,000
(2) From State funds.................................          7,000,000
(3) From Federal funds...............................            750,000
                                                      ------------------
                                                             10,500,000
  Of this total, $500,000 was for capital outlay and debt service
 relating to the education of elementary school students. This must be
 subtracted from total expenditures:
                                                             $10,500,000
                                                                -500,000
                                                      ------------------
  Total expenditures for elementary school students
   (less capital outlay and debt service)............         10,000,000

    b. Next, the LEA must subtract amounts spent for:
    (1) Programs for children with disabilities;
    (2) Programs to meet the special educational needs of educationally 
deprived children; and
    (3) Programs of bilingual education for limited English proficient 
children.
    These are funds that the LEA actually spent, not funds received last 
year but carried over for the current school year.
    Example: The LEA spent the following amounts for elementary school 
students last year:

(1) From funds under chapter 1 of title I of the Elementary
 and Secondary Education Act of 1965.......................      300,000
(2) From a special State program for educationally deprived
 children..................................................      200,000
(3) From a grant under part B..............................      200,000
(4) From State funds for the education of children with
 disabilities..............................................      500,000
(5) From a locally-funded program for children with
 disabilities..............................................      250,000
(6) From a grant for a bilingual education program under
 title VII of the Elementary and Secondary Education Act of
 1965......................................................      150,000
                                                            ------------
    Total..................................................    1,600,000

    (An LEA would also include any other funds it spent from Federal, 
State, or local sources for the three basic purposes: Children with 
disabilities, educationally deprived children, and bilingual education 
for limited English proficient children.)
    This amount is subtracted from the LEA's total expenditure for 
elementary school students computed above:

                                                             $10,000,000
                                                              -1,600,000
                                                           -------------
                                                               8,400,000

    c. The LEA next must divide by the average number of students 
enrolled in the elementary schools of the agency last year (including 
its students with disabilities).
    Example: Last year, an average of 7,000 students were enrolled in 
the agency's elementary schools. This must be divided into the amount 
computed under the above paragraph: $8,400,000/7,000 students = $1,200/
student.
    This figure is in the minimum amount the LEA must spend (on the 
average) for the education of each of its students with disabilities. 
Funds under part B may be used only for costs over and above this 
minimum. In this example, if the LEA has 100 elementary school students 
with disabilities, it must keep records adequate to show that it has 
spent at least $120,000 for the education of those students (100 
students times $1,200/student), not including capital outlay and debt 
service.
    This $120,000 may come from any funds except funds under part B, 
subject to any legal requirements that govern the use of those other 
funds.
    If the LEA has secondary school students with disabilities, it must 
do the same computation for them. However the amounts used in the 
computation would be those the LEA spent last year for the education of 
secondary school students, rather than for elementary school students.



Sec. 300.185  Computation of excess costs--consolidated application.

    The minimum average amount under Sec. 300.183, if two or more LEAs 
submit a consolidated application, is the average of the combined 
minimum average amounts determined under Sec. 300.184 in those agencies 
for elementary or secondary school students, as the case may be.

(Authority: 20 U.S.C. 1414(a)(1))


[[Page 29]]





Sec. 300.186  Excess costs--limitation on use of part B funds.

    (a) The excess cost requirement prevents an LEA from using funds 
provided under part B of the Act to pay for all of the costs directly 
attributable to the education of a child with a disability, subject to 
paragraph (b) of this section.
    (b) The excess cost requirement does not prevent an LEA from using 
part B funds to pay for all of the costs directly attributable to the 
education of a child with a disability in any of the age ranges three, 
four, five, eighteen, nineteen, twenty, or twenty-one, if no local or 
State funds are available for nondisabled children in that age range. 
However, the LEA must comply with the nonsupplanting and other 
requirements of this part in providing the education and services.

(Authority: 20 U.S.C. 1402(20); 1414(a)(1))



Sec. 300.187-300.189  [Reserved]



Sec. 300.190  Consolidated applications.

    (a) [Reserved]
    (b) Required applications. An SEA may require LEAs to submit a 
consolidated application for payments under part B of the Act if the SEA 
determines that an individual application submitted by an LEA will be 
disapproved because--
    (1) The agency's entitlement is less than the $7,500 minimum 
required by section 611(c)(4)(A)(i) of the Act (Sec. 300.360(a)(1)); or
    (2) The agency is unable to establish and maintain programs of 
sufficient size and scope to effectively meet the educational needs of 
children with disabilities.
    (c) Size and scope of program. The SEA shall establish standards and 
procedures for determinations under paragraph (b)(2) of this section.

(Authority: 20 U.S.C. 1414(c)(1))



Sec. 300.191  [Reserved]



Sec. 300.192  State regulation of consolidated applications.

    (a) The SEA shall issue regulations with respect to consolidated 
applications submitted under this part.
    (b) The SEA's regulations must--
    (1) Be consistent with sections 612(1)-(7) and 613(a) of the Act; 
and
    (2) Provide participating LEAs with joint responsibilities for 
implementing programs receiving payments under this part.

(Authority: 20 U.S.C. 1414(c)(2)(B))

    (c) If an IEU is required by State law to carry out this part, the 
joint responsibilities given to LEAs under paragraph (b)(2) of this 
section do not apply to the administration and disbursement of any 
payments received by the IEU. Those administrative responsibilities must 
be carried out exclusively by the IEU.

(Authority: 20 U.S.C. 1414(c)(2)(C))


(Approved by the Office of Management and Budget under control number 
1820-0600)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.193  State educational agency approval; disapproval.

    (a)-(b) [Reserved]
    (c) In carrying out its functions under this section, each SEA shall 
consider any decision resulting from a hearing under Secs. 300.506-
300.513 that is adverse to the LEA involved in the decision.

(Authority: 20 U.S.C. 1414(b)(3))



Sec. 300.194  Withholding.

    (a) If an SEA, after giving reasonable notice and an opportunity for 
a hearing to an LEA, decides that the LEA in the administration of an 
application approved by the SEA has failed to comply with any 
requirement in the application, the SEA, after giving notice to the LEA, 
shall--
    (1) Make no further payments to the LEA until the SEA is satisfied 
that there is no longer any failure to comply with the requirement; or
    (2) Consider its decision in its review of any application made by 
the LEA under Sec. 300.180; or
    (3) Both.
    (b) [Reserved]

(Authority: 20 U.S.C. 1414(b)(2))


[[Page 30]]



             Local Educational Agency Applications--Contents



Sec. 300.220  Child identification.

    Each application must include procedures that ensure that all 
children residing within the jurisdiction of the LEA who have 
disabilities, regardless of the severity of their disability, and who 
are in need of special education and related services, are identified, 
located, and evaluated, including a practical method for determining 
which children are currently receiving needed special education and 
related services and which children are not currently receiving needed 
special education and related services.

(Authority: 20 U.S.C. 1414(a)(1)(A))


    Note: The LEA is responsible for ensuring that all children with 
disabilities within its jurisdiction are identified, located, and 
evaluated, including children in all public and private agencies and 
institutions within that jurisdiction. Collection and use of data are 
subject to the confidentiality requirements of Secs. 300.560-300.576.


(Approved by the Office of Management and Budget under control number 
1820-0600)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.221  Confidentiality of personally identifiable information.

    Each application must include policies and procedures that ensure 
that the criteria in Secs. 300.560-300.574 are met.

(Authority: 20 U.S.C. 1414(a)(1)(B))



Sec. 300.222  Full educational opportunity goal--timetable.

    Each application must--
    (a) Include a goal of providing full educational opportunity to all 
children with disabilities, aged birth through 21; and
    (b) Include a detailed timetable for accomplishing the goal.

(Authority: 20 U.S.C. 1414(a)(1)(C), (D))


(Approved by the Office of Management and Budget under control number 
1820-0600)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.223  Facilities, personnel, and services.

    Each application must provide a description of the kind and number 
of facilities, personnel, and services necessary to meet the goal in 
Sec. 300.222.

(Authority: 20 U.S.C. 1414(a)(1)(E))


(Approved by the Office of Management and Budget under control number 
1820-0600)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.224  Personnel development.

    Each application must include procedures for the implementation and 
use of the comprehensive system of personnel development established by 
the SEA under Sec. 300.139.

(Authority: 20 U.S.C. 1414(a)(1)(C)(i))


(Approved by the Office of Management and Budget under control number 
1820-0600)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.225  Priorities.

    Each application must include priorities that meet the requirements 
of Secs. 300.320-300.324.

(Authority: 20 U.S.C. 1414(a)(1)(C)(ii))


(Approved by the Office of Management and Budget under control number 
1820-0600)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.226  Parent involvement.

    Each application must include procedures to ensure that, in meeting 
the goal under Sec. 300.222, the LEA makes provision for participation 
of and consultation with parents or guardians of children with 
disabilities.

(Authority: 20 U.S.C. 1414(a)(1)(C)(iii))


(Approved by the Office of Management and Budget under control number 
1820-0600)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]

[[Page 31]]



Sec. 300.227  Participation in regular education programs.

    (a) Each application must include procedures to ensure that to the 
maximum extent practicable, and consistent with Secs. 300.550-300.553, 
the LEA provides special services to enable children with disabilities 
to participate in regular educational programs.
    (b) Each application must describe--
    (1) The types of alternative placements that are available for 
children with disabilities; and
    (2) The number of children with disabilities within each disability 
category who are served in each type of placement.

(Authority: 20 U.S.C. 1414(a)(1)(C)(iv))


(Approved by the Office of Management and Budget under control number 
1820-0600)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.228  [Reserved]



Sec. 300.229  Excess cost.

    Each application must provide assurance satisfactory to the SEA that 
the LEA uses funds provided under part B of the Act only for costs that 
exceed the amount computed under Sec. 300.184 and that are directly 
attributable to the education of children with disabilities.

(Authority: 20 U.S.C. 1414(a)(2)(B))



Sec. 300.230  Nonsupplanting.

    (a) Each application must provide assurance satisfactory to the SEA 
that the LEA uses funds provided under part B of the Act to supplement 
and, to the extent practicable, increase the level of State and local 
funds expended for the education of children with disabilities, and in 
no case to supplant those State and local funds.
    (b) To meet the requirement in paragraph (a) of this section, the 
total amount or average per capita amount of State and local school 
funds budgeted by the LEA for expenditures in the current fiscal year 
for the education of children with disabilities must be at least equal 
to the total amount or average per capita amount of State and local 
school funds actually expended for the education of children with 
disabilities in the most recent preceding fiscal year for which the 
information is available. Allowance may be made for--
    (1) Decreases in enrollment of children with disabilities; and
    (2) Unusually large amounts of funds expended for such long-term 
purposes as the acquisition of equipment and the construction of school 
facilities.

(Authority: 20 U.S.C. 1414(a)(2)(B))



Sec. 300.231  Comparable services.

    (a) Each application must provide assurance satisfactory to the SEA 
that the LEA meets the requirements of this section.
    (b) An LEA may not use funds under part B of the Act to provide 
services to children with disabilities unless the LEA uses State and 
local funds to provide services to those children that, taken as a 
whole, are at least comparable to services provided to other children 
with disabilities in that LEA.
    (c) Each LEA shall maintain records that show that the LEA meets the 
requirement in paragraph (b) of this section.

(Authority: 20 U.S.C. 1414(a)(2)(C))


    Note: Under the ``comparability'' requirement, if State and local 
funds are used to provide certain services, those services must be 
provided with State and local funds to all children with disabilities in 
the LEA who need them. Part B funds may then be used to supplement 
existing services, or to provide additional services to meet special 
needs. This, of course, is subject to the other requirements of the Act, 
including the priorities under Secs. 300.320-300.324.


(Approved by the Office of Management and Budget under control number 
1820-0600)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]

[[Page 32]]



Sec. 300.232-300.234  [Reserved]



Sec. 300.235  Individualized education programs.

    Each application must include procedures to assure that the LEA 
complies with Secs. 300.340-300.350.

(Authority: 20 U.S.C. 1414(a)(5))


(Approved by the Office of Management and Budget under control number 
1820-0600)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.236  [Reserved]



Sec. 300.237  Procedural safeguards.

    Each application must provide assurance satisfactory to the SEA that 
the LEA has procedural safeguards that meet the requirements of 
Secs. 300.500-300.515.

(Authority: 20 U.S.C. 1414(a)(7))



Sec. 300.238  Use of part B funds.

    Each application must describe how the LEA will use the funds under 
part B of the Act during the next school year.

(Authority: 20 U.S.C. 1414(a))


(Approved by the Office of Management and Budget under control number 
1820-0600)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.239  [Reserved]



Sec. 300.240  Other requirements.

    Each local application must include additional procedures and 
information that the SEA may require in order to meet the State plan 
requirements of Secs. 300.121-300.153.

(Authority: 20 U.S.C. 1414(a)(6))


(Approved by the Office of Management and Budget under control number 
1820-0600)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]

               Application From Secretary of the Interior



Sec. 300.260  Submission of application; approval.

    (a) In order to receive a grant under this part, the Secretary of 
the Interior shall submit an application that--
    (1) Meets the requirements of section 612(1), 612(2)(C)-(E), 612(4), 
612(5), 612(6), and 612(7) of the Act (including monitoring and 
evaluation activities);
    (2) Meets the requirements of section 613(a), (2), (3), (4)(B), (5), 
(6), (7), (10), (11), (12), (13), (14), and (15), 613(b), and 613(e) of 
the Act;
    (3) Meets the requirements of section 614(a)(1)(A)-(B), (2)(A), (C), 
(3), (4), (5), and (7) of the Act;
    (4) Meets the requirements of this part that implement the sections 
of the Act listed in paragraphs (a)(1)-(3) of this section.
    (5) Includes a description of how the Secretary of the Interior will 
coordinate the provision of services under this part with LEAs, tribes 
and tribal organizations, and other private and Federal service 
providers;
    (6) Includes an assurance that there are public hearings, adequate 
notice of such hearings, and an opportunity for comment afforded to 
members of tribes, tribal governing bodies, and affected local school 
boards before the adoption of the policies, programs, and procedures 
required under paragraphs (a)(1)-(3) of this section;
    (7) Includes an assurance that the Secretary of the Interior will 
provide such information as the Secretary may require to comply with 
section 618(b)(1) of the Act, including data on the number of children 
and youth with disabilities served and the types and amounts of services 
provided and needed;
    (8) Includes an assurance that, by October 1, 1992, the Secretaries 
of the Interior and Health and Human Services will enter into a 
memorandum of agreement, to be provided to the Secretary, for the 
coordination of services, resources, and personnel between their 
respective Federal, State, and local offices and with SEAs and LEAs and 
other entities to facilitate the provision of services to Indian 
children with disabilities residing on or near reservations. That 
agreement must provide for

[[Page 33]]

the apportionment of responsibilities and costs, including, but not 
limited to, those related to child find, evaluation, diagnosis, 
remediation or therapeutic measures, and (where appropriate) equipment 
and medical or personal supplies, or both, as needed for a child to 
remain in school or a program; and
    (9) Includes an assurance that the Department of the Interior will 
cooperate with the Department of Education in the latter's exercise of 
monitoring and oversight of this application, and any agreements entered 
into between the Secretary of the Interior and other entities under the 
Act and will fulfill its duties under the Act.
    (b) Sections 300.581-300.585 apply to grants available to the 
Secretary of the Interior under this part.

(Authority: 20 U.S.C. 1411(f))



Sec. 300.261  Public participation.

    In the development of the application for the Department of the 
Interior, the Secretary of the Interior shall provide for public 
participation consistent with Secs. 300.280-300.284.

(Authority: 20 U.S.C. 1411(f))



Sec. 300.262  Use of part B funds.

    (a)(1) The Department of the Interior may use five percent of its 
payment under Sec. 300.709 in any fiscal year, or $350,000, whichever is 
greater, for administrative costs in carrying out the provisions of this 
part.
    (2) The remainder of the payments to the Secretary of the Interior 
under Sec. 300.709 in any fiscal year must be used in accordance with 
the priorities under Secs. 300.320-300.324.
    (b) Payments to the Secretary of the Interior under Sec. 300.710 
must be used in accordance with that section.

(Authority: 20 U.S.C. 1411(f))



Sec. 300.263  Applicable regulations.

    The Secretary of the Interior shall comply with the requirements of 
Secs. 300.301-300.303, Secs. 300.305-300.307, and Secs. 300.340-300.347, 
Sec. 300.350, Secs. 300.360-300.383, Secs. 300.400-300.402, 
Secs. 300.500-300.585, Secs. 300.600-300.621, and Secs. 300.660-300.662.

(Authority: 20 U.S.C. 1411(f)(2))

                          Public Participation



Sec. 300.280  Public hearings before adopting a State plan.

    Prior to its adoption of a State plan, the SEA shall--
    (a) Make the plan available to the general public;
    (b) Hold public hearings; and
    (c) Provide an opportunity for comment by the general public on the 
plan.

(Authority: 20 U.S.C. 1412(7))


(Approved by the Office of Management and Budget under control number 
1820-0600)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.281  Notice.

    (a) The SEA shall provide notice to the general public of the public 
hearings.
    (b) The notice must be in sufficient detail to inform the general 
public about--
    (1) The purpose and scope of the State plan and its relation to part 
B of the Act;
    (2) The availability of the State plan;
    (3) The date, time, and location of each public hearing;
    (4) The procedures for submitting written comments about the plan; 
and
    (5) The timetable for developing the final plan and submitting it to 
the Secretary for approval.
    (c) The notice must be published or announced--
    (1) In newspapers or other media, or both, with circulation adequate 
to notify the general public about the hearings; and
    (2) Enough in advance of the date of the hearings to afford 
interested parties throughout the State a reasonable opportunity to 
participate.

(Authority: 20 U.S.C. 1412(7))


(Approved by the Office of Management and Budget under control number 
1820-0600)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.282  Opportunity to participate; comment period.

    (a) The SEA shall conduct the public hearings at times and places 
that afford interested parties throughout the

[[Page 34]]

State a reasonable opportunity to participate.
    (b) The plan must be available for comment for a period of at least 
30 days following the date of the notice under Sec. 300.281.

(Authority: 20 U.S.C. 1412(7))



Sec. 300.283  Review of public comments before adopting plan.

    Before adopting its State plan, the SEA shall--
    (a) Review and consider all public comments; and
    (b) Make any necessary modifications in the plan.

(Authority: 20 U.S.C. 1412(7))



Sec. 300.284  Publication and availability of approved plan.

    After the Secretary approves a State plan, the SEA shall give notice 
in newspapers or other media, or both, that the plan is approved. The 
notice must name places throughout the State where the plan is available 
for access by any interested person.

(Authority: 20 U.S.C. 1412(7))


(Approved by the Office of Management and Budget under control number 
1820-0600)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



                           Subpart C--Services

                    Free Appropriate Public Education



Sec. 300.300  Timelines for free appropriate public education.

    (a) General. Each State shall ensure that FAPE is available to all 
children with disabilities aged 3 through 18 within the State not later 
than September 1, 1978, and to all children with disabilities aged 3 
through 21 within the State not later than September 1, 1980.
    (b) Age ranges 3-5 and 18-21. This paragraph provides rules for 
applying the requirement in paragraph (a) of this section to children 
with disabilities aged 3, 4, 5, 18, 19, 20, and 21:
    (1) If State law or a court order requires the State to provide 
education for children with disabilities in any disability category in 
any of these age groups, the State must make FAPE available to all 
children with disabilities of the same age who have that disability.
    (2) If a public agency provides education to nondisabled children in 
any of these age groups, it must make FAPE available to at least a 
proportionate number of children with disabilities of the same age.
    (3) If a public agency provides education to 50 percent or more of 
its children with disabilities in any disability category in any of 
these age groups, it must make FAPE available to all its children with 
disabilities of the same age who have that disability. This provision 
does not apply to children aged 3 through 5 for any fiscal year for 
which the State receives a grant under section 619(a)(1) of the Act.
    (4) If a public agency provides education to a child with a 
disability in any of these age groups, it must make FAPE available to 
that child and provide that child and his or her parents all of the 
rights under part B of the Act and this part.
    (5) A State is not required to make FAPE available to a child with a 
disability in one of these age groups if--
    (i) State law expressly prohibits, or does not authorize, the 
expenditure of public funds to provide education to nondisabled children 
in that age group; or
    (ii) The requirement is inconsistent with a court order that governs 
the provision of free public education to children with disabilities in 
that State.
    (c) Children aged 3 through 21 on reservations. With the exception 
of children identified in Sec. 300.709(a)(1) and (2), the SEA shall be 
responsible for ensuring that all of the requirements of part B of the 
Act are implemented for all children aged 3 through 21 on reservations.

(Authority: 20 U.S.C. 1411(f); 1412(2)(B); S. Rep. No. 94-168, p. 19 
(1975))


    Note 1: The requirement to make FAPE available applies to all 
children with disabilities within the State who are in the age ranges 
required under Sec. 300.300 and who need special education and related 
services. This includes children with disabilities already in school and 
children with less severe disabilities, who are not covered under the 
priorities under Sec. 300.321.



[[Page 35]]


    Note 2: In order to be in compliance with Sec. 300.300, each State 
must ensure that the requirement to identify, locate, and evaluate all 
children with disabilities is fully implemented by public agencies 
throughout the State. This means that before September 1, 1978, every 
child who has been referred or is on a waiting list for evaluation 
(including children in school as well as those not receiving an 
education) must be evaluated in accordance with Secs. 300.530-300.533. 
If, as a result of the evaluation, it is determined that a child needs 
special education and related services, an IEP must be developed for the 
child by September 1, 1978, and all other applicable requirements of 
this part must be met.


    Note 3: The requirement to identify, locate, and evaluate children 
with disabilities (commonly referred to as the ``child find system'') 
was enacted on August 21, 1974, under Pub. L. 93-380. While each State 
needed time to establish and implement its child find system, the four 
year period between August 21, 1974, and September 1, 1978, is 
considered to be sufficient to ensure that the system is fully 
operational and effective on a State-wide basis.
    Under the statute, the age range for the child find requirement (0-
21) is greater than the mandated age range for providing FAPE. One 
reason for the broader age requirement under ``child find'' is to enable 
States to be aware of and plan for younger children who will require 
special education and related services. It also ties in with the full 
educational opportunity goal requirement that has the same age range as 
child find. Moreover, while a State is not required to provide FAPE to 
children with disabilities below the age ranges mandated under 
Sec. 300.300, the State may, at its discretion, extend services to those 
children, subject to the priority requirements of Secs. 300.320-300.324.



Sec. 300.301  Free appropriate public education--methods and payments.

    (a) Each State may use whatever State, local, Federal, and private 
sources of support are available in the State to meet the requirements 
of this part. For example, when it is necessary to place a child with a 
disability in a residential facility, a State could use joint agreements 
between the agencies involved for sharing the cost of that placement.
    (b) Nothing in this part relieves an insurer or similar third party 
from an otherwise valid obligation to provide or to pay for services 
provided to a child with a disability.

(Authority: 20 U.S.C. 1401 (18); 1412(2)(B))



Sec. 300.302  Residential placement.

    If placement in a public or private residential program is necessary 
to provide special education and related services to a child with a 
disability, the program, including non-medical care and room and board, 
must be at no cost to the parents of the child.

(Authority: 20 U.S.C. 1412(2)(B); 1413(a)(4)(B))


    Note: This requirement applies to placements that are made by public 
agencies for educational purposes, and includes placements in State-
operated schools for children with disabilities, such as a State school 
for students with deafness or students with blindness.



Sec. 300.303  Proper functioning of hearing aids.

    Each public agency shall ensure that the hearing aids worn by 
children with hearing impairments including deafness in school are 
functioning properly.

(Authority: 20 U.S.C. 1412(2)(B))


    Note: The report of the House of Representatives on the 1978 
appropriation bill includes the following statement regarding hearing 
aids:
    In its report on the 1976 appropriation bill the Committee expressed 
concern about the condition of hearing aids worn by children in public 
schools. A study done at the Committee's direction by the Bureau of 
Education for the Handicapped reveals that up to one-third of the 
hearing aids are malfunctioning. Obviously, the Committee expects the 
Office of Education will ensure that hearing impaired school children 
are receiving adequate professional assessment, follow-up and services.


(Authority: H. R. Rep. No. 95-381, p. 67 (1977))



Sec. 300.304  Full educational opportunity goal.

    (a) Each SEA shall ensure that each public agency establishes and 
implements a goal of providing full educational opportunity to all 
children with disabilities in the area served by the public agency.
    (b) Subject to the priority requirements of Secs. 300.320-300.324, 
an SEA or LEA may use part B funds to provide facilities, personnel, and 
services necessary to meet the full educational opportunity goal.

(Authority: 20 U.S.C. 1412(2)(A); 1414(a)(1)(C))


    Note: In meeting the full educational opportunity goal, the Congress 
also encouraged

[[Page 36]]

LEAs to include artistic and cultural activities in programs supported 
under this part, subject to the priority requirements of Secs. 300.320-
300.324. This point is addressed in the following statements from the 
Senate Report on Public Law 94-142:
    The use of the arts as a teaching tool for the handicapped has long 
been recognized as a viable, effective way not only of teaching special 
skills, but also of reaching youngsters who had otherwise been 
unteachable. The Committee envisions that programs under this bill could 
well include an arts component and, indeed, urges that local educational 
agencies include the arts in programs for the handicapped funded under 
this Act. Such a program could cover both appreciation of the arts by 
the handicapped youngsters, and the utilization of the arts as a 
teaching tool per se.
    Museum settings have often been another effective tool in the 
teaching of handicapped children. For example, the Brooklyn Museum has 
been a leader in developing exhibits utilizing the heightened tactile 
sensory skill of the blind. Therefore, in light of the national policy 
concerning the use of museums in federally supported education programs 
enunciated in the Education Amendments of 1974, the Committee also urges 
local educational agencies to include museums in programs for the 
handicapped funded under this Act.


(Authority: S. Rep. No. 94-168, p. 13 (1975))



Sec. 300.305  Program options.

    Each public agency shall take steps to ensure that its children with 
disabilities have available to them the variety of educational programs 
and services available to nondisabled children in the area served by the 
agency, including art, music, industrial arts, consumer and homemaking 
education, and vocational education.

(Authority: 20 U.S.C. 1412(2)(A); 1414(a)(1)(C))


    Note: The above list of program options is not exhaustive, and could 
include any program or activity in which nondisabled students 
participate.



Sec. 300.306  Nonacademic services.

    (a) Each public agency shall take steps to provide nonacademic and 
extracurricular services and activities in such manner as is necessary 
to afford children with disabilities an equal opportunity for 
participation in those services and activities.
    (b) Nonacademic and extracurricular services and activities may 
include counseling services, athletics, transportation, health services, 
recreational activities, special interest groups or clubs sponsored by 
the public agency, referrals to agencies that provide assistance to 
individuals with disabilities, and employment of students, including 
both employment by the public agency and assistance in making outside 
employment available.

(Authority: 20 U.S.C. 1412(2)(A); 1414(a)(1)(C))



Sec. 300.307  Physical education.

    (a) General. Physical education services, specially designed if 
necessary, must be made available to every child with a disability 
receiving FAPE.
    (b) Regular physical education. Each child with a disability must be 
afforded the opportunity to participate in the regular physical 
education program available to nondisabled children unless--
    (1) The child is enrolled full time in a separate facility; or
    (2) The child needs specially designed physical education, as 
prescribed in the child's IEP.
    (c) Special physical education. If specially designed physical 
education is prescribed in a child's IEP, the public agency responsible 
for the education of that child shall provide the services directly, or 
make arrangements for those services to be provided through other public 
or private programs.
    (d) Education in separate facilities. The public agency responsible 
for the education of a child with a disability who is enrolled in a 
separate facility shall ensure that the child receives appropriate 
physical education services in compliance with paragraphs (a) and (c) of 
this section.

(Authority: 20 U.S.C. 1401(a)(16); 1412(5)(B); 1414(a)(6))


    Note: The Report of the House of Representatives on Public Law 94-
142 includes the following statement regarding physical education:
    Special education as set forth in the Committee bill includes 
instruction in physical education, which is provided as a matter of 
course to all non-handicapped children enrolled in public elementary and 
secondary schools. The Committee is concerned that although these 
services are available to and required of all children in our school 
systems,

[[Page 37]]

they are often viewed as a luxury for handicapped children.

                                * * * * *

    The Committee expects the Commissioner of Education to take whatever 
action is necessary to assure that physical education services are 
available to all handicapped children, and has specifically included 
physical education within the definition of special education to make 
clear that the Committee expects such services, specially designed where 
necessary, to be provided as an integral part of the educational program 
of every handicapped child.


(Authority: H. R. Rep. No. 94-332, p. 9 (1975))



Sec. 300.308  Assistive technology.

    Each public agency shall ensure that assistive technology devices or 
assistive technology services, or both, as those terms are defined in 
Secs. 300.5-300.6, are made available to a child with a disability if 
required as a part of the child's--
    (a) Special education under Sec. 300.17;
    (b) Related services under Sec. 300.16; or
    (c) Supplementary aids and services under Sec. 300.550(b)(2).

(Authority: 20 U.S.C. 1412(2), (5)(B))

                  Priorities in the Use of Part B Funds



Sec. 300.320  Definitions of ``first priority children'' and ``second priority children.''

    For the purposes of Secs. 300.321-300.324, the term:
    (a) First priority children means children with disabilities who--
    (1) Are in an age group for which the State must make FAPE available 
under Sec. 300.300; and
    (2) Are not receiving any education.
    (b) Second priority children means children with disabilities, 
within each disability category, with the most severe disabilities who 
are receiving an inadequate education.

(Authority: 20 U.S.C. 1412(3))


    Note 1: After September 1, 1978, there should be no second priority 
children, since States must ensure, as a condition of receiving part B 
funds for fiscal year 1979, that all children with disabilities will 
have FAPE available by that date.


    Note 2: The term free appropriate public education, as defined in 
Sec. 300.8, means special education and related services that * * * 
``are provided in conformity with an IEP'' * * *.


New first priority children will continue to be found by the State after 
September 1, 1978 through on-going efforts to identify, locate, and 
evaluate all children with disabilities.



Sec. 300.321  Priorities.

    (a) Each SEA and LEA shall use funds provided under part B of the 
Act in the following order of priorities:
    (1) To provide FAPE to first priority children, including the 
identification, location, and evaluation of first priority children.
    (2) To provide FAPE to second priority children, including the 
identification, location, and evaluation of second priority children.
    (3) To meet the other requirements of this part.
    (b) The requirements of paragraph (a) of this section do not apply 
to funds that the State uses for administration under Sec. 300.620.

(Authority: 20 U.S.C. 1411 (b)(1)(B), (b)(2)(B), (c)(1)(B), 
(c)(2)(A)(ii))


    Note: SEAs as well as LEAs must use part B funds (except the portion 
used for State administration) for the priorities. A State may have to 
set aside a portion of its part B allotment to be able to serve newly 
identified first priority children.
    After September 1, 1978, part B funds may be used--
    (1) To continue supporting child identification, location, and 
evaluation activities;
    (2) To provide FAPE to newly identified first priority children;
    (3) To meet the full educational opportunity goal required under 
Sec. 300.304, including employing additional personnel and providing 
inservice training, in order to increase the level, intensity and 
quality of services provided to individual children with disabilities; 
and
    (4) To meet the other requirements of part B.



Sec. 300.322  [Reserved]



Sec. 300.323  Services to other children.

    If a State or an LEA is providing FAPE to all of its first priority 
children, that State or LEA may use funds provided under part B of the 
Act--

[[Page 38]]

    (a) To provide FAPE to children with disabilities who are not 
receiving any education and who are in the age groups not covered under 
Sec. 300.300 in that State; or
    (b) To provide FAPE to second priority children; or
    (c) Both.

(Authority: 20 U.S.C. 1411 (b)(1)(B), (b)(2)(B), (c)(2)(A)(ii))



Sec. 300.324  Application of local educational agency to use funds for the second priority.

    An LEA may use funds provided under part B of the Act for second 
priority children, if it provides assurance satisfactory to the SEA in 
its application (or an amendment to its application)--
    (a) That all first priority children have FAPE available to them;
    (b) That the LEA has a system for the identification, location, and 
evaluation of children with disabilities, as described in its 
application; and
    (c) That whenever a first priority child is identified, located, and 
evaluated, the LEA makes FAPE available to the child.

(Authority: 20 U.S.C. 1411 (b)(1)(B), (c)(1)(B); 1414(a)(1)(C)(ii))

                    Individualized Education Programs



Sec. 300.340  Definitions.

    (a) As used in this part, the term individualized education program 
means a written statement for a child with a disability that is 
developed and implemented in accordance with Secs. 300.341-300.350.
    (b) As used in Secs. 300.346 and 300.347, participating agency means 
a State or local agency, other than the public agency responsible for a 
student's education, that is financially and legally responsible for 
providing transition services to the student.

(Authority: 20 U.S.C. 1401(a)(20))



Sec. 300.341  State educational agency responsibility.

    (a) Public agencies. The SEA shall ensure that each public agency 
develops and implements an IEP for each of its children with 
disabilities.
    (b) Private schools and facilities. The SEA shall ensure that an IEP 
is developed and implemented for each child with a disability who--
    (1) Is placed in or referred to a private school or facility by a 
public agency; or
    (2) Is enrolled in a parochial school or other private school and 
receives special education or related services from a public agency.

(Authority: 20 U.S.C. 1412 (4), (6); 1413(a)(4))


    Note: This section applies to all public agencies, including other 
State agencies (e.g., departments of mental health and welfare) that 
provide special education to a child with a disability either directly, 
by contract or through other arrangements. Thus, if a State welfare 
agency contracts with a private school or facility to provide special 
education to a child with a disability, that agency would be responsible 
for ensuring that an IEP is developed for the child.


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.342  When individualized education programs must be in effect.

    (a) At the beginning of each school year, each public agency shall 
have in effect an IEP for every child with a disability who is receiving 
special education from that agency.
    (b) An IEP must--
    (1) Be in effect before special education and related services are 
provided to a child; and
    (2) Be implemented as soon as possible following the meetings under 
Sec. 300.343.

(Authority: 20 U.S.C. 1412(2)(B), (4), (6); 1414(a)(5); Pub. L. 94-142, 
sec. 8(c) (1975))


    Note: Under paragraph (b)(2) of this section, it is expected that 
the IEP of a child with a disability will be implemented immediately 
following the meetings under Sec. 300.343. An exception to this would be 
(1) when the meetings occur during the summer or a vacation period, or 
(2) where there are circumstances that require a short delay (e.g., 
working out transportation arrangements). However, there can be no undue 
delay in providing special education and related services to the child.


[[Page 39]]





Sec. 300.343  Meetings.

    (a) General. Each public agency is responsible for initiating and 
conducting meetings for the purpose of developing, reviewing, and 
revising the IEP of a child with a disability (or, if consistent with 
State policy and at the discretion of the LEA, and with the concurrence 
of the parents, an individualized family service plan described in 
section 677(d) of the Act for each child with a disability, aged 3 
through 5).
    (b) [Reserved]
    (c) Timeline. A meeting to develop an IEP for a child must be held 
within 30 calendar days of a determination that the child needs special 
education and related services.
    (d) Review. Each public agency shall initiate and conduct meetings 
to review each child's IEP periodically and, if appropriate, revise its 
provisions. A meeting must be held for this purpose at least once a 
year.

(Authority: 20 U.S.C. 1412(2)(B), (4), (6); 1414(a)(5))


    Note: The date on which agencies must have IEPs in effect is 
specified in Sec. 300.342 (the beginning of each school year). However, 
except for new children with disabilities (i.e., those evaluated and 
determined to need special education and related services for the first 
time), the timing of meetings to develop, review, and revise IEPs is 
left to the discretion of each agency.
    In order to have IEPs in effect at the beginning of the school year, 
agencies could hold meetings either at the end of the preceding school 
year or during the summer prior to the next school year. Meetings may be 
held any time throughout the year, as long as IEPs are in effect at the 
beginning of each school year.
    The statute requires agencies to hold a meeting at least once each 
year in order to review and, if appropriate, revise each child's IEP. 
The timing of those meetings could be on the anniversary date of the 
child's last IEP meeting, but this is left to the discretion of the 
agency.


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.344  Participants in meetings.

    (a) General. The public agency shall ensure that each meeting 
includes the following participants:
    (1) A representative of the public agency, other than the child's 
teacher, who is qualified to provide, or supervise the provision of, 
special education.
    (2) The child's teacher.
    (3) One or both of the child's parents, subject to Sec. 300.345.
    (4) The child, if appropriate.
    (5) Other individuals at the discretion of the parent or agency.
    (b) Evaluation personnel. For a child with a disability who has been 
evaluated for the first time, the public agency shall ensure--
    (1) That a member of the evaluation team participates in the 
meeting; or
    (2) That the representative of the public agency, the child's 
teacher, or some other person is present at the meeting, who is 
knowledgeable about the evaluation procedures used with the child and is 
familiar with the results of the evaluation.
    (c) Transition services participants. (1) If a purpose of the 
meeting is the consideration of transition services for a student, the 
public agency shall invite--
    (i) The student; and
    (ii) A representative of any other agency that is likely to be 
responsible for providing or paying for transition services.
    (2) If the student does not attend, the public agency shall take 
other steps to ensure that the student's preferences and interests are 
considered; and
    (3) If an agency invited to send a representative to a meeting does 
not do so, the public agency shall take other steps to obtain the 
participation of the other agency in the planning of any transition 
services.

(Authority: 20 U.S.C. 1401(a)(19), (a)(20); 1412(2)(B), (4), (6); 
1414(a)(5))


    Note 1: In deciding which teacher will participate in meetings on a 
child's IEP, the agency may wish to consider the following 
possibilities:
    (a) For a child with a disability who is receiving special 
education, the teacher could be the child's special education teacher. 
If the child's disability is a speech impairment, the teacher could be 
the speech-language pathologist.
    (b) For a child with a disability who is being considered for 
placement in special education, the teacher could be the child's regular 
teacher, or a teacher qualified to

[[Page 40]]

provide education in the type of program in which the child may be 
placed, or both.
    (c) If the child is not in school or has more than one teacher, the 
agency may designate which teacher will participate in the meeting.
    Either the teacher or the agency representative should be qualified 
in the area of the child's suspected disability.
    For a child whose primary disability is a speech or language 
impairment, the evaluation personnel participating under paragraph 
(b)(1) of this section would normally be the speech-language 
pathologist.


    Note 2: Under paragraph (c) of this section, the public agency is 
required to invite each student to participate in his or her IEP 
meeting, if a purpose of the meeting is the consideration of transition 
services for the student. For all students who are 16 years of age or 
older, one of the purposes of the annual meeting will always be the 
planning of transition services, since transition services are a 
required component of the IEP for these students.
    For a student younger than age 16, if transition services are 
initially discussed at a meeting that does not include the student, the 
public agency is responsible for ensuring that, before a decision about 
transition services for the student is made, a subsequent IEP meeting is 
conducted for that purpose, and the student is invited to the meeting.



Sec. 300.345  Parent participation.

    (a) Each public agency shall take steps to ensure that one or both 
of the parents of the child with a disability are present at each 
meeting or are afforded the opportunity to participate, including--
    (1) Notifying parents of the meeting early enough to ensure that 
they will have an opportunity to attend; and
    (2) Scheduling the meeting at a mutually agreed on time and place.
    (b)(1) The notice under paragraph (a)(1) of this section must 
indicate the purpose, time, and location of the meeting and who will be 
in attendance;
    (2) If a purpose of the meeting is the consideration of transition 
services for a student, the notice must also--
    (i) Indicate this purpose;
    (ii) Indicate that the agency will invite the student; and
    (iii) Identify any other agency that will be invited to send a 
representative.
    (c) If neither parent can attend, the public agency shall use other 
methods to ensure parent participation, including individual or 
conference telephone calls.
    (d) A meeting may be conducted without a parent in attendance if the 
public agency is unable to convince the parents that they should attend. 
In this case the public agency must have a record of its attempts to 
arrange a mutually agreed on time and place such as--
    (1) Detailed records of telephone calls made or attempted and the 
results of those calls;
    (2) Copies of correspondence sent to the parents and any responses 
received; and
    (3) Detailed records of visits made to the parent's home or place of 
employment and the results of those visits.
    (e) The public agency shall take whatever action is necessary to 
ensure that the parent understands the proceedings at a meeting, 
including arranging for an interpreter for parents with deafness or 
whose native language is other than English.
    (f) The public agency shall give the parent, on request, a copy of 
the IEP.

(Authority: 20 U.S.C. 1401(a)(20); 1412 (2)(B), (4), (6); 1414(a)(5))


    Note: The notice in paragraph (a) of this section could also inform 
parents that they may bring other people to the meeting. As indicated in 
paragraph (c) of this section, the procedure used to notify parents 
(whether oral or written or both) is left to the discretion of the 
agency, but the agency must keep a record of its efforts to contact 
parents.


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.346  Content of individualized education program.

    (a) General. The IEP for each child must include--
    (1) A statement of the child's present levels of educational 
performance;
    (2) A statement of annual goals, including short-term instructional 
objectives;
    (3) A statement of the specific special education and related 
services to be provided to the child and the extent that the child will 
be able to participate in regular educational programs;

[[Page 41]]

    (4) The projected dates for initiation of services and the 
anticipated duration of the services; and
    (5) Appropriate objective criteria and evaluation procedures and 
schedules for determining, on at least an annual basis, whether the 
short term instructional objectives are being achieved.
    (b) Transition services. (1) The IEP for each student, beginning no 
later than age 16 (and at a younger age, if determined appropriate), 
must include a statement of the needed transition services as defined in 
Sec. 300.18, including, if appropriate, a statement of each public 
agency's and each participating agency's responsibilities or linkages, 
or both, before the student leaves the school setting.
    (2) If the IEP team determines that services are not needed in one 
or more of the areas specified in Sec. 300.18 (b)(2)(i) through 
(b)(2)(iii), the IEP must include a statement to that effect and the 
basis upon which the determination was made.

(Authority: 20 U.S.C. 1401 (a)(19), (a)(20); 1412 (2)(B), (4), (6); 
1414(a)(5))


    Note 1: The legislative history of the transition services 
provisions of the Act suggests that the statement of needed transition 
services referred to in paragraph (b) of this section should include a 
commitment by any participating agency to meet any financial 
responsibility it may have in the provision of transition services. See 
House Report No. 101-544, p. 11 (1990).


    Note 2: With respect to the provisions of paragraph (b) of this 
section, it is generally expected that the statement of needed 
transition services will include the areas listed in Sec. 300.18 
(b)(2)(i) through (b)(2)(iii). If the IEP team determines that services 
are not needed in one of those areas, the public agency must implement 
the requirements in paragraph (b)(2) of this section. Since it is a part 
of the IEP, the IEP team must reconsider its determination at least 
annually.


    Note 3: Section 602(a)(20) of the Act provides that IEPs must 
include a statement of needed transition services for students beginning 
no later than age 16, but permits transition services to students below 
age 16 (i.e., ``* * * and, when determined appropriate for the 
individual, beginning at age 14 or younger.''). Although the statute 
does not mandate transition services for all students beginning at age 
14 or younger, the provision of these services could have a 
significantly positive effect on the employment and independent living 
outcomes for many of these students in the future, especially for 
students who are likely to drop out before age 16. With respect to the 
provision of transition services to students below age 16, the Report of 
the House Committee on Education and Labor on Public Law 101-476 
includes the following statement:
    Although this language leaves the final determination of when to 
initiate transition services for students under age 16 to the IEP 
process, it nevertheless makes clear that Congress expects consideration 
to be given to the need for transition services for some students by age 
14 or younger. The Committee encourages that approach because of their 
concern that age 16 may be too late for many students, particularly 
those at risk of dropping out of school and those with the most severe 
disabilities. Even for those students who stay in school until age 18, 
many will need more than two years of transitional services. Students 
with disabilities are now dropping out of school before age 16, feeling 
that the education system has little to offer them. Initiating services 
at a younger age will be critical. (House Report No. 101-544, 10 
(1990).)


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.347  Agency responsibilities for transition services.

    (a) If a participating agency fails to provide agreed-upon 
transition services contained in the IEP of a student with a disability, 
the public agency responsible for the student's education shall, as soon 
as possible, initiate a meeting for the purpose of identifying 
alternative strategies to meet the transition objectives and, if 
necessary, revising the student's IEP.
    (b) Nothing in this part relieves any participating agency, 
including a State vocational rehabilitation agency, of the 
responsibility to provide or pay for any transition service that the 
agency would otherwise provide to students with disabilities who meet 
the eligibility criteria of that agency.

(Authority: 20 U.S.C. 1401 (a)(18), (a)(19), (a)(20); 1412(2)(B))



Sec. 300.348  Private school placements by public agencies.

    (a) Developing individualized education programs. (1) Before a 
public agency places a child with a disability in, or

[[Page 42]]

refers a child to, a private school or facility, the agency shall 
initiate and conduct a meeting to develop an IEP for the child in 
accordance with Sec. 300.343.
    (2) The agency shall ensure that a representative of the private 
school or facility attends the meeting. If the representative cannot 
attend, the agency shall use other methods to ensure participation by 
the private school or facility, including individual or conference 
telephone calls.
    (3) [Reserved]
    (b) Reviewing and revising individualized education programs. (1) 
After a child with a disability enters a private school or facility, any 
meetings to review and revise the child's IEP may be initiated and 
conducted by the private school or facility at the discretion of the 
public agency.
    (2) If the private school or facility initiates and conducts these 
meetings, the public agency shall ensure that the parents and an agency 
representative:
    (i) Are involved in any decision about the child's IEP; and
    (ii) Agree to any proposed changes in the program before those 
changes are implemented.
    (c) Responsibility. Even if a private school or facility implements 
a child's IEP, responsibility for compliance with this part remains with 
the public agency and the SEA.

(Authority: 20 U.S.C. 1413(a)(4)(B))



Sec. 300.349  Children with disabilities in parochial or other private schools.

    If a child with a disability is enrolled in a parochial or other 
private school and receives special education or related services from a 
public agency, the public agency shall--
    (a) Initiate and conduct meetings to develop, review, and revise an 
IEP for the child, in accordance with Sec. 300.343; and
    (b) Ensure that a representative of the parochial or other private 
school attends each meeting. If the representative cannot attend, the 
agency shall use other methods to ensure participation by the private 
school, including individual or conference telephone calls.

(Authority: 20 U.S.C. 1413(a)(4)(A))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.350  Individualized education program--accountability.

    Each public agency must provide special education and related 
services to a child with a disability in accordance with an IEP. 
However, part B of the Act does not require that any agency, teacher, or 
other person be held accountable if a child does not achieve the growth 
projected in the annual goals and objectives.

(Authority: 20 U.S.C. 1412(2)(B); 1414(a) (5), (6); Cong. Rec. at H7152 
(daily ed., July 21, 1975))


    Note: This section is intended to relieve concerns that the IEP 
constitutes a guarantee by the public agency and the teacher that a 
child will progress at a specified rate. However, this section does not 
relieve agencies and teachers from making good faith efforts to assist 
the child in achieving the goals and objectives listed in the IEP. 
Further, the section does not limit a parent's right to complain and ask 
for revisions of the child's program, or to invoke due process 
procedures, if the parent feels that these efforts are not being made.

             Direct Service by the State Educational Agency



Sec. 300.360  Use of local educational agency allocation for direct services.

    (a) An SEA may not distribute funds to an LEA, and shall use those 
funds to ensure the provision of FAPE to children with disabilities 
residing in the area served by the LEA, if the LEA, in any fiscal year--
    (1) Is entitled to less than $7,500 for that fiscal year (beginning 
with fiscal year 1979);
    (2) Does not submit an application that meets the requirements of 
Secs. 300.220-300.240;
    (3) Is unable or unwilling to establish and maintain programs of 
FAPE;
    (4) Is unable or unwilling to be consolidated with other LEAs in 
order to

[[Page 43]]

establish and maintain those programs; or
    (5) Has one or more children with disabilities who can best be 
served by a regional or State center designed to meet the needs of those 
children.
    (b) In meeting the requirements in paragraph (a) of this section, 
the SEA may provide special education and related services directly, by 
contract, or through other arrangements.
    (c) The excess cost requirements of Secs. 300.182-300.186 do not 
apply to the SEA.

(Authority: 20 U.S.C. 1411(c)(4); 1413(b); 1414(d))


    Note: Section 300.360 is a combination of three provisions in the 
statute (Sections 611(c)(4), 613(b), and 614(d)). This section focuses 
mainly on the State's administration and use of local entitlements under 
part B.
    The SEA, as a recipient of part B funds, is responsible for ensuring 
that all public agencies in the State comply with the provisions of the 
Act, regardless of whether they receive part B funds. If an LEA elects 
not to apply for its part B entitlement, the State would be required to 
use those funds to ensure that FAPE is made available to children 
residing in the area served by that local agency. However, if the local 
entitlement is not sufficient for this purpose, additional State or 
local funds would have to be expended in order to ensure that FAPE and 
the other requirements of the Act are met.
    Moreover, if the LEA is the recipient of any other Federal funds, it 
would have to be in compliance with 34 CFR Secs. 104.31-104.39 of the 
regulations implementing section 504 of the Rehabilitation Act of 1973. 
It should be noted that the term ``FAPE'' has different meanings under 
part B and section 504. For example, under part B, FAPE is a statutory 
term that requires special education and related services to be provided 
in accordance with an IEP. However, under section 504, each recipient 
must provide an education that includes services that are ``designed to 
meet individual educational needs of handicapped persons as adequately 
as the needs of nonhandicapped persons are met * * *'' Those regulations 
state that implementation of an IEP, in accordance with part B, is one 
means of meeting the FAPE requirement.



Sec. 300.361  Nature and location of services.

    The SEA may provide special education and related services under 
Sec. 300.360(a) in the manner and at the location it considers 
appropriate. However, the manner in which the education and services are 
provided must be consistent with the requirements of this part 
(including the LRE provisions of Secs. 300.550-300.556).

(Authority: 20 U.S.C. 1414(d))



Sec. 300.370  Use of State agency allocations.

    (a) The State may use the portion of its allocation that it does not 
use for administration under Secs. 300.620-300.621--
    (1) For support services and direct services in accordance with the 
priority requirements of Secs. 300.320-300.324; and
    (2) For the administrative costs of the State's monitoring 
activities and complaint investigations, to the extent that these costs 
exceed the administrative costs for monitoring and complaint 
investigations incurred during fiscal year 1985.
    (b) For the purposes of paragraph (a) of this section--
    (1) Direct services means services provided to a child with a 
disability by the State directly, by contract, or through other 
arrangements; and
    (2) ``Support services'' includes implementing the comprehensive 
system of personnel development of Secs. 300.380-300.383, recruitment 
and training of hearing officers and surrogate parents, and public 
information and parent training activities relating to FAPE for children 
with disabilities.

(Authority: 20 U.S.C. 1411 (b)(2), (c)(2))



Sec. 300.371  State matching.

    Beginning with the period July 1, 1978-June 30, 1979, and for each 
following fiscal year, the funds that a State uses for direct and 
support services under Sec. 300.370 must be matched on a program basis 
by the State from funds other than Federal funds. This requirement does 
not apply to funds that the State uses under Sec. 300.360.

(Authority: 20 U.S.C. 1411 (c)(2)(B), (c)(4)(B))


    Note: The requirement in Sec. 300.371 would be satisfied if the 
State can document that the amount of State funds expended for each 
major program area (e.g., the comprehensive system of personnel 
development) is at least equal to the expenditure of Federal funds in 
that program area.


[[Page 44]]





Sec. 300.372  Applicability of nonsupplanting requirement.

    Beginning with funds appropriated for fiscal year 1979 and for each 
following fiscal year, the requirement in section 613(a)(9) of the Act, 
which prohibits supplanting with Federal funds, does not apply to funds 
that the State uses from its allocation under Sec. 300.706(a) for 
administration, direct services, or support services.

(Authority: 20 U.S.C. 1411(c)(3))

              Comprehensive System of Personnel Development



Sec. 300.380  General.

    Each State shall--
    (a) Develop and implement a comprehensive system of personnel 
development that--
    (1) Is consistent with the purposes of the Act and with the 
comprehensive system of personnel development described in 34 CFR 
Sec. 303.360;
    (2) Meets the requirements in Secs. 300.381-300.383; and
    (3) Is consistent with the provisions on personnel standards in 
Sec. 300.153; and
    (b) Include in its State plan a description of the personnel 
development system required in paragraph (a)(1) of this section.

(Authority: 20 U.S.C. 1413 (a)(3), (a)(14))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.381  Adequate supply of qualified personnel.

    Each State plan must include a description of the procedures and 
activities the State will undertake to ensure an adequate supply of 
qualified personnel (as the term qualified is defined at Sec. 300.15), 
including special education and related services personnel and 
leadership personnel, necessary to carry out the purposes of this part. 
The procedures and activities must include the development, updating, 
and implementation of a plan that--
    (a) Addresses current and projected special education and related 
services personnel needs, including the need for leadership personnel; 
and
    (b) Coordinates and facilitates efforts among SEA and LEAs, 
institutions of higher education, and professional associations to 
recruit, prepare, and retain qualified personnel, including personnel 
from minority backgrounds, and personnel with disabilities.

(Authority: 20 U.S.C. 1413(a)(3)(A))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.382  Personnel preparation and continuing education.

    Each State plan must include a description of the procedures and 
activities the State will undertake to ensure that all personnel 
necessary to carry out this part are appropriately and adequately 
prepared. The procedures and activities must include--
    (a) A system for the continuing education of regular and special 
education and related services personnel to enable these personnel to 
meet the needs of children with disabilities under this part;
    (b) Procedures for acquiring and disseminating to teachers, 
administrators, and related services personnel significant knowledge 
derived from education research and other sources; and
    (c) Procedures for adopting, if appropriate, promising practices, 
materials, and technology, proven effective through research and 
demonstration.

(Authority: 20 U.S.C. 1413(a)(3)(B))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.383  Data system on personnel and personnel development.

    (a) General. The procedures and activities required in Secs. 300.381 
and 300.382 must include the development and maintenance of a system for 
determining, on an annual basis, the data required in paragraphs (b) and 
(c) of this section.
    (b) Data on qualified personnel. (1) The system required by 
paragraph (a) of this section must enable each State to determine, on an 
annual basis--

[[Page 45]]

    (i) The number and type of personnel, including leadership 
personnel, employed in the provision of special education and related 
services, by profession or discipline;
    (ii) The number and type of personnel who are employed with 
emergency, provisional, or temporary certification in each profession or 
discipline who do not hold appropriate State certification, licensure, 
or other credentials comparable to certification or licensure for that 
profession or discipline; and
    (iii) The number and type of personnel, including leadership 
personnel, in each profession or discipline needed, and a projection of 
the numbers of those personnel that will be needed in five years, based 
on projections of individuals to be served, retirement and other 
departures of personnel from the field, and other relevant factors.
    (2) The data on special education and related services personnel 
required in paragraph (b)(1) of this section must include audiologists, 
counselors, diagnostic and evaluation personnel, home-hospital teachers, 
interpreters for students with hearing impairments including deafness, 
occupational therapists, physical education teachers, physical 
therapists, psychologists, rehabilitation counselors, social workers, 
speech-language pathologists, teacher aides, recreation and therapeutic 
recreation specialists, vocational education teachers, work-study 
coordinators, and other instructional and noninstructional staff.
    (3) The data on leadership personnel required by paragraph (b)(1) of 
this section must include administrators and supervisors of State or 
local agencies who are involved in the provision or supervision of 
services or activities necessary to carry out the purposes of this part.
    (c) Data on personnel development. The system required in paragraph 
(a) of this section must enable each State to determine, on an annual 
basis, the institutions of higher education within the State that are 
preparing special education and related services personnel, including 
leadership personnel, by area of specialization, including--
    (1) The numbers of students enrolled in programs for the preparation 
of special education and related services personnel administered by 
these institutions of higher education; and
    (2) The numbers of students who graduated during the past year with 
certification or licensure, or with credentials to qualify for 
certification or licensure, from programs for the preparation of special 
education and related services personnel administered by institutions of 
higher education.

(Authority: 20 U.S.C. 1413(a)(3)(A))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.384-300.387  [Reserved]



                       Subpart D--Private Schools

  Children With Disabilities in Private Schools Placed or Referred by 
                             Public Agencies



Sec. 300.400  Applicability of Secs. 300.400-300.402.

    Sections 300.401-300.402 apply only to children with disabilities 
who are or have been placed in or referred to a private school or 
facility by a public agency as a means of providing special education 
and related services.

(Authority: 20 U.S.C. 1413(a)(4)(B))



Sec. 300.401  Responsibility of State educational agency.

    Each SEA shall ensure that a child with a disability who is placed 
in or referred to a private school or facility by a public agency:
    (a) Is provided special education and related services--
    (1) In conformance with an IEP that meets the requirements of 
Secs. 300.340-300.350;
    (2) At no cost to the parents; and
    (3) At a school or facility that meets the standards that apply to 
the SEA and LEAs (including the requirements of this part); and
    (b) Has all of the rights of a child with a disability who is served 
by a public agency.

(Authority: 20 U.S.C. 1413(a)(4)(B))


[[Page 46]]





Sec. 300.402  Implementation by State educational agency.

    In implementing Sec. 300.401, the SEA shall--
    (a) Monitor compliance through procedures such as written reports, 
on-site visits, and parent questionnaires;
    (b) Disseminate copies of applicable standards to each private 
school and facility to which a public agency has referred or placed a 
child with a disability; and
    (c) Provide an opportunity for those private schools and facilities 
to participate in the development and revision of State standards that 
apply to them.

(Authority: 20 U.S.C. 1413(a)(4)(B))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.403  Placement of children by parents.

    (a) If a child with a disability has FAPE available and the parents 
choose to place the child in a private school or facility, the public 
agency is not required by this part to pay for the child's education at 
the private school or facility. However, the public agency shall make 
services available to the child as provided under Secs. 300.450-300.452.
    (b) Disagreements between a parent and a public agency regarding the 
availability of a program appropriate for the child, and the question of 
financial responsibility, are subject to the due process procedures of 
Secs. 300.500-300.515.

(Authority: 20 U.S.C. 1412(2)(B); 1415)

 Children With Disabilities Enrolled by Their Parents in Private Schools



Sec. 300.450  Definition of ``private school children with disabilities.''

    As used in this part, private school children with disabilities 
means children with disabilities enrolled by their parents in private 
schools or facilities other than children with disabilities covered 
under Secs. 300.400-300.402.

(Authority: 20 U.S.C. 1413(a)(4)(A))



Sec. 300.451  State educational agency responsibility.

    The SEA shall ensure that--
    (a) To the extent consistent with their number and location in the 
State, provision is made for the participation of private school 
children with disabilities in the program assisted or carried out under 
this part by providing them with special education and related services; 
and
    (b) The requirements of 34 CFR 76.651-76.662 are met.

(Authority: 20 U.S.C. 1413(a)(4)(A))



Sec. 300.452  Local educational agency responsibility.

    Each LEA shall provide special education and related services 
designed to meet the needs of private school children with disabilities 
residing in the jurisdiction of the agency.

(Authority: 20 U.S.C. 1413(a)(4)(A); 1414(a)(6))

                         Procedures for By-Pass



Sec. 300.480  By-pass--general.

    (a) The Secretary implements a by-pass if an SEA is, and was on 
December 2, 1983, prohibited by law from providing for the participation 
of private school children with disabilities in the program assisted or 
carried out under this part, as required by section 613(a)(4)(A) of the 
Act and by Secs. 300.451-300.452.
    (b) The Secretary waives the requirement of section 613(a)(4)(A) of 
the Act and of Secs. 300.451-300.452 if the Secretary implements a by-
pass.

(Authority: 20 U.S.C. 1413(d)(1))



Sec. 300.481  Provisions for services under a by-pass.

    (a) Before implementing a by-pass, the Secretary consults with 
appropriate public and private school officials, including SEA 
officials, in the affected State to consider matters such as--
    (1) The prohibition imposed by State law that results in the need 
for a by-pass;
    (2) The scope and nature of the services required by private school 
children with disabilities in the State, and the number of children to 
be served under the by-pass; and

[[Page 47]]

    (3) The establishment of policies and procedures to ensure that 
private school children with disabilities receive services consistent 
with the requirements of section 613(a)(4)(A) of the Act, Secs. 300.451-
300.452, and 34 CFR Secs. 76.651-76.662.
    (b) After determining that a by-pass is required, the Secretary 
arranges for the provision of services to private school children with 
disabilities in the State in a manner consistent with the requirements 
of section 613(a)(4)(A) of the Act and Secs. 300.451-300.452 by 
providing services through one or more agreements with appropriate 
parties.
    (c) For any fiscal year that a by-pass is implemented, the Secretary 
determines the maximum amount to be paid to the providers of services by 
multiplying--
    (1) A per child amount that may not exceed the amount per child 
provided by the Secretary under this part for all children with 
disabilities in the State for the preceding fiscal year; by
    (2) The number of private school children with disabilities (as 
defined by Secs. 300.7(a) and 300.450) in the State, as determined by 
the Secretary on the basis of the most recent satisfactory data 
available, which may include an estimate of the number of those children 
with disabilities.
    (d) The Secretary deducts from the State's allocation under this 
part the amount the Secretary determines is necessary to implement a by-
pass and pays that amount to the provider of services. The Secretary may 
withhold this amount from the State's allocation pending final 
resolution of any investigation or complaint that could result in a 
determination that a by-pass must be implemented.

(Authority: 20 U.S.C. 1413(d)(2))

                         Due Process Procedures

    Source: Sections 300.482 through 300.486 appear at 49 FR 48526, Dec. 
12, 1984, unless otherwise noted.



Sec. 300.482  Notice of intent to implement a by-pass.

    (a) Before taking any final action to implement a by-pass, the 
Secretary provides the affected SEA with written notice.
    (b) In the written notice, the Secretary--
    (1) States the reasons for the proposed by-pass in sufficient detail 
to allow the SEA to respond; and
    (2) Advises the SEA that it has a specific period of time (at least 
45 days) from receipt of the written notice to submit written objections 
to the proposed by-pass and that it may request in writing the 
opportunity for a hearing to show cause why a by-pass should not be 
implemented.
    (c) The Secretary sends the notice to the SEA by certified mail with 
return receipt requested.

(Authority: 20 U.S.C. 1413(d)(3)(A))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.483  Request to show cause.

    An SEA seeking an opportunity to show cause why a by-pass should not 
be implemented shall submit a written request for a show cause hearing 
to the Secretary.

(Authority: 20 U.S.C. 1413(d)(3)(A))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.484  Show cause hearing.

    (a) If a show cause hearing is requested, the Secretary--
    (1) Notifies the SEA and other appropriate public and private school 
officials of the time and place for the hearing; and
    (2) Designates a person to conduct the show cause hearing. The 
designee must not have had any responsibility for the matter brought for 
a hearing.
    (b) At the show cause hearing, the designee considers matters such 
as--
    (1) The necessity for implementing a by-pass;
    (2) Possible factual errors in the written notice of intent to 
implement a by-pass; and
    (3) The objections raised by public and private school 
representatives.

[[Page 48]]

    (c) The designee may regulate the course of the proceedings and the 
conduct of parties during the pendency of the proceedings. The designee 
takes all steps necessary to conduct a fair and impartial proceeding, to 
avoid delay, and to maintain order.
    (d) The designee may interpret applicable statutes and regulations, 
but may not waive them or rule on their validity.
    (e) The designee arranges for the preparation, retention, and, if 
appropriate, dissemination of the record of the hearing.

(Authority: 20 U.S.C. 1413(d)(3)(A))



Sec. 300.485  Decision.

    (a) The designee who conducts the show cause hearing--
    (1) Issues a written decision that includes a statement of findings; 
and
    (2) Submits a copy of the decision to the Secretary and sends a copy 
to each party by certified mail with return receipt requested.
    (b) Each party may submit comments and recommendations on the 
designee's decision to the Secretary within 15 days of the date the 
party receives the designee's decision.
    (c) The Secretary adopts, reverses, or modifies the designee's 
decision and notifies the SEA of the Secretary's final action. That 
notice is sent by certified mail with return receipt requested.

(Authority: 20 U.S.C. 1413(d)(3)(A))



Sec. 300.486  Filing requirements.

    (a) Any written submission under Sec. 300.482-300.485 must be filed 
by hand-delivery, by mail, or by facsimile transmission. The Secretary 
discourages the use of facsimile transmission for documents longer than 
five pages.
    (b) The filing date under paragraph (a) of this section is the date 
the document is--
    (1) Hand-delivered;
    (2) Mailed; or
    (3) Sent by facsimile transmission.
    (c) A party filing by facsimile transmission is responsible for 
confirming that a complete and legible copy of the document was received 
by the Department.
    (d) If a document is filed by facsimile transmission, the Secretary 
or the hearing officer, as applicable, may require the filing of a 
follow-up hard copy by hand-delivery or by mail within a reasonable 
period of time.
    (e) If agreed upon by the parties, service of a document may be made 
upon the other party by facsimile transmission.

(Authority: 20 U.S.C. 1413(d)(3)(A))

[57 FR 56796, Nov. 30, 1992]



Sec. 300.487  Judicial review.

    If dissatisfied with the Secretary's final action, the SEA may, 
within 60 days after notice of that action, file a petition for review 
with the United States court of appeals for the circuit in which the 
State is located. The procedures for judicial review are described in 
section 613(d)(3)(B)-(D) of the Act.

(Authority: 20 U.S.C. 1413(d)(3)(B)-(D))

[57 FR 44798, Sept. 29, 1992. Redesignated at 57 FR 56796, Nov. 30, 
1992]



                    Subpart E--Procedural Safeguards

             Due Process Procedures for Parents and Children



Sec. 300.500  Definitions of ``consent,'' ``evaluation,'' and ``personally identifiable.''

    (a) As used in this part: Consent means that--
    (1) The parent has been fully informed of all information relevant 
to the activity for which consent is sought, in his or her native 
language, or other mode of communication;
    (2) The parent understands and agrees in writing to the carrying out 
of the activity for which his or her consent is sought, and the consent 
describes that activity and lists the records (if any) that will be 
released and to whom; and
    (3) The parent understands that the granting of consent is voluntary 
on the part of the parent and may be revoked at any time.
    (b) Evaluation means procedures used in accordance with 
Secs. 300.530-300.534 to determine whether a child has a disability and 
the nature and extent of

[[Page 49]]

the special education and related services that the child needs. The 
term means procedures used selectively with an individual child and does 
not include basic tests administered to or procedures used with all 
children in a school, grade, or class.
    (c) Personally identifiable means that information includes--
    (1) The name of the child, the child's parent, or other family 
member;
    (2) The address of the child;
    (3) A personal identifier, such as the child's social security 
number or student number; or
    (4) A list of personal characteristics or other information that 
would make it possible to identify the child with reasonable certainty.

(Authority: 20 U.S.C. 1415, 1417(c))



Sec. 300.501  General responsibility of public agencies.

    Each SEA shall ensure that each public agency establishes and 
implements procedural safeguards that meet the requirements of 
Secs. 300.500-300.515.

(Authority: 20 U.S.C. 1415(a))



Sec. 300.502  Opportunity to examine records.

    The parents of a child with a disability shall be afforded, in 
accordance with the procedures of Secs. 300.562-300.569, an opportunity 
to inspect and review all education records with respect to--
    (a) The identification, evaluation, and educational placement of the 
child; and
    (b) The provision of FAPE to the child.

(Authority: 20 U.S.C. 1415(b)(1)(A))



Sec. 300.503  Independent educational evaluation.

    (a) General. (1) The parents of a child with a disability have the 
right under this part to obtain an independent educational evaluation of 
the child, subject to paragraphs (b) through (e) of this section.
    (2) Each public agency shall provide to parents, on request, 
information about where an independent educational evaluation may be 
obtained.
    (3) For the purposes of this part:
    (i) Independent educational evaluation means an evaluation conducted 
by a qualified examiner who is not employed by the public agency 
responsible for the education of the child in question.
    (ii) Public expense means that the public agency either pays for the 
full cost of the evaluation or ensures that the evaluation is otherwise 
provided at no cost to the parent, consistent with Sec. 300.301.
    (b) Parent right to evaluation at public expense. A parent has the 
right to an independent educational evaluation at public expense if the 
parent disagrees with an evaluation obtained by the public agency. 
However, the public agency may initiate a hearing under Sec. 300.506 to 
show that its evaluation is appropriate. If the final decision is that 
the evaluation is appropriate, the parent still has the right to an 
independent educational evaluation, but not at public expense.
    (c) Parent initiated evaluations. If the parent obtains an 
independent educational evaluation at private expense, the results of 
the evaluation--
    (1) Must be considered by the public agency in any decision made 
with respect to the provision of FAPE to the child; and
    (2) May be presented as evidence at a hearing under this subpart 
regarding that child.
    (d) Requests for evaluations by hearing officers. If a hearing 
officer requests an independent educational evaluation as part of a 
hearing, the cost of the evaluation must be at public expense.
    (e) Agency criteria. Whenever an independent evaluation is at public 
expense, the criteria under which the evaluation is obtained, including 
the location of the evaluation and the qualifications of the examiner, 
must be the same as the criteria which the public agency uses when it 
initiates an evaluation.

(Authority: 20 U.S.C. 1415(b)(1)(A))



Sec. 300.504  Prior notice; parent consent.

    (a) Notice. Written notice that meets the requirements of 
Sec. 300.505 must be given to the parents of a child with a disability a 
reasonable time before the public agency--
    (1) Proposes to initiate or change the identification, evaluation, 
or educational placement of the child or the provision of FAPE to the 
child; or

[[Page 50]]

    (2) Refuses to initiate or change the identification, evaluation, or 
educational placement of the child or the provision of FAPE to the 
child.
    (b) Consent; procedures if a parent refuses consent. (1) Parental 
consent must be obtained before--
    (i) Conducting a preplacement evaluation; and
    (ii) Initial placement of a child with a disability in a program 
providing special education and related services.
    (2) If State law requires parental consent before a child with a 
disability is evaluated or initially provided special education and 
related services, State procedures govern the public agency in 
overriding a parent's refusal to consent.
    (3) If there is no State law requiring consent before a child with a 
disability is evaluated or initially provided special education and 
related services, the public agency may use the hearing procedures in 
Secs. 300.506-300.508 to determine if the child may be evaluated or 
initially provided special education and related services without 
parental consent. If it does so and the hearing officer upholds the 
agency, the agency may evaluate or initially provide special education 
and related services to the child without the parent's consent, subject 
to the parent's rights under Secs. 300.510-300.513.
    (c) Additional State consent requirements. In addition to the 
parental consent requirements described in paragraph (b) of this 
section, a State may require parental consent for other services and 
activities under this part if it ensures that each public agency in the 
State establishes and implements effective procedures to ensure that a 
parent's refusal to consent does not result in a failure to provide the 
child with FAPE.
    (d) Limitation. A public agency may not require parental consent as 
a condition of any benefit to the parent or the child except for the 
service or activity for which consent is required under paragraphs (b) 
or (c) of this section.

(Authority: 20 U.S.C. 1415(b)(1)(C), (D); 1412(2), (6))


    Note 1: Any changes in a child's special education program after the 
initial placement are not subject to the parental consent requirements 
in paragraph (b)(1) of this section, but are subject to the prior notice 
requirement in paragraph (a) of this section and the IEP requirements of 
Secs. 300.340-300.350.


    Note 2: Paragraph (b)(2) of this section means that if State law 
requires parental consent before evaluation or before special education 
and related services are initially provided, and the parent refuses (or 
otherwise withholds) consent, State procedures, such as obtaining a 
court order authorizing the public agency to conduct the evaluation or 
provide the education and related services, must be followed.
    If, however, there is no legal requirement for consent outside of 
these regulations, the public agency may use the due process procedures 
of Secs. 300.506-300.508 to obtain a decision to allow the evaluation or 
services without parental consent. The agency must notify the parent of 
its actions, and the parent has appeal rights as well as rights at the 
hearing itself.


    Note 3: If a State adopts a consent requirement in addition to those 
described in paragraph (b) of this section and consent is refused, 
paragraph (d) of this section requires that the public agency must 
nevertheless provide the services and activities that are not in 
dispute. For example, if a State requires parental consent to the 
provision of all services identified in an IEP and the parent refuses to 
consent to physical therapy services included in the IEP, the agency is 
not relieved of its obligation to implement those portions of the IEP to 
which the parent consents.
    If the parent refuses to consent and the public agency determines 
that the service or activity in dispute is necessary to provide FAPE to 
the child, paragraph (c) of this section requires that the agency must 
implement its procedures to override the refusal. This section does not 
preclude the agency from reconsidering its proposal if it believes that 
circumstances warrant.



Sec. 300.505  Content of notice.

    (a) The notice under Sec. 300.504 must include--
    (1) A full explanation of all of the procedural safeguards available 
to the parents under Sec. 300.500, Secs. 300.502-300.515, and 
Secs. 300.562-300.569;
    (2) A description of the action proposed or refused by the agency, 
an explanation of why the agency proposes or refuses to take the action, 
and a description of any options the agency considered and the reasons 
why those options were rejected;

[[Page 51]]

    (3) A description of each evaluation procedure, test, record, or 
report the agency uses as a basis for the proposal or refusal; and
    (4) A description of any other factors that are relevant to the 
agency's proposal or refusal.
    (b) The notice must be--
    (1) Written in language understandable to the general public; and
    (2) Provided in the native language of the parent or other mode of 
communication used by the parent, unless it is clearly not feasible to 
do so.
    (c) If the native language or other mode of communication of the 
parent is not a written language, the SEA or LEA shall take steps to 
ensure--
    (1) That the notice is translated orally or by other means to the 
parent in his or her native language or other mode of communication;
    (2) That the parent understands the content of the notice; and
    (3) That there is written evidence that the requirements in 
paragraphs (c)(1) and (2) of this section have been met.

(Authority: 20 U.S.C. 1415(b)(1)(D))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.506  Impartial due process hearing.

    (a) A parent or a public educational agency may initiate a hearing 
on any of the matters described in Sec. 300.504(a)(1) and (2).
    (b) The hearing must be conducted by the SEA or the public agency 
directly responsible for the education of the child, as determined under 
State statute, State regulation, or a written policy of the SEA.
    (c) The public agency shall inform the parent of any free or low-
cost legal and other relevant services available in the area if--
    (1) The parent requests the information; or
    (2) The parent or the agency initiates a hearing under this section.

(Authority: 20 U.S.C. 1415(b)(2))


    Note: Many States have pointed to the success of using mediation as 
an intervening step prior to conducting a formal due process hearing. 
Although the process of mediation is not required by the statute or 
these regulations, an agency may wish to suggest mediation in disputes 
concerning the identification, evaluation, and educational placement of 
children with disabilities, and the provision of FAPE to those children. 
Mediations have been conducted by members of SEAs or LEA personnel who 
were not previously involved in the particular case. In many cases, 
mediation leads to resolution of differences between parents and 
agencies without the development of an adversarial relationship and with 
minimal emotional stress. However, mediation may not be used to deny or 
delay a parent's rights under Secs. 300.500-300.515.



Sec. 300.507  Impartial hearing officer.

    (a) A hearing may not be conducted--
    (1) By a person who is an employee of a public agency that is 
involved in the education or care of the child; or
    (2) By any person having a personal or professional interest that 
would conflict with his or her objectivity in the hearing.
    (b) A person who otherwise qualifies to conduct a hearing under 
paragraph (a) of this section is not an employee of the agency solely 
because he or she is paid by the agency to serve as a hearing officer.
    (c) Each public agency shall keep a list of the persons who serve as 
hearing officers. The list must include a statement of the 
qualifications of each of those persons.

(Authority: 20 U.S.C. 1414(b)(2))



Sec. 300.508  Hearing rights.

    (a) Any party to a hearing has the right to:
    (1) Be accompanied and advised by counsel and by individuals with 
special knowledge or training with respect to the problems of children 
with disabilities.
    (2) Present evidence and confront, cross-examine, and compel the 
attendance of witnesses.
    (3) Prohibit the introduction of any evidence at the hearing that 
has not been disclosed to that party at least five days before the 
hearing.
    (4) Obtain a written or electronic verbatim record of the hearing.
    (5) Obtain written findings of fact and decisions. The public 
agency, after

[[Page 52]]

deleting any personally identifiable information, shall--
    (i) Transmit those findings and decisions to the State advisory 
panel established under Sec. 300.650; and
    (ii) Make those findings and decisions available to the public.
    (b) Parents involved in hearings must be given the right to--
    (1) Have the child who is the subject of the hearing present; and
    (2) Open the hearing to the public.

(Authority: 20 U.S.C. 1415(d))



Sec. 300.509  Hearing decision; appeal.

    A decision made in a hearing conducted under Sec. 300.506 is final, 
unless a party to the hearing appeals the decision under Sec. 300.510 or 
Sec. 300.511.

(Authority: 20 U.S.C. 1415(c))



Sec. 300.510  Administrative appeal; impartial review.

    (a) If the hearing is conducted by a public agency other than the 
SEA, any party aggrieved by the findings and decision in the hearing may 
appeal to the SEA.
    (b) If there is an appeal, the SEA shall conduct an impartial review 
of the hearing. The official conducting the review shall:
    (1) Examine the entire hearing record.
    (2) Ensure that the procedures at the hearing were consistent with 
the requirements of due process.
    (3) Seek additional evidence if necessary. If a hearing is held to 
receive additional evidence, the rights in 300.508 apply.
    (4) Afford the parties an opportunity for oral or written argument, 
or both, at the discretion of the reviewing official.
    (5) Make an independent decision on completion of the review.
    (6) Give a copy of written findings and the decision to the parties.
    (c) The SEA, after deleting any personally identifiable information, 
shall--
    (1) Transmit the findings and decisions referred to in paragraph 
(b)(6) of this section to the State advisory panel established under 
Sec. 300.650; and
    (2) Make those findings and decisions available to the public.
    (d) The decision made by the reviewing official is final unless a 
party brings a civil action under Sec. 300.511.

(Authority: 20 U.S.C. 1415(c), (d); H. R. Rep. No. 94-664, at p. 49 
(1975))


    Note 1: The SEA may conduct its review either directly or through 
another State agency acting on its behalf. However, the SEA remains 
responsible for the final decision on review.


    Note 2: All parties have the right to continue to be represented by 
counsel at the State administrative review level, whether or not the 
reviewing official determines that a further hearing is necessary. If 
the reviewing official decides to hold a hearing to receive additional 
evidence, the other rights in Sec. 300.508 relating to hearings also 
apply.


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.511  Civil action.

    Any party aggrieved by the findings and decision made in a hearing 
who does not have the right to appeal under Sec. 300.510, and any party 
aggrieved by the decision of a reviewing officer under Sec. 300.510, has 
the right to bring a civil action under section 615(e)(2) of the Act.

(Authority: 20 U.S.C. 1415)



Sec. 300.512  Timelines and convenience of hearings and reviews.

    (a) The public agency shall ensure that not later than 45 days after 
the receipt of a request for a hearing--
    (1) A final decision is reached in the hearing; and
    (2) A copy of the decision is mailed to each of the parties.
    (b) The SEA shall ensure that not later than 30 days after the 
receipt of a request for a review--
    (1) A final decision is reached in the review; and
    (2) A copy of the decision is mailed to each of the parties.
    (c) A hearing or reviewing officer may grant specific extensions of 
time beyond the periods set out in paragraphs (a) and (b) of this 
section at the request of either party.

[[Page 53]]

    (d) Each hearing and each review involving oral arguments must be 
conducted at a time and place that is reasonably convenient to the 
parents and child involved.

(Authority: 20 U.S.C. 1415)


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.513  Child's status during proceedings.

    (a) During the pendency of any administrative or judicial proceeding 
regarding a complaint, unless the public agency and the parents of the 
child agree otherwise, the child involved in the complaint must remain 
in his or her present educational placement.
    (b) If the complaint involves an application for initial admission 
to public school, the child, with the consent of the parents, must be 
placed in the public school program until the completion of all the 
proceedings.

(Authority: 20 U.S.C. 1415(e)(3))


    Note: Section 300.513 does not permit a child's placement to be 
changed during a complaint proceeding, unless the parents and agency 
agree otherwise. While the placement may not be changed, this does not 
preclude the agency from using its normal procedures for dealing with 
children who are endangering themselves or others.



Sec. 300.514  Surrogate parents.

    (a) General. Each public agency shall ensure that the rights of a 
child are protected when--
    (1) No parent (as defined in Sec. 300.13) can be identified;
    (2) The public agency, after reasonable efforts, cannot discover the 
whereabouts of a parent; or
    (3) The child is a ward of the State under the laws of that State.
    (b) Duty of public agency. The duty of a public agency under 
paragraph (a) of this section includes the assignment of an individual 
to act as a surrogate for the parents. This must include a method: (1) 
For determining whether a child needs a surrogate parent, and (2) for 
assigning a surrogate parent to the child.
    (c) Criteria for selection of surrogates. (1) The public agency may 
select a surrogate parent in any way permitted under State law.
    (2) Public agencies shall ensure that a person selected as a 
surrogate--
    (i) Has no interest that conflicts with the interest of the child he 
or she represents; and
    (ii) Has knowledge and skills that ensure adequate representation of 
the child.
    (d) Non-employee requirement; compensation. (1) A person assigned as 
a surrogate may not be an employee of a public agency that is involved 
in the education or care of the child.
    (2) A person who otherwise qualifies to be a surrogate parent under 
paragraphs (c) and (d)(1) of this section, is not an employee of the 
agency solely because he or she is paid by the agency to serve as a 
surrogate parent.
    (e) Responsibilities. The surrogate parent may represent the child 
in all matters relating to--
    (1) The identification, evaluation, and educational placement of the 
child; and
    (2) The provision of FAPE to the child.

(Authority: 20 U.S.C. 1415(b)(1)(B))



Sec. 300.515  Attorneys' fees.

    Each public agency shall inform parents that in any action or 
proceeding under section 615 of the Act, courts may award parents 
reasonable attorneys' fees under the circumstances described in section 
615(e)(4) of the Act.

(Authority: 20 U.S.C. 1415(b)(1)(D); 1415(e)(4))

                   Protection in Evaluation Procedures



Sec. 300.530  General.

    (a) Each SEA shall ensure that each public agency establishes and 
implements procedures that meet the requirements of Secs. 300.530-
300.534.
    (b) Testing and evaluation materials and procedures used for the 
purposes of evaluation and placement of children with disabilities must 
be selected and administered so as not to be racially or culturally 
discriminatory.

(Authority: 20 U.S.C. 1412(5)(C))


[[Page 54]]





Sec. 300.531  Preplacement evaluation.

    Before any action is taken with respect to the initial placement of 
a child with a disability in a program providing special education and 
related services, a full and individual evaluation of the child's 
educational needs must be conducted in accordance with the requirements 
of Sec. 300.532.

(Authority: 20 U.S.C. 1412(5)(C))



Sec. 300.532  Evaluation procedures.

    State educational agencies and LEAs shall ensure, at a minimum, 
that:
    (a) Tests and other evaluation materials--
    (1) Are provided and administered in the child's native language or 
other mode of communication, unless it is clearly not feasible to do so;
    (2) Have been validated for the specific purpose for which they are 
used; and
    (3) Are administered by trained personnel in conformance with the 
instructions provided by their producer.
    (b) Tests and other evaluation materials include those tailored to 
assess specific areas of educational need and not merely those that are 
designed to provide a single general intelligence quotient.
    (c) Tests are selected and administered so as best to ensure that 
when a test is administered to a child with impaired sensory, manual, or 
speaking skills, the test results accurately reflect the child's 
aptitude or achievement level or whatever other factors the test 
purports to measure, rather than reflecting the child's impaired 
sensory, manual, or speaking skills (except where those skills are the 
factors that the test purports to measure).
    (d) No single procedure is used as the sole criterion for 
determining an appropriate educational program for a child.
    (e) The evaluation is made by a multidisciplinary team or group of 
persons, including at least one teacher or other specialist with 
knowledge in the area of suspected disability.
    (f) The child is assessed in all areas related to the suspected 
disability, including, if appropriate, health, vision, hearing, social 
and emotional status, general intelligence, academic performance, 
communicative status, and motor abilities.

(Authority: 20 U.S.C. 1412(5)(C))


    Note: Children who have a speech or language impairment as their 
primary disability may not need a complete battery of assessments (e.g., 
psychological, physical, or adaptive behavior). However, a qualified 
speech-language pathologist would: (1) Evaluate each child with a speech 
or language impairment using procedures that are appropriate for the 
diagnosis and appraisal of speech and language impairments, and (2) if 
necessary, make referrals for additional assessments needed to make an 
appropriate placement decision.


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.533  Placement procedures.

    (a) In interpreting evaluation data and in making placement 
decisions, each public agency shall--
    (1) Draw upon information from a variety of sources, including 
aptitude and achievement tests, teacher recommendations, physical 
condition, social or cultural background, and adaptive behavior;
    (2) Ensure that information obtained from all of these sources is 
documented and carefully considered;
    (3) Ensure that the placement decision is made by a group of 
persons, including persons knowledgeable about the child, the meaning of 
the evaluation data, and the placement options; and
    (4) Ensure that the placement decision is made in conformity with 
the LRE rules in Secs. 300.550-300.554.
    (b) If a determination is made that a child has a disability and 
needs special education and related services, an IEP must be developed 
for the child in accordance with Secs. 300.340-300.350.

(Authority: 20 U.S.C. 1412(5)(C); 1414(a)(5))


    Note: Paragraph (a)(1) of this section includes a list of examples 
of sources that may be used by a public agency in making placement 
decisions. The agency would not have to use all the sources in every 
instance. The point of the requirement is to ensure that more than one 
source is used in interpreting evaluation data and in making placement 
decisions. For example, while all of the named sources would have to be 
used for a

[[Page 55]]

child whose suspected disability is mental retardation, they would not 
be necessary for certain other children with disabilities, such as a 
child who has a severe articulation impairment as his primary 
disability. For such a child, the speech-language pathologist, in 
complying with the multiple source requirement, might use: (1) A 
standardized test of articulation, and (2) observation of the child's 
articulation behavior in conversational speech.


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.534  Reevaluation.

    Each SEA and LEA shall ensure--
    (a) That the IEP of each child with a disability is reviewed in 
accordance with Secs. 300.340-300.350; and
    (b) That an evaluation of the child, based on procedures that meet 
the requirements of Sec. 300.532, is conducted every three years, or 
more frequently if conditions warrant, or if the child's parent or 
teacher requests an evaluation.

(Authority: 20 U.S.C. 1412(5)(c))

  Additional Procedures for Evaluating Children With Specific Learning 
                              Disabilities



Sec. 300.540  Additional team members.

    In evaluating a child suspected of having a specific learning 
disability, in addition to the requirements of Sec. 300.532, each public 
agency shall include on the multidisciplinary evaluation team--
    (a)(1) The child's regular teacher; or
    (2) If the child does not have a regular teacher, a regular 
classroom teacher qualified to teach a child of his or her age; or
    (3) For a child of less than school age, an individual qualified by 
the SEA to teach a child of his or her age; and
    (b) At least one person qualified to conduct individual diagnostic 
examinations of children, such as a school psychologist, speech-language 
pathologist, or remedial reading teacher.

(Authority: 20 U.S.C. 1411 note)



Sec. 300.541  Criteria for determining the existence of a specific learning disability.

    (a) A team may determine that a child has a specific learning 
disability if--
    (1) The child does not achieve commensurate with his or her age and 
ability levels in one or more of the areas listed in paragraph (a)(2) of 
this section, when provided with learning experiences appropriate for 
the child's age and ability levels; and
    (2) The team finds that a child has a severe discrepancy between 
achievement and intellectual ability in one or more of the following 
areas--
    (i) Oral expression;
    (ii) Listening comprehension;
    (iii) Written expression;
    (iv) Basic reading skill;
    (v) Reading comprehension;
    (vi) Mathematics calculation; or
    (vii) Mathematics reasoning.
    (b) The team may not identify a child as having a specific learning 
disability if the severe discrepancy between ability and achievement is 
primarily the result of--
    (1) A visual, hearing, or motor impairment;
    (2) Mental retardation;
    (3) Emotional disturbance; or
    (4) Environmental, cultural or economic disadvantage.

(Authority: 20 U.S.C. 1411 note)



Sec. 300.542  Observation.

    (a) At least one team member other than the child's regular teacher 
shall observe the child's academic performance in the regular classroom 
setting.
    (b) In the case of a child of less than school age or out of school, 
a team member shall observe the child in an environment appropriate for 
a child of that age.

(Authority: 20 U.S.C. 1411 note)



Sec. 300.543  Written report.

    (a) The team shall prepare a written report of the results of the 
evaluation.
    (b) The report must include a statement of--
    (1) Whether the child has a specific learning disability;
    (2) The basis for making the determination;

[[Page 56]]

    (3) The relevant behavior noted during the observation of the child;
    (4) The relationship of that behavior to the child's academic 
functioning;
    (5) The educationally relevant medical findings, if any;
    (6) Whether there is a severe discrepancy between achievement and 
ability that is not correctable without special education and related 
services; and
    (7) The determination of the team concerning the effects of 
environmental, cultural, or economic disadvantage.
    (c) Each team member shall certify in writing whether the report 
reflects his or her conclusion. If it does not reflect his or her 
conclusion, the team member must submit a separate statement presenting 
his or her conclusions.

(Authority: 20 U.S.C. 1411 note)


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]

                      Least Restrictive Environment



Sec. 300.550  General.

    (a) Each SEA shall ensure that each public agency establishes and 
implements procedures that meet the requirements of Secs. 300.550-
300.556.
    (b) Each public agency shall ensure--
    (1) That to the maximum extent appropriate, children with 
disabilities, including children in public or private institutions or 
other care facilities, are educated with children who are nondisabled; 
and
    (2) That special classes, separate schooling or other removal of 
children with disabilities from the regular educational environment 
occurs only when the nature or severity of the disability is such that 
education in regular classes with the use of supplementary aids and 
services cannot be achieved satisfactorily.

(Authority: 20 U.S.C. 1412(5)(B); 1414(a)(1)(C)(iv))



Sec. 300.551  Continuum of alternative placements.

    (a) Each public agency shall ensure that a continuum of alternative 
placements is available to meet the needs of children with disabilities 
for special education and related services.
    (b) The continuum required in paragraph (a) of this section must--
    (1) Include the alternative placements listed in the definition of 
special education under Sec. 300.17 (instruction in regular classes, 
special classes, special schools, home instruction, and instruction in 
hospitals and institutions); and
    (2) Make provision for supplementary services (such as resource room 
or itinerant instruction) to be provided in conjunction with regular 
class placement.

(Authority: 20 U.S.C. 1412(5)(B))



Sec. 300.552  Placements.

    Each public agency shall ensure that:
    (a) The educational placement of each child with a disability--
    (1) Is determined at least annually;
    (2) Is based on his or her IEP; and
    (3) Is as close as possible to the child's home.
    (b) The various alternative placements included at Sec. 300.551 are 
available to the extent necessary to implement the IEP for each child 
with a disability.
    (c) Unless the IEP of a child with a disability requires some other 
arrangement, the child is educated in the school that he or she would 
attend if nondisabled.
    (d) In selecting the LRE, consideration is given to any potential 
harmful effect on the child or on the quality of services that he or she 
needs.

(Authority: 20 U.S.C. 1412(5)(B))


    Note: Section 300.552 includes some of the main factors that must be 
considered in determining the extent to which a child with a disability 
can be educated with children who are nondisabled. The overriding rule 
in this section is that placement decisions must be made on an 
individual basis. The section also requires each agency to have various 
alternative placements available in order to ensure that each child with 
a disability receives an education that is appropriate to his or her 
individual needs.
    The requirements of Sec. 300.552, as well as the other requirements 
of Secs. 300.550-300.556, apply to all preschool children with 
disabilities who are entitled to receive FAPE. Public agencies that 
provide preschool programs for nondisabled preschool children must 
ensure that the requirements of Sec. 300.552(c) are met.

[[Page 57]]

Public agencies that do not operate programs for nondisabled preschool 
children are not required to initiate such programs solely to satisfy 
the requirements regarding placement in the LRE embodied in 
Secs. 300.550-300.556. For these public agencies, some alternative 
methods for meeting the requirements of Secs. 300.550-300.556 include--
    (1) Providing opportunities for the participation (even part-time) 
of preschool children with disabilities in other preschool programs 
operated by public agencies (such as Head Start);
    (2) Placing children with disabilities in private school programs 
for nondisabled preschool children or private school preschool programs 
that integrate children with disabilities and nondisabled children; and
    (3) Locating classes for preschool children with disabilities in 
regular elementary schools.
    In each case the public agency must ensure that each child's 
placement is in the LRE in which the unique needs of that child can be 
met, based upon the child's IEP, and meets all of the other requirements 
of Secs. 300.340-300.350 and Secs. 300.550-300.556.
    The analysis of the regulations for section 504 of the 
Rehabilitation Act of 1973 (34 CFR part 104--Appendix, Paragraph 24) 
includes several points regarding educational placements of children 
with disabilities that are pertinent to this section:
    1. With respect to determining proper placements, the analysis 
states: ``* * * it should be stressed that, where a handicapped child is 
so disruptive in a regular classroom that the education of other 
students is significantly impaired, the needs of the handicapped child 
cannot be met in that environment. Therefore regular placement would not 
be appropriate to his or her needs * * *.''
    2. With respect to placing a child with a disability in an alternate 
setting, the analysis states that among the factors to be considered in 
placing a child is the need to place the child as close to home as 
possible. Recipients are required to take this factor into account in 
making placement decisions. The parents' right to challenge the 
placement of their child extends not only to placement in special 
classes or separate schools, but also to placement in a distant school, 
particularly in a residential program. An equally appropriate education 
program may exist closer to home; and this issue may be raised by the 
parent under the due process provisions of this subpart.



Sec. 300.553  Nonacademic settings.

    In providing or arranging for the provision of nonacademic and 
extracurricular services and activities, including meals, recess 
periods, and the services and activities set forth in Sec. 300.306, each 
public agency shall ensure that each child with a disability 
participates with nondisabled children in those services and activities 
to the maximum extent appropriate to the needs of that child.

(Authority: 20 U.S.C. 1412(5)(B))


    Note: Section 300.553 is taken from a requirement in the final 
regulations for section 504 of the Rehabilitation Act of 1973. With 
respect to this requirement, the analysis of the section 504 regulations 
includes the following statement: ``[This paragraph] specifies that 
handicapped children must also be provided nonacademic services in as 
integrated a setting as possible. This requirement is especially 
important for children whose educational needs necessitate their being 
solely with other handicapped children during most of each day. To the 
maximum extent appropriate, children in residential settings are also to 
be provided opportunities for participation with other children.'' (34 
CFR part 104--Appendix, Paragraph 24.)



Sec. 300.554  Children in public or private institutions.

    Each SEA shall make arrangements with public and private 
institutions (such as a memorandum of agreement or special 
implementation procedures) as may be necessary to ensure that 
Sec. 300.550 is effectively implemented.

(Authority: 20 U.S.C. 1412(5)(B))


    Note: Under section 612(5)(B) of the statute, the requirement to 
educate children with disabilities with nondisabled children also 
applies to children in public and private institutions or other care 
facilities. Each SEA must ensure that each applicable agency and 
institution in the State implements this requirement. Regardless of 
other reasons for institutional placement, no child in an institution 
who is capable of education in a regular public school setting may be 
denied access to an education in that setting.



Sec. 300.555  Technical assistance and training activities.

    Each SEA shall carry out activities to ensure that teachers and 
administrators in all public agencies--
    (a) Are fully informed about their responsibilities for implementing 
Sec. 300.550; and

[[Page 58]]

    (b) Are provided with technical assistance and training necessary to 
assist them in this effort.

(Authority: 20 U.S.C. 1412(5)(B))



Sec. 300.556  Monitoring activities.

    (a) The SEA shall carry out activities to ensure that Sec. 300.550 
is implemented by each public agency.
    (b) If there is evidence that a public agency makes placements that 
are inconsistent with Sec. 300.550, the SEA shall--
    (1) Review the public agency's justification for its actions; and
    (2) Assist in planning and implementing any necessary corrective 
action.

(Authority: 20 U.S.C. 1412(5)(B))

                     Confidentiality of Information



Sec. 300.560  Definitions.

    As used in Secs. 300.560-300.576--
    Destruction means physical destruction or removal of personal 
identifiers from information so that the information is no longer 
personally identifiable.
    Education records means the type of records covered under the 
definition of education records in part 99 of this title (the 
regulations implementing the Family Educational Rights and Privacy Act 
of 1974).
    Participating agency means any agency or institution that collects, 
maintains, or uses personally identifiable information, or from which 
information is obtained, under this part.

(Authority: 20 U.S.C. 1412(2)(D); 1417(c))



Sec. 300.561  Notice to parents.

    (a) The SEA shall give notice that is adequate to fully inform 
parents about the requirements of Sec. 300.128, including--
    (1) A description of the extent that the notice is given in the 
native languages of the various population groups in the State;
    (2) A description of the children on whom personally identifiable 
information is maintained, the types of information sought, the methods 
the State intends to use in gathering the information (including the 
sources from whom information is gathered), and the uses to be made of 
the information;
    (3) A summary of the policies and procedures that participating 
agencies must follow regarding storage, disclosure to third parties, 
retention, and destruction of personally identifiable information; and
    (4) A description of all of the rights of parents and children 
regarding this information, including the rights under the Family 
Educational Rights and Privacy Act of 1974 and implementing regulations 
in part 99 of this title.
    (b) Before any major identification, location, or evaluation 
activity, the notice must be published or announced in newspapers or 
other media, or both, with circulation adequate to notify parents 
throughout the State of the activity.

(Authority: 20 U.S.C. 1412(2)(D); 1417(c))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.562  Access rights.

    (a) Each participating agency shall permit parents to inspect and 
review any education records relating to their children that are 
collected, maintained, or used by the agency under this part. The agency 
shall comply with a request without unnecessary delay and before any 
meeting regarding an IEP or any hearing relating to the identification, 
evaluation, or educational placement of the child, or the provision of 
FAPE to the child, and in no case more than 45 days after the request 
has been made.
    (b) The right to inspect and review education records under this 
section includes--
    (1) The right to a response from the participating agency to 
reasonable requests for explanations and interpretations of the records;
    (2) The right to request that the agency provide copies of the 
records containing the information if failure to provide those copies 
would effectively prevent the parent from exercising the right to 
inspect and review the records; and
    (3) The right to have a representative of the parent inspect and 
review the records.

[[Page 59]]

    (c) An agency may presume that the parent has authority to inspect 
and review records relating to his or her child unless the agency has 
been advised that the parent does not have the authority under 
applicable State law governing such matters as guardianship, separation, 
and divorce.

(Authority: 20 U.S.C. 1412(2)(D); 1417(c))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.563  Record of access.

    Each participating agency shall keep a record of parties obtaining 
access to education records collected, maintained, or used under this 
part (except access by parents and authorized employees of the 
participating agency), including the name of the party, the date access 
was given, and the purpose for which the party is authorized to use the 
records.

(Authority: 20 U.S.C. 1412(2)(D); 1417(c))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.564  Records on more than one child.

    If any education record includes information on more than one child, 
the parents of those children shall have the right to inspect and review 
only the information relating to their child or to be informed of that 
specific information.

(Authority: 20 U.S.C. 1412(2)(D); 1417(c))



Sec. 300.565  List of types and locations of information.

    Each participating agency shall provide parents on request a list of 
the types and locations of education records collected, maintained, or 
used by the agency.

(Authority: 20 U.S.C. 1412(2)(D); 1417(c))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.566  Fees.

    (a) Each participating agency may charge a fee for copies of records 
that are made for parents under this part if the fee does not 
effectively prevent the parents from exercising their right to inspect 
and review those records.
    (b) A participating agency may not charge a fee to search for or to 
retrieve information under this part.

(Authority: 20 U.S.C. 1412(2)(D); 1417(c))



Sec. 300.567  Amendment of records at parent's request.

    (a) A parent who believes that information in the education records 
collected, maintained, or used under this part is inaccurate or 
misleading or violates the privacy or other rights of the child may 
request the participating agency that maintains the information to amend 
the information.
    (b) The agency shall decide whether to amend the information in 
accordance with the request within a reasonable period of time of 
receipt of the request.
    (c) If the agency decides to refuse to amend the information in 
accordance with the request, it shall inform the parent of the refusal, 
and advise the parent of the right to a hearing under Sec. 300.568.

(Authority: 20 U.S.C. 1412(2)(D); 1417(c))



Sec. 300.568  Opportunity for a hearing.

    The agency shall, on request, provide an opportunity for a hearing 
to challenge information in education records to ensure that it is not 
inaccurate, misleading, or otherwise in violation of the privacy or 
other rights of the child.

(Authority: 20 U.S.C. 1412(2)(D); 1417(c))



Sec. 300.569  Result of hearing.

    (a) If, as a result of the hearing, the agency decides that the 
information is inaccurate, misleading or otherwise in violation of the 
privacy or other rights of the child, it shall amend the information 
accordingly and so inform the parent in writing.
    (b) If, as a result of the hearing, the agency decides that the 
information is not inaccurate, misleading, or otherwise in violation of 
the privacy of

[[Page 60]]

other rights of the child, it shall inform the parent of the right to 
place in the records it maintains on the child a statement commenting on 
the information or setting forth any reasons for disagreeing with the 
decision of the agency.
    (c) Any explanation placed in the records of the child under this 
section must--
    (1) Be maintained by the agency as part of the records of the child 
as long as the record or contested portion is maintained by the agency; 
and
    (2) If the records of the child or the contested portion is 
disclosed by the agency to any party, the explanation must also be 
disclosed to the party.

(Authority: 20 U.S.C. 1412(2)(D); 1417(c))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.570  Hearing procedures.

    A hearing held under Sec. 300.568 must be conducted according to the 
procedures under Sec. 99.22 of this title.
[57 FR 48694, Oct. 27, 1992]



Sec. 300.571  Consent.

    (a) Parental consent must be obtained before personally identifiable 
information is--
    (1) Disclosed to anyone other than officials of participating 
agencies collecting or using the information under this part, subject to 
paragraph (b) of this section; or
    (2) Used for any purpose other than meeting a requirement of this 
part.
    (b) An educational agency or institution subject to part 99 of this 
title may not release information from education records to 
participating agencies without parental consent unless authorized to do 
so under part 99 of this title.
    (c) The SEA shall include policies and procedures in its State plan 
that are used in the event that a parent refuses to provide consent 
under this section.

(Authority: 20 U.S.C. 1412(2)(D); 1417(c))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.572  Safeguards.

    (a) Each participating agency shall protect the confidentiality of 
personally identifiable information at collection, storage, disclosure, 
and destruction stages.
    (b) One official at each participating agency shall assume 
responsibility for ensuring the confidentiality of any personally 
identifiable information.
    (c) All persons collecting or using personally identifiable 
information must receive training or instruction regarding the State's 
policies and procedures under Sec. 300.129 and part 99 of this title.
    (d) Each participating agency shall maintain, for public inspection, 
a current listing of the names and positions of those employees within 
the agency who may have access to personally identifiable information.

(Authority: 20 U.S.C. 1412(2)(D); 1417(c))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.573  Destruction of information.

    (a) The public agency shall inform parents when personally 
identifiable information collected, maintained, or used under this part 
is no longer needed to provide educational services to the child.
    (b) The information must be destroyed at the request of the parents. 
However, a permanent record of a student's name, address, and phone 
number, his or her grades, attendance record, classes attended, grade 
level completed, and year completed may be maintained without time 
limitation.

(Authority: 20 U.S.C. 1412(2)(D); 1417(c))


    Note: Under Sec. 300.573, the personally identifiable information on 
a child with a disability may be retained permanently unless the

[[Page 61]]

parents request that it be destroyed. Destruction of records is the best 
protection against improper and unauthorized disclosure. However, the 
records may be needed for other purposes. In informing parents about 
their rights under this section, the agency should remind them that the 
records may be needed by the child or the parents for social security 
benefits or other purposes. If the parents request that the information 
be destroyed, the agency may retain the information in paragraph (b) of 
this section.



Sec. 300.574  Children's rights.

    The SEA shall include policies and procedures in its State plan 
regarding the extent to which children are afforded rights of privacy 
similar to those afforded to parents, taking into consideration the age 
of the child and type or severity of disability.

(Authority: 20 U.S.C. 1412(2)(D); 1417(c))


    Note: Under the regulations for the Family Educational Rights and 
Privacy Act of 1974 (34 CFR 99.5(a)), the rights of parents regarding 
education records are transferred to the student at age 18.


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.575  Enforcement.

    The SEA shall describe in its State plan the policies and 
procedures, including sanctions, that the State uses to ensure that its 
policies and procedures are followed and that the requirements of the 
Act and the regulations in this part are met.

(Authority: 20 U.S.C. 1412(2)(D); 1417(c))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.576  Department.

    If the Department or its authorized representatives collect any 
personally identifiable information regarding children with disabilities 
that is not subject to 5 U.S.C. 552a (The Privacy Act of 1974), the 
Secretary shall apply the requirements of 5 U.S.C. 552a (b)(1)-(2), (4)-
(11); (c); (d); (e)(1); (2); (3)(A), (B), and (D), (5)-(10); (h); (m); 
and (n), and the regulations implementing those provisions in part 5b of 
this title.

(Authority: 20 U.S.C. 1412(2)(D); 1417(c))

                          Department Procedures



Sec. 300.580  [Reserved]



Sec. 300.581  Disapproval of a State plan.

    Before disapproving a State plan, the Secretary gives the SEA 
written notice and an opportunity for a hearing.

(Authority: 20 U.S.C. 1413(c))



Sec. 300.582  Content of notice.

    (a) In the written notice, the Secretary--
    (1) States the basis on which the Secretary proposes to disapprove 
the State plan;
    (2) May describe possible options for resolving the issues;
    (3) Advises the SEA that it may request a hearing and that the 
request for a hearing must be made not later than 30 calendar days after 
it receives the notice of proposed disapproval; and
    (4) Provides information about the procedures followed for a 
hearing.
    (b) The Secretary sends the written notice to the SEA by certified 
mail with return receipt requested.

(Authority: 20 U.S.C. 1413(c))



Sec. 300.583  Hearing official or panel.

    (a) If the SEA requests a hearing, the Secretary designates one or 
more individuals, either from the Department or elsewhere, not 
responsible for or connected with the administration of this program, to 
conduct a hearing.
    (b) If more than one individual is designated, the Secretary 
designates one of those individuals as the Chief Hearing Official of the 
Hearing Panel. If one individual is designated, that individual is the 
Hearing Official.

(Authority: 20 U.S.C. 1413(c))



Sec. 300.584  Hearing procedures.

    (a) As used in Secs. 300.581-300.586 the term party or parties means 
the following:
    (1) An SEA that requests a hearing regarding the proposed 
disapproval of its State plan under this part.

[[Page 62]]

    (2) The Department of Education official who administers the program 
of financial assistance under this part.
    (3) A person, group or agency with an interest in and having 
relevant information about the case that has applied for and been 
granted leave to intervene by the Hearing Official or Panel.
    (b) Within 15 calendar days after receiving a request for a hearing, 
the Secretary designates a Hearing Official or Panel and notifies the 
parties.
    (c) The Hearing Official or Panel may regulate the course of 
proceedings and the conduct of the parties during the proceedings. The 
Hearing Official or Panel takes all steps necessary to conduct a fair 
and impartial proceeding, to avoid delay, and to maintain order, 
including the following:
    (1) The Hearing Official or Panel may hold conferences or other 
types of appropriate proceedings to clarify, simplify, or define the 
issues or to consider other matters that may aid in the disposition of 
the case.
    (2) The Hearing Official or Panel may schedule a prehearing 
conference of the Hearing Official or Panel and parties.
    (3) Any party may request the Hearing Official or Panel to schedule 
a prehearing or other conference. The Hearing Official or Panel decides 
whether a conference is necessary and notifies all parties.
    (4) At a prehearing or other conference, the Hearing Official or 
Panel and the parties may consider subjects such as--
    (i) Narrowing and clarifying issues;
    (ii) Assisting the parties in reaching agreements and stipulations;
    (iii) Clarifying the positions of the parties;
    (iv) Determining whether an evidentiary hearing or oral argument 
should be held; and
    (v) Setting dates for--
    (A) The exchange of written documents;
    (B) The receipt of comments from the parties on the need for oral 
argument or evidentiary hearing;
    (C) Further proceedings before the Hearing Official or Panel 
(including an evidentiary hearing or oral argument, if either is 
scheduled);
    (D) Requesting the names of witnesses each party wishes to present 
at an evidentiary hearing and estimation of time for each presentation; 
or
    (E) Completion of the review and the initial decision of the Hearing 
Official or Panel.
    (5) A prehearing or other conference held under paragraph (b)(4) of 
this section may be conducted by telephone conference call.
    (6) At a prehearing or other conference, the parties shall be 
prepared to discuss the subjects listed in paragraph (b)(4) of this 
section.
    (7) Following a prehearing or other conference the Hearing Official 
or Panel may issue a written statement describing the issues raised, the 
action taken, and the stipulations and agreements reached by the 
parties.
    (d) The Hearing Official or Panel may require parties to state their 
positions and to provide all or part of the evidence in writing.
    (e) The Hearing Official or Panel may require parties to present 
testimony through affidavits and to conduct cross-examination through 
interrogatories.
    (f) The Hearing Official or Panel may direct the parties to exchange 
relevant documents or information and lists of witnesses, and to send 
copies to the Hearing Official or Panel.
    (g) The Hearing Official or Panel may receive, rule on, exclude, or 
limit evidence at any stage of the proceedings.
    (h) The Hearing Official or Panel may rule on motions and other 
issues at any stage of the proceedings.
    (i) The Hearing Official or Panel may examine witnesses.
    (j) The Hearing Official or Panel may set reasonable time limits for 
submission of written documents.
    (k) The Hearing Official or Panel may refuse to consider documents 
or other submissions if they are not submitted in a timely manner unless 
good cause is shown.
    (l) The Hearing Official or Panel may interpret applicable statutes 
and regulations but may not waive them or rule on their validity.
    (m)(1) The parties shall present their positions through briefs and 
the submission of other documents and may request an oral argument or 
evidentiary hearing. The Hearing Official or Panel shall determine 
whether an

[[Page 63]]

oral argument or an evidentiary hearing is needed to clarify the 
positions of the parties.
    (2) The Hearing Official or Panel gives each party an opportunity to 
be represented by counsel.
    (n) If the Hearing Official or Panel determines that an evidentiary 
hearing would materially assist the resolution of the matter, the 
Hearing Official or Panel gives each party, in addition to the 
opportunity to be represented by counsel--
    (1) An opportunity to present witnesses on the party's behalf; and
    (2) An opportunity to cross-examine witnesses either orally or with 
written questions.
    (o) The Hearing Official or Panel accepts any evidence that it finds 
is relevant and material to the proceedings and is not unduly 
repetitious.
    (p)(1) The Hearing Official or Panel--
    (i) Arranges for the preparation of a transcript of each hearing;
    (ii) Retains the original transcript as part of the record of the 
hearing; and
    (iii) Provides one copy of the transcript to each party.
    (2) Additional copies of the transcript are available on request and 
with payment of the reproduction fee.
    (q) Each party shall file with the Hearing Official or Panel all 
written motions, briefs, and other documents and shall at the same time 
provide a copy to the other parties to the proceedings.

(Authority: 20 U.S.C. 1413(c))



Sec. 300.585  Initial decision; final decision.

    (a) The Hearing Official or Panel prepares an initial written 
decision that addresses each of the points in the notice sent by the 
Secretary to the SEA under Sec. 300.582.
    (b) The initial decision of a Panel is made by a majority of Panel 
members.
    (c) The Hearing Official or Panel mails by certified mail with 
return receipt requested a copy of the initial decision to each party 
(or to the party's counsel) and to the Secretary, with a notice stating 
that each party has an opportunity to submit written comments regarding 
the decision to the Secretary.
    (d) Each party may file comments and recommendations on the initial 
decision with the Hearing Official or Panel within 15 calendar days of 
the date the party receives the Panel's decision.
    (e) The Hearing Official or Panel sends a copy of a party's initial 
comments and recommendations to the other parties by certified mail with 
return receipt requested. Each party may file responsive comments and 
recommendations with the Hearing Official or Panel within seven calendar 
days of the date the party receives the initial comments and 
recommendations.
    (f) The Hearing Official or Panel forwards the parties' initial and 
responsive comments on the initial decision to the Secretary who reviews 
the initial decision and issues a final decision.
    (g) The initial decision of the Hearing Official or Panel becomes 
the final decision of the Secretary unless, within 25 calendar days 
after the end of the time for receipt of written comments, the Secretary 
informs the Hearing Official or Panel and the parties to a hearing in 
writing that the decision is being further reviewed for possible 
modification.
    (h) The Secretary may reject or modify the initial decision of the 
Hearing Official or Panel if the Secretary finds that it is clearly 
erroneous.
    (i) The Secretary conducts the review based on the initial decision, 
the written record, the Hearing Official's or Panel's proceedings, and 
written comments. The Secretary may remand the matter for further 
proceedings.
    (j) The Secretary issues the final decision within 30 calendar days 
after notifying the Hearing Official or Panel that the initial decision 
is being further reviewed.



Sec. 300.586  Filing requirements.

    (a) Any written submission under Secs. 300.582-300.585 must be filed 
by hand-delivery, by mail, or by facsimile transmission. The Secretary 
discourages the use of facsimile transmission for documents longer than 
five pages.
    (b) The filing date under paragraph (a) of this section is the date 
the document is--
    (1) Hand-delivered;

[[Page 64]]

    (2) Mailed; or
    (3) Sent by facsimile transmission.
    (c) A party filing by facsimile transmission is responsible for 
confirming that a complete and legible copy of the document was received 
by the Department.
    (d) If a document is filed by facsimile transmission, the Secretary, 
the Hearing Official, or the Panel, as applicable, may require the 
filing of a follow-up hard copy by hand-delivery or by mail within a 
reasonable period of time.
    (e) If agreed upon by the parties, service of a document may be made 
upon the other party by facsimile transmission.

(Authority: 20 U.S.C. 1413(c))

[57 FR 56796, Nov. 30, 1992]



Sec. 300.587  Judicial review.

    If a State is dissatisfied with the Secretary's final action with 
respect to its State plan, the State may, within 60 calendar days after 
notice of that action, file a petition for review with the United States 
court of appeals for the circuit in which the State is located.

(Authority: 20 U.S.C. 1416(b)(1))

[57 FR 44798, Sept. 29, 1992. Redesignated at 57 FR 56796, Nov. 30, 
1992]



Sec. 300.588  [Reserved]



Sec. 300.589  Waiver of requirement regarding supplementing and supplanting with part B funds.

    (a) Under sections 613(a)(9)(B) and 614(a)(2)(B)(ii) of the Act, 
SEAs and LEAs must ensure that Federal funds provided under this part 
are used to supplement and increase the level of Federal, State, and 
local funds (including funds that are not under the direct control of 
SEAs or LEAs) expended for special education and related services 
provided to children with disabilities under this part and in no case to 
supplant those Federal, State, and local funds. The nonsupplanting 
requirement applies only to funds allocated to LEAs (See Sec. 300.372).
    (b) If the State provides clear and convincing evidence that all 
children with disabilities have FAPE available to them, the Secretary 
may waive in part the requirement under sections 613(a)(9)(B) and 
614(a)(2)(B)(ii) of the Act if the Secretary concurs with the evidence 
provided by the State.
    (c) If a State wishes to request a waiver, it must inform the 
Secretary in writing. The Secretary then provides the State with a 
finance and membership report form that provides the basis for the 
request.
    (d) In its request for a waiver, the State shall include the results 
of a special study made by the State to obtain evidence of the 
availability of FAPE to all children with disabilities. The special 
study must include statements by a representative sample of 
organizations that deal with children with disabilities, and parents and 
teachers of children with disabilities, relating to the following 
areas--
    (1) The adequacy and comprehensiveness of the State's system for 
identifying, locating, and evaluating children with disabilities;
    (2) The cost to parents, if any, for education for children enrolled 
in public and private day schools, and in public and private residential 
schools and institutions; and
    (3) The adequacy of the State's due process procedures.
    (e) In its request for a waiver, the State shall include finance 
data relating to the availability of FAPE for all children with 
disabilities, including--
    (1) The total current expenditures for regular education programs 
and special education programs by function and by source of funds 
(State, local, and Federal) for the previous school year; and
    (2) The full-time equivalent membership of students enrolled in 
regular programs and in special programs in the previous school year.
    (f) The Secretary considers the information that the State provides 
under paragraphs (d) and (e) of this section, along with any additional 
information he may request, or obtain through on-site reviews of the 
State's education programs and records, to determine if all children 
have FAPE available to them, and if so, the extent of the waiver.

[[Page 65]]

    (g) The State may request a hearing with regard to any final action 
by the Secretary under this section.

(Authority: 20 U.S.C. 1411(c)(3); 1413(a)(9)(B))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



                     Subpart F--State Administration

                                 General



Sec. 300.600  Responsibility for all educational programs.

    (a) The SEA is responsible for ensuring--
    (1) That the requirements of this part are carried out; and
    (2) That each educational program for children with disabilities 
administered within the State, including each program administered by 
any other public agency--
    (i) Is under the general supervision of the persons responsible for 
educational programs for children with disabilities in the SEA; and
    (ii) Meets the education standards of the SEA (including the 
requirements of this part).
    (b) The State must comply with paragraph (a) of this section through 
State statute, State regulation, signed agreement between respective 
agency officials, or other documents.
    (c) This part may not be construed to limit the responsibility of 
agencies other than educational agencies for providing or paying some or 
all of the costs of FAPE to children with disabilities in the State.

(Authority: 20 U.S.C. 1412(6))


    Note: The requirement in Sec. 300.600(a) is taken essentially 
verbatim from section 612(6) of the statute and reflects the desire of 
the Congress for a central point of responsibility and accountability in 
the education of children with disabilities within each State. With 
respect to SEA responsibility, the Senate Report on Pub. L. 94-142 
includes the following statements:
    This provision is included specifically to assure a single line of 
responsibility with regard to the education of handicapped children, and 
to assure that in the implementation of all provisions of this Act and 
in carrying out the right to education for handicapped children, the 
State educational agency shall be the responsible agency * * *.
    Without this requirement, there is an abdication of responsibility 
for the education of handicapped children. Presently, in many States, 
responsibility is divided, depending upon the age of the handicapped 
child, sources of funding, and type of services delivered. While the 
Committee understands that different agencies may, in fact, deliver 
services, the responsibility must remain in a central agency overseeing 
the education of handicapped children, so that failure to deliver 
services or the violation of the rights of handicapped children is 
squarely the responsibility of one agency. (S. Rep. No. 94-168, p. 24 
(1975))
    In meeting the requirements of this section, there are a number of 
acceptable options that may be adopted, including the following:
    (1) Written agreements are developed between respective State 
agencies concerning SEA standards and monitoring. These agreements are 
binding on the local or regional counterparts of each State agency.
    (2) The Governor's Office issues an administrative directive 
establishing the SEA responsibility.
    (3) State law, regulation, or policy designates the SEA as 
responsible for establishing standards for all educational programs for 
individuals with disabilities, and includes responsibility for 
monitoring.
    (4) State law mandates that the SEA is responsible for all 
educational programs.


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.601  Relation of part B to other Federal programs.

    This part may not be construed to permit a State to reduce medical 
and other assistance available to children with disabilities, or to 
alter the eligibility of a child with a disability, under title V 
(Maternal and Child Health) or title XIX (Medicaid) of the Social 
Security Act, to receive services that are also part of FAPE.

(Authority: 20 U.S.C. 1413(e))

                              Use of Funds



Sec. 300.620  Federal funds for State administration.

    A State may use five percent of the total State allotment in any 
fiscal year under part B of the Act, or $450,000,

[[Page 66]]

whichever is greater, for administrative costs related to carrying out 
sections 612 and 613 of the Act. However, this amount cannot be greater 
than twenty-five percent of the State's total allotment for the fiscal 
year under part B of the Act.

(Authority: 20 U.S.C. 1411(b), (c))



Sec. 300.621  Allowable costs.

    (a) The SEA may use funds under Sec. 300.620 for--
    (1) Administration of the State plan and for planning at the State 
level, including planning, or assisting in the planning, of programs or 
projects for the education of children with disabilities;
    (2) Approval, supervision, monitoring, and evaluation of the 
effectiveness of local programs and projects for the education of 
children with disabilities;
    (3) Technical assistance to LEAs with respect to the requirements of 
this part;
    (4) Leadership services for the program supervision and management 
of special education activities for children with disabilities; and
    (5) Other State leadership activities and consultative services.
    (b) The SEA shall use the remainder of its funds under Sec. 300.620 
in accordance with Sec. 300.370.

(Authority: 20 U.S.C. 1411(b), (c))

                          State Advisory Panel



Sec. 300.650  Establishment.

    (a) Each State shall establish, in accordance with the provisions of 
Secs. 300.650-300.653, a State advisory panel on the education of 
children with disabilities.
    (b) The advisory panel must be appointed by the Governor or any 
other official authorized under State law to make those appointments.
    (c) If a State has an existing advisory panel that can perform the 
functions in Sec. 300.652, the State may modify the existing panel so 
that it fulfills all of the requirements of Secs. 300.650-300.653, 
instead of establishing a new advisory panel.

(Authority: 20 U.S.C. 1413(a)(12))



Sec. 300.651  Membership.

    (a) The membership of the State advisory panel must be composed of 
persons involved in or concerned with the education of children with 
disabilities. The membership must include at least one person 
representative of each of the following groups--
    (1) Individuals with disabilities;
    (2) Teachers of children with disabilities;
    (3) Parents of children with disabilities;
    (4) State and local educational officials; and
    (5) Special education program administrators.
    (b) The State may expand the advisory panel to include additional 
persons in the groups listed in paragraph (a) of this section and 
representatives of other groups not listed.

(Authority: 20 U.S.C. 1413(a)(12))


    Note: The membership of the State advisory panel, as listed in 
paragraphs (a)(1)-(5) of this section, is required in section 613(a)(12) 
of the Act. As indicated in paragraph (b) of this section, the 
composition of the panel and the number of members may be expanded at 
the discretion of the State. In adding to the membership, consideration 
could be given to having--
    (1) An appropriate balance between professional groups and consumers 
(i.e., parents, advocates, and individuals with disabilities);
    (2) Broad representation within the consumer-advocate groups, to 
ensure that the interests and points of view of various parents, 
advocates and individuals with disabilities are appropriately 
represented;
    (3) Broad representation within professional groups (e.g., regular 
education personnel: special educators, including teachers, teacher 
trainers, and administrators, who can properly represent various 
dimensions in the education of children with disabilities; and 
appropriate related services personnel); and
    (4) Representatives from other State advisory panels (such as 
vocational education).
    If a State elects to maintain a small advisory panel (e.g., 10-15 
members), the panel itself could take steps to ensure that it (1) 
consults with and receives inputs from various consumer and special 
interest professional groups, and (2) establishes committees for 
particular short-term purposes composed of representatives from those 
input groups.



Sec. 300.652  Advisory panel functions.

    The State advisory panel shall--

[[Page 67]]

    (a) Advise the SEA of unmet needs within the State in the education 
of children with disabilities;
    (b) Comment publicly on the State plan and rules or regulations 
proposed for issuance by the State regarding the education of children 
with disabilities and the procedures for distribution of funds under 
this part; and
    (c) Assist the State in developing and reporting such information 
and evaluations as may assist the Secretary in the performance of his 
responsibilities under section 618 of the Act.

(Authority: 20 U.S.C. 1413(a)(12))



Sec. 300.653  Advisory panel procedures.

    (a) The advisory panel shall meet as often as necessary to conduct 
its business.
    (b) By July 1 of each year, the advisory panel shall submit an 
annual report of panel activities and suggestions to the SEA. This 
report must be made available to the public in a manner consistent with 
other public reporting requirements of this part.
    (c) Official minutes must be kept on all panel meetings and shall be 
made available to the public on request.
    (d) All advisory panel meetings and agenda items must be publicly 
announced prior to the meeting, and meetings must be open to the public.
    (e) Interpreters and other necessary services must be provided at 
panel meetings for panel members or participants. The State may pay for 
these services from funds under Sec. 300.620.
    (f) The advisory panel shall serve without compensation but the 
State must reimburse the panel for reasonable and necessary expenses for 
attending meetings and performing duties. The State may use funds under 
Sec. 300.620 for this purpose.

(Authority: 20 U.S.C. 1413(a)(12))


(Approved by the Office of Management and Budget under control number 
1820-0030)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]

                       State Complaint Procedures



Sec. 300.660  Adoption of State complaint procedures.

    Each SEA shall adopt written procedures for:
    (a) Resolving any complaint that meets the requirements of 
Sec. 300.662 by--
    (1) Providing for the filing of a complaint with the SEA; and
    (2) At the SEA's discretion, providing for the filing of a complaint 
with a public agency and the right to have the SEA review the public 
agency's decision on the complaint.
    (b) Informing parents and other interested individuals about the 
procedures in Secs. 300.660-300.662.

(Authority: 20 U.S.C. 2831(a))


(Approved by the Office of Management and Budget under control number 
1820-0599)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.661  Minimum State complaint procedures.

    Each SEA shall include the following in its complaint procedures:
    (a) A time limit of 60 calendar days after a complaint is filed 
under Sec. 300.660(a) to--
    (1) Carry out an independent on-site investigation, if the SEA 
determines that such an investigation is necessary;
    (2) Give the complainant the opportunity to submit additional 
information, either orally or in writing, about the allegations in the 
complaint;
    (3) Review all relevant information and make an independent 
determination as to whether the public agency is violating a requirement 
of part B of the Act or of this part; and
    (4) Issue a written decision to the complainant that addresses each 
allegation in the complaint and contains--
    (i) Findings of fact and conclusions; and
    (ii) The reasons for the SEA's final decision.
    (b) An extension of the time limit under paragraph (a) of this 
section only if exceptional circumstances exist with respect to a 
particular complaint.
    (c) Procedures for effective implementation of the SEA's final 
decision, if needed, including technical assistance activities, 
negotiations, and corrective actions to achieve compliance.

[[Page 68]]

    (d) The right of the complainant or the public agency to request the 
Secretary to review the SEA's final decision.

(Authority: 20 U.S.C. 2831(a))


(Approved by the Office of Management and Budget under control number 
1820-0599)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.662  Filing a complaint.

    An organization or individual may file a signed written complaint 
under the procedures described in Secs. 300.600-300.661. The complaint 
must include--
    (a) A statement that a public agency has violated a requirement of 
part B of the Act or of this part; and
    (b) The facts on which the statement is based.

(Authority: 20 U.S.C. 2831(a))


(Approved by the Office of Management and Budget under control number 
1820-0599)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



                 Subpart G--Allocation of Funds; Reports

                               Allocations



Sec. 300.700  Special definition of the term ``State.''

    For the purposes of Sec. 300.701, Sec. 300.702, and Secs. 300.704-
300.708, the term State does not include Guam, American Samoa, the 
Virgin Islands, the Commonwealth of the Northern Mariana Islands, the 
Federated States of Micronesia, the Republic of the Marshall Islands, or 
Palau.

(Authority: 20 U.S.C. 1411(a)(2))



Sec. 300.701  State entitlement; formula.

    (a) The Secretary calculates the maximum amount of the grant to 
which a State is entitled under section 611 of the Act in any fiscal 
year as follows:
    (1) If the State is eligible for a grant under section 619 of the 
Act, the maximum entitlement is equal to the number of children with 
disabilities aged 3 through 21 in the State who are receiving special 
education and related services, multiplied by 40 percent of the average 
per pupil expenditure in public elementary and secondary schools in the 
United States.
    (2) If the State is not eligible for a grant under section 619 of 
the Act, the maximum entitlement is equal to the number of children with 
disabilities aged 6 through 21 in the State who are receiving special 
education and related services, multiplied by 40 percent of the average 
per pupil expenditure in public elementary and secondary schools in the 
United States.

(Authority: 20 U.S.C. 1411(a)(1))

    (b) [Reserved]
    (c) For the purposes of this section, the average per pupil 
expenditure in public elementary and secondary schools in the United 
States, means the aggregate expenditures during the second fiscal year 
preceding the fiscal year for which the computation is made (or if 
satisfactory data for that year are not available at the time of 
computation, then during the most recent preceding fiscal year for which 
satisfactory data are available) of all LEAs in the United States 
(which, for the purpose of this section, means the 50 States and the 
District of Columbia), plus any direct expenditures by the State for 
operation of those agencies (without regard to the source of funds from 
which either of those expenditures are made), divided by the aggregate 
number of children in average daily attendance to whom those agencies 
provided free public education during that preceding year.

(Authority: 20 U.S.C. 1411(a)(4))



Sec. 300.702  Limitations and exclusions.

    (a) In determining the amount of a grant under Sec. 300.701:
    (1) If a State serves all children with disabilities aged 3 through 
5 in the State, the Secretary does not count children with disabilities 
aged 3 through 17 in the State to the extent that the number of those 
children is greater than 12 percent of the number of all children aged 3 
through 17 in the State.
    (2) If a State does not serve all children with disabilities aged 3 
through 5 in the State, the Secretary does not count children with 
disabilities aged 5

[[Page 69]]

through 17 to the extent that the number of those children is greater 
than 12 percent of the number of all children aged 5 through 17 in the 
State.
    (3) The Secretary does not count children with disabilities who are 
counted under subpart 2 of part D of chapter 1 of title I of the 
Elementary and Secondary Education Act of 1965.
    (b) For the purposes of paragraph (a) of this section, the number of 
children aged 3 through 17 and 5 through 17 in any State is determined 
by the Secretary on the basis of the most recent satisfactory data 
available.

(Authority: 20 U.S.C. 1411(a)(5))



Sec. 300.703  Ratable reductions.

    (a) General. If the sums appropriated for any fiscal year for making 
payments to States under section 611 of the Act are not sufficient to 
pay in full the total amounts that all States are entitled to receive 
for that fiscal year, the maximum amount that all States are entitled to 
receive for that fiscal year shall be ratably reduced. In case 
additional funds become available for making payments for any fiscal 
year during which the preceding sentence is applicable, those reduced 
amounts shall be increased on the same basis they were reduced.

(Authority: 20 U.S.C. 1411(g)(1))

    (b) Reporting dates for local educational agencies and 
reallocations. (1) In any fiscal year that the State entitlement has 
been ratably reduced, and that additional funds have not been made 
available to pay in full the total of the amounts under paragraph (a) of 
this section, the SEA shall fix dates before which each LEA shall report 
to the State the amount of funds available to it under this part that it 
estimates it will expend.
    (2) The amounts available under paragraph (a) of this section, or 
any amount that would be available to any other LEA if it were to submit 
an application meeting the requirements of this part, that the SEA 
determines will not be used for the period of its availability shall be 
available for allocation to those LEAs, in the manner provided in 
Sec. 300.707, that the SEA determines will need and be able to use 
additional funds to carry out approved programs.

(Authority: 20 U.S.C. 1411(g)(2))



Sec. 300.704  Hold harmless provision.

    No State shall receive less than the amount it received under part B 
of the Act for fiscal year 1977.

(Authority: 20 U.S.C. 1411(a)(1))



Sec. 300.705  Allocation for State in which by-pass is implemented for private school children with disabilities.

    In determining the allocation under Secs. 300.700-300.703 of a State 
in which the Secretary will implement a by-pass for private school 
children with disabilities under Secs. 300.451-300.486, the Secretary 
includes in the State's child count--
    (a) For the first year of a by-pass, the actual or estimated number 
of private school children with disabilities (as defined in 
Secs. 300.7(a) and 300.450) in the State, as of the preceding December 
1; and
    (b) For succeeding years of a by-pass, the number of private school 
children with disabilities who received special education and related 
services under the by-pass in the preceding year.

(Authority: 20 U.S.C. 1411(a)(1)(A), 1411(a)(3), 1413(d))



Sec. 300.706  Within-State distribution: Fiscal year 1979 and after.

    Of the funds received under Sec. 300.701 by any State for fiscal 
year 1979, and for each fiscal year after fiscal year 1979--
    (a) 25 percent may be used by the State in accordance with 
Sec. 300.620 and Sec. 300.370; and
    (b) 75 percent shall be distributed to the LEAs in the State in 
accordance with Sec. 300.707.

(Authority: 20 U.S.C. 1411(c)(1))



Sec. 300.707  Local educational agency entitlement; formula.

    From the total amount of funds available to all LEAs, each LEA is 
entitled to an amount that bears the same ratio to the total amount as 
the number of children with disabilities aged 3 through 21 in that 
agency who are receiving special education and related services bears to 
the aggregate

[[Page 70]]

number of children with disabilities aged 3 through 21 receiving special 
education and related services in all LEAs that apply to the SEA for 
funds under part B of the Act.

(Authority: 20 U.S.C. 1411(d))



Sec. 300.708  Reallocation of local educational agency funds.

    If an SEA determines that an LEA is adequately providing FAPE to all 
children with disabilities residing in the area served by the local 
agency with State and local funds otherwise available to the local 
agency, the SEA may reallocate funds (or portions of those funds that 
are not required to provide special education and related services) made 
available to the local agency under Sec. 300.707, to other LEAs within 
the State that are not adequately providing special education and 
related services to all children with disabilities residing in the areas 
served by the other LEAs.

(Authority: 20 U.S.C. 1414(e))



Sec. 300.709  Payments to the Secretary of the Interior for the education of Indian children.

    (a) General. (1) The Secretary makes payments to the Secretary of 
the Interior to meet the need for assistance for the education of 
children with disabilities on reservations, aged 5 through 21, who are 
enrolled in elementary and secondary schools for Indian children 
operated or funded by the Secretary of the Interior.
    (2) In the case of Indian students aged 3 through 5 who are enrolled 
in programs affiliated with Bureau of Indian Affairs (BIA) schools that 
are required by the States in which the schools are located to attain or 
maintain State accreditation and had State accreditation prior to 
October 7, 1991, the schools may count those children for the purpose of 
distribution of the funds provided under paragraph (a)(1) of this 
section to the Secretary of the Interior.
    (3) The amount of the payment under paragraph (a)(1) of this section 
for any fiscal year is one percent of the aggregate amounts available to 
all States under this part for that fiscal year.
    (b) Responsibility for meeting the requirements of part B. The 
Secretary of the Interior shall be responsible for meeting all of the 
requirements of part B of the Act for the children described in 
paragraph (a) of this section, in accordance with Sec. 300.260.

(Authority: 20 U.S.C. 1411(f))



Sec. 300.710  Payments to the Secretary of the Interior for Indian tribes or tribal organizations.

    (a) General. (1) Beginning with funds appropriated under part B of 
the Act for fiscal year 1992, the Secretary, subject to this section, 
makes payments to the Secretary of the Interior to be distributed to 
tribes or tribal organizations (as defined under section 4 of the Indian 
Self-Determination and Education Assistance Act) or consortiums of those 
tribes or tribal organizations to provide for the coordination of 
assistance for special education and related services for children with 
disabilities, aged 3 through 5, on reservations served by elementary and 
secondary schools for Indian children operated or funded by the 
Department of the Interior.
    (2) The amount of the payment under paragraph (b)(1) of this section 
for any fiscal year is .25 percent of the aggregate amounts available 
for all States under this part for that fiscal year.
    (3) None of the funds allocated under this section may be used by 
the Secretary of the Interior for administrative purposes, including 
child count, and the provision of technical assistance.
    (b) Distribution of funds. The Secretary of the Interior shall 
distribute the total amount of the .25 percent under paragraph (a) of 
this section in accordance with section 611(f)(4) of the Act.

(Authority: 20 U.S.C. 1411(f))



Sec. 300.711  Entitlements to jurisdictions.

    (a) The jurisdictions to which this section applies are Guam, 
American Samoa, the Virgin Islands, the Commonwealth of the Northern 
Mariana Islands, the Federated States of Micronesia, the Republic of the 
Marshall Islands, and Palau, (until the Compact of

[[Page 71]]

Free Association with Palau takes effect pursuant to section 101(a) of 
Pub. L. 99-658).
    (b) Each jurisdiction under paragraph (a) of this section is 
entitled to a grant for the purposes set forth in section 601(c) of the 
Act. The amount to which those jurisdictions are so entitled for any 
fiscal year shall not exceed an amount equal to 1 percent of the 
aggregate of the amounts available to all States under this part for 
that fiscal year. Funds appropriated for those jurisdictions shall be 
allocated proportionately among them on the basis of the number of 
children aged 3 through 21 in each jurisdiction. However, no 
jurisdiction shall receive less than $150,000, and other allocations 
shall be ratably reduced if necessary to ensure that each jurisdiction 
receives at least that amount.
    (c) The amount expended for administration by each jurisdiction 
under this section shall not exceed 5 percent of the amount allotted to 
the jurisdiction for any fiscal year, or $35,000, whichever is greater.

(Authority: 20 U.S.C. 1411(e))

                                 Reports



Sec. 300.750  Annual report of children served--report requirement.

    (a) The SEA shall report to the Secretary no later than February 1 
of each year the number of children with disabilities aged 3 through 21 
residing in the State who are receiving special education and related 
services.

(Authority: 20 U.S.C. 1411(a)(3))

    (b) The SEA shall submit the report on forms provided by the 
Secretary.

(Authority: 20 U.S.C. 1411(a)(3))


    Note: It is very important to understand that this report and the 
requirements that relate to it are solely for allocation purposes. The 
population of children the State may count for allocation purposes may 
differ from the population of children to whom the State must make FAPE 
available. For example, while section 611(a)(5) of the Act limits the 
number of children who may be counted for allocation purposes to 12 
percent of the general school population aged 3 through 17 (in States 
that serve all children with disabilities aged 3 through 5) or 5 through 
17 (in States that do not serve all children with disabilities aged 3 
through 5), a State might find that 14 percent (or some other 
percentage) of its children have disabilities. In that case, the State 
must make FAPE available to all of those children with disabilities.


(Approved by the Office of Management and Budget under control number 
1820-0043)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]



Sec. 300.751  Annual report of children served--information required in the report.

    (a) In its report, the SEA shall include a table that shows--
    (1) The number of children with disabilities receiving special 
education and related services on December 1 of that school year;
    (2) The number of children with disabilities aged 3 through 5 who 
are receiving FAPE;
    (3) The number of those children with disabilities aged 6 through 21 
within each disability category, as defined in the definition of 
``children with disabilities'' in Sec. 300.7; and
    (4) The number of those children with disabilities aged 3 through 21 
for each year of age (3, 4, 5, etc.).
    (b) For the purpose of this part, a child's age is the child's 
actual age on the date of the child count: December 1.
    (c) The SEA may not report a child aged 6 through 21 under more than 
one disability category.
    (d) If a child with a disability aged 6 through 21 has more than one 
disability, the SEA shall report that child in accordance with the 
following procedure:
    (1) A child with deaf-blindness must be reported under the category 
``deaf-blindness.''
    (2) A child who has more than one disability (other than deaf-
blindness) must be reported under the category ``multiple 
disabilities.''

(Authority: 20 U.S.C. 1411(a)(3); (5)(A)(ii); 1418(b))


(Approved by the Office of Management and Budget under control number 
1820-0043)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]

[[Page 72]]



Sec. 300.752  Annual report of children served--certification.

    The SEA shall include in its report a certification signed by an 
authorized official of the agency that the information provided is an 
accurate and unduplicated count of children with disabilities receiving 
special education and related services on the dates in question.

(Authority: 20 U.S.C. 1411(a)(3); 1417(b))



Sec. 300.753  Annual report of children served--criteria for counting children.

    (a) The SEA may include in its report children with disabilities who 
are enrolled in a school or program that is operated or supported by a 
public agency, and that either--
    (1) Provides them with both special education and related services; 
or
    (2) Provides them only with special education if they do not need 
related services to assist them in benefitting from that special 
education.
    (b) The SEA may not include children with disabilities in its report 
who--
    (1) Are not enrolled in a school or program operated or supported by 
a public agency;
    (2) Are not provided special education that meets State standards;
    (3) Are not provided with a related service that they need to assist 
them in benefitting from special education;
    (4) Are counted by a State agency under subpart 2 of part D of 
chapter 1 of title I of the Elementary and Secondary Education Act of 
1965; or
    (5) Are receiving special education funded solely by the Federal 
Government. However, the State may count children covered under 
Sec. 300.186(b).

(Authority: 20 U.S.C. 1411(a)(3); 1417(b))


    Note 1: Under paragraph (a) of this section, the State may count 
children with disabilities in a Head Start or other preschool program 
operated or supported by a public agency if those children are provided 
special education that meets State standards.


    Note 2: Special education, by statutory definition, must be at no 
cost to parents. As of September 1, 1978, under the FAPE requirement, 
both special education and related services must be at no cost to 
parents.
    There may be some situations, however, where a child receives 
special education from a public source at no cost, but whose parents pay 
for the basic or regular education. This child may be counted. The 
Department expects that there would only be limited situations where 
special education would be clearly separate from regular education--
generally, where speech services is the only special education required 
by the child. For example, the child's parents may have enrolled the 
child in a regular program in a private school, but the child might be 
receiving speech services in a program funded by the LEA. Allowing these 
children to be counted will provide incentives (in addition to complying 
with the legal requirement in section 613(a)(4)(A) of the Act regarding 
private schools) to public agencies to provide services to children 
enrolled by their parents in private schools, since funds are generated 
in part on the basis of the number of children provided special 
education and related services. Agencies should understand, however, 
that if a public agency places or refers a child with a disability to a 
public or private school for educational purposes, special education 
includes the entire educational program provided to the child. In that 
case, parents may not be charged for any part of the child's education.
    A State may not count Indian children on or near reservations and 
children on military facilities if it provides them no special 
education. If an SEA or LEA is responsible for serving these children, 
and does provide them special education and related services, they may 
be counted.



Sec. 300.754  Annual report of children served--other responsibilities of the State educational agency.

    In addition to meeting the other requirements of Secs. 300.750-
300.753, the SEA shall--
    (a) Establish procedures to be used by LEAs and other educational 
institutions in counting the number of children with disabilities 
receiving special education and related services;
    (b) Set dates by which those agencies and institutions must report 
to the SEA to ensure that the State complies with Sec. 300.750(a);
    (c) Obtain certification from each agency and institution that an 
unduplicated and accurate count has been made;
    (d) Aggregate the data from the count obtained from each agency and 
institution, and prepare the reports required under Secs. 300.750-
300.753; and

[[Page 73]]

    (e) Ensure that documentation is maintained that enables the State 
and the Secretary to audit the accuracy of the count.

(Authority: 20 U.S.C. 1411(a)(3); 1417(b))


    Note: States should note that the data required in the annual report 
of children served are not to be transmitted to the Secretary in 
personally identifiable form. States are encouraged to collect these 
data in non-personally identifiable form.


(Approved by the Office of Management and Budget under control number 
1820-0043)

[57 FR 44798, Sept. 29, 1992, as amended at 58 FR 13528, Mar. 11, 1993]

               Appendixes A and B to Part 300  [Reserved]

            Appendix C to Part 300--Notice of Interpretation

    I. Purpose of the IEP
    II. IEP Requirements

                        Sec. 300.340  Definition

          Sec. 300.341  State educational agency responsibility

    1. Who is responsible for ensuring the development of IEPs for 
children with disabilities served by a public agency other than an LEA?
    2. For a child placed out of State by a public agency, is the 
placing or receiving State responsible for the child's IEP?

 Sec. 300.342  When individualized education programs must be in effect

    3. In requiring that an IEP be in effect before special education 
and related services are provided, what does ``be in effect'' mean?
    4. How much of a delay is permissible between the time an IEP of a 
child with a disability is finalized and when special education is 
provided?
    5. For a child with a disability receiving special education for the 
first time, when must an IEP be developed--before placement or after 
placement?
    6. If a child with a disability has been receiving special education 
in one LEA and moves to another community, must the new LEA hold an IEP 
meeting before the child is placed in a special education program?

                         Sec. 300.343  Meetings

    7. What is the purpose of the 30 day timeline in Sec. 300.343(c)?
    8. Must the agency hold a separate meeting to determine a child's 
eligibility for special education and related services, or can this step 
be combined with the IEP meeting?
    9. Must IEPs be reviewed or revised at the beginning of each school 
year?
    10. How frequently must IEP meetings be held and how long should 
they be?
    11. Who can initiate IEP meetings?
    12. May IEP meetings be tape-recorded?

                 Sec. 300.344  Participants in meetings

                         (Agency representative)

    13. Who can serve as the representative of the public agency at an 
IEP meeting?
    14. Who is the representative of the public agency if a child with a 
disability is served by a public agency other than the SEA or LEA?

                          (The child's teacher)

    15. For a child with a disability being considered for initial 
placement in special education, which teacher should attend the IEP 
meeting?
    16. If a child with a disability is enrolled in both regular and 
special education classes, which teacher should attend the IEP meeting?
    17. If a child with a disability in high school attends several 
regular classes, must all of the child's regular teachers attend the IEP 
meeting?
    18. If a child's primary disability is a speech impairment, must the 
child's regular teacher attend the IEP meeting?
    19. If a child is enrolled in a special education class because of a 
primary disability and also receives speech-language pathology services, 
must both specialists attend the IEP meeting?

                 (The child, parents, other individuals)

    20. When may representatives of teacher organizations attend IEP 
meetings?
    21. When may a child with a disability attend an IEP meeting?
    22. Do the parents of a student with a disability retain the right 
to attend the IEP meeting when the student reaches the age of majority?
    23. Must related services personnel attend IEP meetings?
    24. Are agencies required to use a case manager in the development 
of an IEP for a child with a disability?
    25. For a child with a suspected speech impairment, who must 
represent the evaluation team at the IEP meeting?

                   Sec. 300.345  Parent participation

    26. What is the role of the parents at an IEP meeting?
    27. What is the role of a surrogate parent at an IEP meeting?
    28. Must the public agency let the parents know who will be at the 
IEP meeting?
    29. Are parents required to sign IEPs?

[[Page 74]]

    30. If the parent signs the IEP, does the signature indicate consent 
for initial placement?
    31. Do parents have the right to a copy of their child's IEP?
    32. Must parents be informed at the IEP meeting of their right to 
appeal?
    33. Does the IEP include ways for parents to check the progress of 
their children?
    34. Must IEPs include specific checkpoint intervals for parents to 
confer with teachers and to revise or update their children's IEPs?
    35. If the parents and agency are unable to reach agreement at an 
IEP meeting, what steps should be followed until agreement is reached?

      Sec. 300.346  Content of the individualized education program

               (Present levels of educational performance)

    36. What should be included in the statement of the child's present 
levels of educational performance?

         (Annual goals and short term instructional objectives)

    37. Why are goals and objectives required in the IEP?
    38. What are annual goals in an IEP?
    39. What are short term instructional objectives in an IEP?
    40. Should the IEP goals and objectives focus only on special 
education and related services, or should they relate to the total 
education of the child?
    41. Should there be a relationship between the goals and objectives 
in the IEP and those that are in the instructional plans of special 
education personnel?
    42. When must IEP objectives be written--before placement or after 
placement?
    43. Can short term instructional objectives be changed without 
initiating another IEP meeting?

            (Specific special education and related services)

    44. Must the IEP include all special education and related services 
needed by the child or only those available from the public agency?
    45. Is the IEP a commitment to provide services--i.e., must a public 
agency provide all of the services listed in the IEP?
    46. Must the public agency itself directly provide the services set 
out in the IEP?
    47. Does the IEP include only special education and related services 
or does it describe the total education of the child?
    48. If modifications are necessary for a child with a disability to 
participate in a regular education program, must they be included in the 
IEP?
    49. When must physical education (PE) be described or referred to in 
an IEP?
    50. If a child with a disability is to receive vocational education, 
must it be described or referred to in the student's IEP?
    51. Must the IEP specify the amount of services or may it simply 
list the services to be provided?
    52. Must an IEP for a child with a disability indicate the extent 
that the child will be educated in the regular educational program?

                      (Projected dates/Evaluation)

    53. Can the anticipated duration of services be for more than twelve 
months?
    54. Must the evaluation procedures and schedules be included as a 
separate item in the IEP?

                      (Other IEP content questions)

    55. Is it permissible for an agency to have the IEP completed when 
the IEP meeting begins?
    56. Is there a prescribed format or length for an IEP?
    57. Is it permissible to consolidate the IEP with the individualized 
service plan developed under another Federal program?
    58. What provisions on confidentiality of information apply to IEPs?

       Sec. 300.348  Private school placements by public agencies

    59. If placement decisions are made at the time the IEP is 
developed, how can a private school representative attend the meeting?

Sec. 300.349  Children with disabilities enrolled in parochial or other 
                             private schools

     Sec. 300.350  Individualized education programs--accountability

    60. Is the IEP a performance contract?

    Authority: Part B of the Individuals with Disabilities Education Act 
(20 U.S.C. 1411-1420), unless otherwise noted.

                Individualized Education Programs (IEPs)

    Interpretation of Requirements of Part B of the Individuals with 
                       Disabilities Education Act

                          I. Purpose of the IEP

    There are two main parts of the IEP requirement, as described in the 
Act and regulations: (1) The IEP meeting(s), where parents and school 
personnel jointly make decisions about an educational program for a 
child with a disability, and (2) the IEP document itself, that is, a 
written record of the decisions reached at the meeting. The overall IEP 
requirement, comprised of these two parts, has a number of purposes and 
functions:

[[Page 75]]

    a. The IEP meeting serves as a communication vehicle between parents 
and school personnel, and enables them, as equal participants, to 
jointly decide what the child's needs are, what services will be 
provided to meet those needs, and what the anticipated outcomes may be.
    b. The IEP process provides an opportunity for resolving any 
differences between the parents and the agency concerning the special 
education needs of a child with a disability; first, through the IEP 
meeting, and second, if necessary, through the procedural protections 
that are available to the parents.
    c. The IEP sets forth in writing a commitment of resources necessary 
to enable a child with a disability to receive needed special education 
and related services.
    d. The IEP is a management tool that is used to ensure that each 
child with a disability is provided special education and related 
services appropriate to the child's special learning needs.
    e. The IEP is a compliance/monitoring document that may be used by 
authorized monitoring personnel from each governmental level to 
determine whether a child with a disability is actually receiving the 
FAPE agreed to by the parents and the school.
    f. The IEP serves as an evaluation device for use in determining the 
extent of the child's progress toward meeting the projected outcomes.

    Note: The Act does not require that teachers or other school 
personnel be held accountable if a child with a disability does not 
achieve the goals and objectives set forth in the IEP. See Sec. 300.350, 
Individualized education program--accountability.

                          II. IEP Requirements

    This part (1) repeats the IEP requirements in Secs. 300.340-300.350 
of the regulations (boxed material), (2) provides additional 
clarification, as necessary, on sections or paragraphs of the 
regulations on which such clarification is needed, and (3) answers some 
questions regarding implementation of the IEP requirements that are not 
expressly addressed in the regulations. These questions and clarifying 
information are presented in a question and answer format immediately 
after the particular section of the regulations that is presented.

                       Sec. 300.340  Definitions.

    (a) As used in this part, the term individualized education program 
means a written statement for a child with a disability that is 
developed and implemented in accordance with Secs. 300.341-300.350.
    (b) As used in Secs. 300.346 and 300.347, participating agency means 
a State or local agency, other than the public agency responsible for a 
student's education, that is financially and legally responsible for 
providing transition services to the student.

(Authority: 20 U.S.C. 1401(a)(20))

         Sec. 300.341  State educational agency responsibility.

    (a) Public agencies. The SEA shall ensure that each public agency 
develops and implements an IEP for each of its children with 
disabilities.
    (b) Private schools and facilities. The SEA shall ensure that an IEP 
is developed and implemented for each child with a disability who--
    (1) Is placed in or referred to a private school or facility by a 
public agency; or
    (2) Is enrolled in a parochial school or other private school and 
receives special education or related services from a public agency.

(Authority: 20 U.S.C. 1412(4), (6); 1413(a)(4))

    Note: This section applies to all public agencies, including other 
State agencies (e.g., departments of mental health and welfare) that 
provide special education to a child with a disability either directly, 
by contract or through other arrangements. Thus, if a State welfare 
agency contracts with a private school or facility to provide special 
education to a child with a disability, that agency would be responsible 
for ensuring that an IEP is developed for the child.
    1. Who is responsible for ensuring the development of IEPs for 
children with disabilities served by a public agency other than an LEA?
    The answer will vary from State to State, depending upon State law, 
policy, or practice. In each State, however, the SEA is ultimately 
responsible for ensuring that each agency in the State is in compliance 
with the IEP requirements and the other provisions of the Act and 
regulations. (See Sec. 300.600 regarding SEA responsibility for all 
education programs.)
    The SEA must ensure that every child with a disability in the State 
has FAPE available, regardless of which agency, State or local, is 
responsible for the child. While the SEA has flexibility in deciding the 
best means to meet this obligation (e.g., through interagency 
agreements), there can be no failure to provide FAPE due to 
jurisdictional disputes among agencies.


    Note: Section 300.2(b) states that the requirements of the Act and 
regulations apply to all political subdivisions of the State that are 
involved in the education of children with disabilities, including (1) 
the SEA, (2) LEAs, (3) other State agencies (such as Departments of 
Mental Health and Welfare, and State schools for students with deafness 
or students with blindness), and (4) State correctional facilities.

[[Page 76]]

    The following paragraphs outline (1) some of the SEA's 
responsibilities for developing policies or agreements under a variety 
of interagency situations, and (2) some of the responsibilities of an 
LEA when it initiates the placement of a child with a disability in a 
school or program operated by another State agency:
    a. SEA POLICIES OR INTERAGENCY AGREEMENTS. The SEA, through its 
written policies or agreements, must ensure that IEPs are properly 
written and implemented for all children with disabilities in the State. 
This applies to each interagency situation that exists in the State, 
including any of the following:
    (1) When an LEA initiates the placement of a child in a school or 
program operated by another State agency (see ``LEA-Initiated 
Placements'' in paragraph ``b'', below); (2) when a State or local 
agency other than the SEA or LEA places a child in a residential 
facility or other program; (3) when parents initiate placements in 
public institutions; and (4) when the courts make placements in 
correctional facilities.


    Note: This is not an exhaustive list. The SEA's policies must cover 
any other interagency situation that is applicable in the State, 
including placements that are made for both educational and for non-
educational purposes.
    Frequently, more than one agency is involved in developing or 
implementing an IEP of a child with a disability (e.g., when the LEA 
remains responsible for the child, even though another public agency 
provides the special education and related services, or when there are 
shared cost arrangements). It is important that SEA policies or 
agreements define the role of each agency involved in the situations 
described above, in order to resolve any jurisdictional problems that 
could delay the provision of FAPE to a child with a disability. For 
example, if a child is placed in a residential facility, any one or all 
of the following agencies might be involved in the development and/or 
implementation of the child's IEP: The child's LEA, the SEA, another 
State agency, an institution or school under that agency, and the LEA 
where the institution is located.


    Note: The SEA must also ensure that any agency involved in the 
education of a child with a disability is in compliance with the LRE 
provisions of the Act and regulations, and, specifically, with the 
requirement that the placement of each child with a disability (1) be 
determined at least annually, (2) be based on the child's IEP, and (3) 
be as close as possible to the child's home (Sec. 300.552(a), 
Placements.)


    b. LEA-INITIATED PLACEMENTS. When an LEA is responsible for the 
education of a child with a disability, the LEA is also responsible for 
developing the child's IEP. The LEA has this responsibility even if 
development of the IEP results in placement in a State-operated school 
or program.

    Note: The IEP must be developed before the child is placed. (See 
Question 5, below.) When placement in a State-operated school is 
necessary, the affected State agency or agencies must be involved by the 
LEA in the development of the IEP. (See response to Question 59, below, 
regarding participation of a private school representative at the IEP 
meeting.)

    After the child enters the State school, meetings to review or 
revise the child's IEP could be conducted by either the LEA or the State 
school, depending upon State law, policy, or practice. However, both 
agencies should be involved in any decisions made about the child's IEP 
(either by attending the IEP meetings, or through correspondence or 
telephone calls). There must be a clear decision, based on State law, as 
to whether responsibility for the child's education is transferred to 
the State school or remains with the LEA, since this decision determines 
which agency is responsible for reviewing or revising the child's IEP.
    2. For a child placed out of State by a public agency, is the 
placing or receiving State responsible for the child's IEP?
    The ``placing'' State is responsible for developing the child's IEP 
and ensuring that it is implemented. The determination of the specific 
agency in the placing State that is responsible for the child's IEP 
would be based on State law, policy, or practice. However, as indicated 
in Question 1, above, the SEA in the placing State is responsible for 
ensuring that the child has FAPE available.

 Sec. 300.342  When individualized education programs must be in effect.

    (a) At the beginning of each school year, each public agency shall 
have in effect an IEP for every child with a disability who is receiving 
special education from that agency.
    (b) An IEP must--
    (1) Be in effect before special education and related services are 
provided to a child; and
    (2) Be implemented as soon as possible following the meetings under 
Sec. 300.343.

(Authority: 20 U.S.C. 1412(2)(B), (4), (6); 1414(a)(5); Pub. L. 94-142, 
sec. 8(c) (1975))

    Note: Under paragraph (b)(2) of this section, it is expected that 
the IEP of a child with a disability will be implemented immediately 
following the meetings under Sec. 300.343. An exception to this would be 
(1) when the meetings occur during the summer or a vacation period, or 
(2) where there are circumstances that require a short delay (e.g., 
working out transportation arrangements). However, there can be no undue

[[Page 77]]

delay in providing special education and related services to the child.

    3. In requiring that an IEP be in effect before special education 
and related services are provided, what does ``be in effect'' mean?
    As used in the regulations, the term be in effect means that the IEP 
(1) has been developed properly (i.e., at a meeting(s) involving all of 
the participants specified in the Act (parent, teacher, agency 
representative, and, if appropriate, the child)); (2) is regarded by 
both the parents and agency as appropriate in terms of the child's 
needs, specified goals and objectives, and the services to be provided; 
and (3) will be implemented as written.
    4. How much of a delay is permissible between the time an IEP of a 
child with a disability is finalized and when special education is 
provided?
    In general, no delay is permissible. It is expected that the special 
education and related services set out in a child's IEP will be provided 
by the agency beginning immediately after the IEP is finalized. The Note 
following Sec. 300.342 identifies some exceptions ((1) when the meetings 
occur during the summer or other vacation period, or (2) when there are 
circumstances that require a short delay, such as working out 
transportation arrangements). However, unless otherwise specified in the 
IEP, the IEP services must be provided as soon as possible following the 
meeting.

    Note: Section 300.346(a)(4) requires that the IEP include the 
projected dates for initiation of services.

    5. For a child with a disability receiving special education for the 
first time, when must an IEP be developed -- before placement or after 
placement?
    An IEP must be in effect before special education and related 
services are provided to a child. (Sec. 300.342(b)(1), emphasis added.) 
The appropriate placement for a given child with a disability cannot be 
determined until after decisions have been made about what the child's 
needs are and what will be provided. Since these decisions are made at 
the IEP meeting, it would not be permissible to first place the child 
and then develop the IEP. Therefore, the IEP must be developed before 
placement. The above requirement does not preclude temporarily placing 
an eligible child with a disability in a program as part of the 
evaluation process--before the IEP is finalized--to aid in determining 
the most appropriate placement for the child. It is essential that the 
temporary placement not become the final placement before the IEP is 
finalized. In order to ensure that this does not happen, the State might 
consider requiring LEAs to take the following actions:
    a. Develop an interim IEP for the child that sets out the specific 
conditions and timelines for the trial placement. (See paragraph ``c'', 
below.)
    b. Ensure that the parents agree to the interim placement before it 
is carried out, and that they are involved throughout the process of 
developing, reviewing, and revising the child's IEP.
    c. Set a specific timeline (e.g., 30 days) for completing the 
evaluation and making judgments about the most appropriate placement for 
the child.
    d. Conduct an IEP meeting at the end of the trial period in order to 
finalize the child's IEP.

    Note: Once the IEP of the child with a disability is in effect and 
the child is placed in a special education program, the teacher might 
develop detailed lesson plans or objectives based on the IEP. However, 
these lesson plans and objectives are not required to be a part of the 
IEP itself. (See Questions 3743, below, regarding IEP goals and 
objectives.)

    6. If a child with a disability has been receiving special education 
in one LEA and moves to another community, must the new LEA hold an IEP 
meeting before the child is placed in a special education program?
    It would not be necessary for the new LEA to conduct an IEP meeting 
if:
    (1) A copy of the child's current IEP is available; (2) the parents 
indicate that they are satisfied with the current IEP; and (3) the new 
LEA determines that the current IEP is appropriate and can be 
implemented as written.
    If the child's current IEP is not available, or if either the LEA or 
the parent believes that it is not appropriate, an IEP meeting would 
have to be conducted. This meeting should take place within a short time 
after the child enrolls in the new LEA (normally, within one week).

    Note: The child must be placed in a special education program 
immediately after the IEP is finalized. (See Question 4, above.)
    If the LEA or the parents believe that additional information is 
needed (e.g., the school records from the former LEA) or that a new 
evaluation is necessary before a final placement decision can be made, 
it would be permissible to temporarily place the child in an interim 
program before the IEP is finalized. (See Question 5, above.)

                         Sec. 300.343  Meetings.

    (a) General. Each public agency is responsible for initiating and 
conducting meetings for the purpose of developing, reviewing, and 
revising the IEP of a child with a disability (or, if consistent with 
State policy and at the discretion of the LEA, and with the concurrence 
of the parents, an individualized family service plan described in 
section 677(d) of the Act for each child with a disability, aged 3 
through 5).

[[Page 78]]

    (b) [Reserved]
    (c) Timeline. A meeting to develop an IEP for a child must be held 
within 30 calendar days of a determination that the child needs special 
education and related services.
    (d) Review. Each public agency shall initiate and conduct meetings 
to review each child's IEP periodically and, if appropriate, revise its 
provisions. A meeting must be held for this purpose at least once a 
year.

(Authority: 20 U.S.C. 1412(2)(B), (4), (6); 1414(a)(5))

    Note: The date on which agencies must have IEPs in effect is 
specified in Sec. 300.342 (the beginning of each school year). However, 
except for new children with disabilities (i.e., those evaluated and 
determined to need special education and related services for the first 
time), the timing of meetings to develop, review, and revise IEPs is 
left to the discretion of each agency. In order to have IEPs in effect 
at the beginning of the school year, agencies could hold meetings either 
at the end of the preceding school year or during the summer prior to 
the next school year. Meetings may be held any time throughout the year, 
as long as IEPs are in effect at the beginning of each school year.

    The statute requires agencies to hold a meeting at least once each 
year in order to review and, if appropriate, revise each child's IEP. 
The timing of those meetings could be on the anniversary date of the 
child's last IEP meeting, but this is left to the discretion of the 
agency.

    7. What is the purpose of the 30 day timeline in Sec. 300.343(c)?
    The 30 day timeline in Sec. 300.343(c) ensures that there will not 
be a significant delay between the time a child is evaluated and when 
the child begins to receive special education. Once it is determined--
through the evaluation--that a child has a disability, the public agency 
has up to 30 days to hold an IEP meeting.

    Note: See Questions 4 and 5, above, regarding finalization of IEP 
and placement of the child.

    8. Must the agency hold a separate meeting to determine a child's 
eligibility for special education and related services, or can this step 
be combined with the IEP meeting?
    Paragraph (e) of Sec. 300.532 (Evaluation procedures) provides that 
the evaluation of each child with a disability must be ``made by a 
multidisciplinary team or group of persons * * *''. The decisions 
regarding (1) whether the team members actually meet together, and (2) 
whether such meetings are separate from the IEP meeting are matters that 
are left to the discretion of State or local agencies.
    In practice, some agencies hold separate eligibility meetings with 
the multidisciplinary team before the IEP meeting.

    Note: When separate meetings are conducted, placement decisions 
would be made at the IEP meeting. However, placement options could be 
discussed at the eligibility meeting.

    Other agencies combine the two steps into one. If a combined meeting 
is conducted, the public agency must include the parents as participants 
at the meeting. (See Sec. 300.345 for requirements on parent 
participation.)

    Note: If, at a separate eligibility meeting, a decision is made that 
a child is not eligible for special education, the parents should be 
notified about the decision.

    9. Must IEPs be reviewed or revised at the beginning of each school 
year?
    No. The basic requirement in the regulations is that IEPs must be in 
effect at the beginning of each school year. Meetings must be conducted 
at least once each year to review and, if necessary, revise the IEP of 
each child with a disability. However, the meetings may be held anytime 
during the year, including (1) at the end of the school year, (2) during 
the summer, before the new school year begins, or (3) on the anniversary 
date of the last IEP meeting on the child.
    10. How frequently must IEP meetings be held and how long should 
they be?
    Section 614(a)(5) of the Act provides that each public agency must 
hold meetings periodically, but not less than annually, to review each 
child's IEP and, if appropriate, revise its provisions. The legislative 
history of the Act makes it clear that there should be as many meetings 
a year as any one child may need. (121 Cong. Rec. S20428-29 (Nov. 19, 
1975) (remarks of Senator Stafford))
    There is no prescribed length for IEP meetings. In general, meetings 
(1) will be longer for initial placements and for children who require a 
variety of complex services, and (2) will be shorter for continuing 
placements and for children who require only a minimum amount of 
services. In any event, however, it is expected that agencies will allow 
sufficient time at the meetings to ensure meaningful parent 
participation.
    11. Who can initiate IEP meetings?
    IEP meetings are initiated and conducted at the discretion of the 
public agency. However, if the parents of a child with a disability 
believe that the child is not progressing satisfactorily or that there 
is a problem with the child's current IEP, it would be appropriate for 
the parents to request an IEP meeting. The public agency should grant 
any reasonable request for such a meeting.

    Note: Under Sec. 300.506(a), the parents or agency may initiate a 
due process hearing at any time regarding any matter related to the 
child's IEP.
    If a child's teacher(s) feels that the child's placement or IEP 
services are not appropriate to the child, the teacher(s) should follow 
agency procedures with respect to (1)

[[Page 79]]

calling or meeting with the parents and/or (2) requesting the agency to 
hold another meeting to review the child's IEP.

    12. May IEP meetings be tape-recorded?
    The use of tape recorders at IEP meetings is not addressed by either 
the Act or the regulations. Although taping is clearly not required, it 
is permissible at the option of either the parents or the agency. 
However, if the recording is maintained by the agency, it is an 
education record, within the meaning of the Family Educational Rights 
and Privacy Act (``FERPA''; 20 U.S.C. 1232g), and would, therefore, be 
subject to the confidentiality requirements of the regulations under 
both FERPA (34 CFR part 99) and part B (34 CFR Secs. 300.560-300.575).

                 Sec. 300.344  Participants in meetings.

    (a) General. The public agency shall ensure that each meeting 
includes the following participants:
    (1) A representative of the public agency, other than the child's 
teacher, who is qualified to provide, or supervise the provision of, 
special education.
    (2) The child's teacher.
    (3) One or both of the child's parents, subject to Sec. 300.345.
    (4) The child, if appropriate.
    (5) Other individuals at the discretion of the parent or agency.
    (b) Evaluation personnel. For a child with a disability who has been 
evaluated for the first time, the public agency shall ensure--
    (1) That a member of the evaluation team participates in the 
meeting; or
    (2) That the representative of the public agency, the child's 
teacher, or some other person is present at the meeting, who is 
knowledgeable about the evaluation procedures used with the child and is 
familiar with the results of the evaluation.
    (c) Transition services participants. (1) If a purpose of the 
meeting is the consideration of transition services for a student, the 
public agency shall invite--
    (i) The student; and
    (ii) A representative of any other agency that is likely to be 
responsible for providing or paying for transition services.
    (2) If the student does not attend, the public agency shall take 
other steps to ensure that the student's preferences and interests are 
considered; and
    (3) If an agency invited to send a representative to a meeting does 
not do so, the public agency shall take other steps to obtain the 
participation of the other agency in the planning of any transition 
services.

(Authority: 20 U.S.C. 1401 (a)(19), (a)(20); 1412(2)(B), (4), (6); 
1414(a)(5))

    Note 1: In deciding which teacher will participate in meetings on a 
child's IEP, the agency may wish to consider the following 
possibilities:
    (a) For a child with a disability who is receiving special 
education, the teacher could be the child's special education teacher. 
If the child's disability is a speech impairment, the teacher could be 
the speech-language pathologist.
    (b) For a child with a disability who is being considered for 
placement in special education, the teacher could be the child's regular 
teacher, or a teacher qualified to provide education in the type of 
program in which the child may be placed, or both.
    (c) If the child is not in school or has more than one teacher, the 
agency may designate which teacher will participate in the meeting.

    Either the teacher or the agency representative should be qualified 
in the area of the child's suspected disability.
    For a child whose primary disability is a speech or language 
impairment, the evaluation personnel participating under paragraph 
(b)(1) of this section would normally be the speech-language 
pathologist.


    Note 2: Under paragraph (c), the public agency is required to invite 
each student to participate in his or her IEP meeting, if a purpose of 
the meeting is the consideration of transition services for the student. 
For all students who are 16 years of age or older, one of the purposes 
of the annual meeting will always be the planning of transition 
services, since transition services are a required component of the IEP 
for these students.

    For a student younger than age 16, if transition services are 
initially discussed at a meeting that does not include the student, the 
public agency is responsible for ensuring that, before a decision about 
transition services for the student is made, a subsequent IEP meeting is 
conducted for that purpose, and the student is invited to the meeting.

    13. Who can serve as the representative of the public agency at an 
IEP meeting?
    The representative of the public agency could be any member of the 
school staff, other than the child's teacher, who is qualified to 
provide, or supervise the provision of, specially designed instruction 
to meet the unique needs of children with disabilities. (Section 
602(a)(20) of the Act.) Thus, the agency representative could be (1) a 
qualified special education administrator, supervisor, or teacher 
(including a speech-language pathologist), or (2) a school principal or 
other administrator--if the person is qualified to provide, or supervise 
the provision of, special education.
    Each State or local agency may determine which specific staff member 
will serve as the agency representative. However, the representative 
should be able to ensure that whatever services are set out in the IEP 
will actually be provided and that the IEP will not be vetoed at a 
higher administrative

[[Page 80]]

level within the agency. Thus, the person selected should have the 
authority to commit agency resources (i.e., to make decisions about the 
specific special education and related services that the agency will 
provide to a particular child).
    For a child with a disability who requires only a limited amount of 
special education, the agency representative able to commit appropriate 
resources could be a special education teacher, or a speech-language 
pathologist, other than the child's teacher. For a child who requires 
extensive special education and related services, the agency 
representative might need to be a key administrator in the agency.

    Note: IEP meetings for continuing placements could be more routine 
than those for initial placements, and, thus, might not require the 
participation of a key administrator.

    14. Who is the representative of the public agency if a child with a 
disability is served by a public agency other than the SEA or LEA?
    The answer depends on which agency is responsible, under State law, 
policy, or practice, for any one or all of the following:
    (1) The child's education, (2) placing the child, and (3) providing 
(or paying for the provision of) special education and related services 
to the child.
    In general, the agency representative at the IEP meeting would be a 
member of the agency or institution that is responsible for the child's 
education. For example, if a State agency (1) places a child in an 
institution, (2) is responsible under State law for the child's 
education, and (3) has a qualified special education staff at the 
institution, then a member of the institution's staff would be the 
agency representative at the IEP meetings.
    Sometimes there is no special education staff at the institution, 
and the children are served by special education personnel from the LEA 
where the institution is located. In this situation, a member of the LEA 
staff would usually serve as the agency representative.

    Note: In situations where the LEA places a child in an institution, 
paragraph ``b'' of the response to Question 1, above, would apply.

    15. For a child with a disability being considered for initial 
placement in special education, which teacher should attend the IEP 
meeting?
    The teacher could be either (1) a teacher qualified to provide 
special education in the child's area of suspected disability, or (2) 
the child's regular teacher. At the option of the agency, both teachers 
could attend. In any event, there should be at least one member of the 
school staff at the meeting (e.g., the agency representative or the 
teacher) who is qualified in the child's area of suspected disability.

    Note: Sometimes more than one meeting is necessary in order to 
finalize a child's IEP. If, in this process, the special education 
teacher who will be working with the child is identified, it would be 
useful to have that teacher participate in the meeting with the parents 
and other members of the IEP team in finalizing the IEP. When this is 
not possible, the agency should ensure that the teacher is given a copy 
of the child's IEP as soon as possible after the IEP is finalized and 
before the teacher begins working with the child.

    16. If a child with a disability is enrolled in both regular and 
special education classes, which teacher should attend the IEP meeting?
    In general, the teacher at the IEP meeting should be the child's 
special education teacher. At the option of the agency or the parent, 
the child's regular teacher also might attend. If the regular teacher 
does not attend, the agency should either provide the regular teacher 
with a copy of the IEP or inform the regular teacher of its contents. 
Moreover, the agency should ensure that the special education teacher, 
or other appropriate support person, is able, as necessary, to consult 
with and be a resource to the child's regular teacher.
    17. If a child with a disability in high school attends several 
regular classes, must all of the child's regular teachers attend the IEP 
meeting?
    No. Only one teacher must attend. However, at the option of the LEA, 
additional teachers of the child may attend. The following points should 
be considered in making this decision:
    a. Generally, the number of participants at IEP meetings should be 
small. Small meetings have several advantages over large ones. For 
example, they (1) allow for more open, active parent involvement, (2) 
are less costly, (3) are easier to arrange and conduct, and (4) are 
usually more productive.
    b. While large meetings are generally inappropriate, there may be 
specific circumstances where the participation of additional staff would 
be beneficial. When the participation of the regular teachers is 
considered by the agency or the parents to be beneficial to the child's 
success in school (e.g., in terms of the child's participation in the 
regular education program), it would be appropriate for them to attend 
the meeting.
    c. Although the child's regular teachers would not routinely attend 
IEP meetings, they should either (1) be informed about the child's IEP 
by the special education teacher or agency representative, and/or (2) 
receive a copy of the IEP itself.
    18. If a child's primary disability is a speech impairment, must the 
child's regular teacher attend the IEP meeting?

[[Page 81]]

    No. A speech-language pathologist would usually serve as the child's 
teacher for purposes of the IEP meeting. The regular teacher could also 
attend at the option of the school.
    19. If a child is enrolled in a special education class because of a 
primary disability, and also receives speech-language pathology 
services, must both specialists attend the IEP meeting?
    No. It is not required that both attend. The special education 
teacher would attend the meeting as the child's teacher. The speech-
language pathologist could either (1) participate in the meeting itself, 
or (2) provide a written recommendation concerning the nature, 
frequency, and amount of services to be provided to the child.
    20. When may representatives of teacher organizations attend IEP 
meetings?
    Under the Family Educational Rights and Privacy Act (``FERPA''; 20 
U.S.C. 1232g) and implementing regulations (34 CFR part 99) and the 
confidentiality requirements of part B, officials of teacher 
organizations may not attend IEP meetings if personally identifiable 
information from the student's education records is discussed--except 
with the prior written consent of the parents. (See 34 CFR 99.30(a) and 
300.571(a)(1).)
    In addition, part B does not provide for the participation of 
representatives of teacher organizations at IEP meetings. The 
legislative history of the Act makes it clear that attendance at IEP 
meetings should be limited to those who have an intense interest in the 
child. (121 Cong. Rec. S10974 (June 18, 1975) (remarks of Sen. 
Randolph).) Since a representative of a teacher organization would be 
concerned with the interests of the teacher rather than the interests of 
the child, it would be inappropriate for such an official to attend an 
IEP meeting.
    21. When may a child with a disability attend an IEP meeting?
    Generally, a child with a disability should attend the IEP meeting 
whenever the parent decides that it is appropriate for the child to do 
so. Whenever possible, the agency and parents should discuss the 
appropriateness of the child's participation before a decision is made, 
in order to help the parents determine whether or not the child's 
attendance will be (1) helpful in developing the IEP and/or (2) directly 
beneficial to the child. The agency should inform the parents before 
each IEP meeting--as part of the notice of meeting required under 
Sec. 300.345(b)--that they may invite their child to participate.

    Note: The parents and agency should encourage older children with 
disabilities (particularly those at the secondary school level) to 
participate in their IEP meetings.

    22. Do the parents of a student with a disability retain the right 
to attend the IEP meeting when the student reaches the age of majority?
    The Act is silent concerning any modification of the rights of the 
parents of a student with a disability when the student reaches the age 
of majority.
    23. Must related services personnel attend IEP meetings?
    No. It is not required that they attend. However, if a child with a 
disability has an identified need for related services, it would be 
appropriate for the related services personnel to attend the meeting or 
otherwise be involved in developing the IEP. For example, when the 
child's evaluation indicates the need for a specific related service 
(e.g., physical therapy, occupational therapy, or counseling), the 
agency should ensure that a qualified provider of that service either 
(1) attends the IEP meeting, or (2) provides a written recommendation 
concerning the nature, frequency, and amount of service to be provided 
to the child.

    Note: This written recommendation could be a part of the evaluation 
report.

    24. Are agencies required to use a case manager in the development 
of the IEP of a child with a disability?
    No. However, some agencies have found it helpful to have a special 
educator or some other school staff member (e.g., a social worker, 
counselor, or psychologist) serve as coordinator or case manager of the 
IEP process for an individual child or for all children with 
disabilities served by the agency. Examples of the kinds of activities 
that case managers might carry out are (1) coordinating the 
multidisciplinary evaluation; (2) collecting and synthesizing the 
evaluation reports and other relevant information about a child that 
might be needed at the IEP meeting; (3) communicating with the parents; 
and (4) participating in, or conducting, the IEP meeting itself.
    25. For a child with a suspected speech impairment, who must 
represent the evaluation team at the IEP meeting?
    No specific person must represent the evaluation team. However, a 
speech-language pathologist would normally be the most appropriate 
representative. For many children whose primary disability is a speech 
impairment, there may be no other evaluation personnel involved. The 
note following Sec. 300.532 (Evaluation procedures) states:
    Children who have a speech impairment as their primary disability 
may not need a complete battery of assessments (e.g., psychological, 
physical, or adaptive behavior). However, a qualified speech-language 
pathologist would (1) evaluate each child with a speech impairment using 
procedures that are appropriate for the diagnosis and appraisal of 
speech and language impairments, and (2) if

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necessary, make referrals for additional assessments needed to make an 
appropriate placement decision.

                   Sec. 300.345  Parent participation.

    (a) Each public agency shall take steps to ensure that one or both 
of the parents of the child with a disability are present at each 
meeting or are afforded the opportunity to participate, including--
    (1) Notifying parents of the meeting early enough to ensure that 
they will have an opportunity to attend; and
    (2) Scheduling the meeting at a mutually agreed on time and place.
    (b)(1) The notice under paragraph (a)(1) of this section must 
indicate the purpose, time, and location of the meeting and who will be 
in attendance;
    (2) If a purpose of the meeting is the consideration of transition 
services for a student, the notice must also--
    (i) Indicate this purpose;
    (ii) Indicate that the agency will invite the student; and
    (iii) Identify any other agency that will be invited to send a 
representative.
    (c) If neither parent can attend, the public agency shall use other 
methods to ensure parent participation, including individual or 
conference telephone calls.
    (d) A meeting may be conducted without a parent in attendance if the 
public agency is unable to convince the parents that they should attend. 
In this case the public agency must have a record of its attempts to 
arrange a mutually agreed on time and place such as--
    (1) Detailed records of telephone calls made or attempted and the 
results of those calls;
    (2) Copies of correspondence sent to the parents and any responses 
received; and
    (3) Detailed records of visits made to the parent's home or place of 
employment and the results of those visits.
    (e) The public agency shall take whatever action is necessary to 
ensure that the parent understands the proceedings at a meeting, 
including arranging for an interpreter for parents with deafness or 
whose native language is other than English.
    (f) The public agency shall give the parent, on request, a copy of 
the IEP.

(Authority: 20 U.S.C. 1401(a)(20); 1412 (2)(B), (4), (6); 1414(a)(5))

    Note: The notice in paragraph (a) of this section could also inform 
parents that they may bring other people to the meeting. As indicated in 
paragraph (c) of this section, the procedure used to notify parents 
(whether oral or written or both) is left to the discretion of the 
agency, but the agency must keep a record of its efforts to contact 
parents.

    26. What is the role of the parents at an IEP meeting? The parents 
of a child with a disability are expected to be equal participants along 
with school personnel, in developing, reviewing, and revising the 
child's IEP. This is an active role in which the parents (1) participate 
in the discussion about the child's need for special education and 
related services, and (2) join with the other participants in deciding 
what services the agency will provide to the child.

    Note: In some instances, parents might elect to bring another 
participant to the meeting, e.g., a friend or neighbor, someone outside 
of the agency who is familiar with applicable laws and with the child's 
needs, or a specialist who conducted an independent evaluation of the 
child.

    27. What is the role of a surrogate parent at an IEP meeting?
    A surrogate parent is a person appointed to represent the interests 
of a child with a disability in the educational decision-making process 
when that child has no other parent representation. The surrogate has 
all of the rights and responsibilities of a parent under part B. Thus, 
the surrogate parent is entitled to (1) participate in the child's IEP 
meeting, (2) see the child's education records, and (3) receive notice, 
grant consent, and invoke due process to resolve differences. (See 
Sec. 300.514, Surrogate parents.)
    28. Must the public agency let the parents know who will be at the 
IEP meeting?
    Yes. In notifying parents about the meeting, the agency ``must 
indicate the purpose, time, and location of the meeting, and who will be 
in attendance.'' (Sec. 300.345(b), emphasis added.) If possible, the 
agency should give the name and position of each person who will attend. 
In addition, the agency should inform the parents of their right to 
bring other participants to the meeting. (See Question 21, above, 
regarding participation of the child.) It is also appropriate for the 
agency to ask whether the parents intend to bring a participant to the 
meeting.
    29. Are parents required to sign IEPs? Parent signatures are not 
required by either the Act or regulations. However, having such 
signatures is considered by parents, advocates, and public agency 
personnel to be useful.
    The following are some of the ways that IEPs signed by parents and/
or agency personnel might be used:
    a. A signed IEP is one way to document who attended the meeting.

    Note: This is useful for monitoring and compliance purposes.

    If signatures are not used, the agency must document attendance in 
some other way.
    b. An IEP signed by the parents is one way to indicate that the 
parents approved the child's special education program.

    Note: If, after signing, the parents feel that a change is needed in 
the IEP, it would

[[Page 83]]

be appropriate for them to request another meeting. See Question 11, 
above.

    c. An IEP signed by an agency representative provides the parents a 
signed record of the services that the agency has agreed to provide.

    Note: Even if the school personnel do not sign, the agency still 
must provide, or ensure the provision of, the services called for in the 
IEP.

    30. If the parent signs the IEP, does the signature indicate consent 
for initial placement?
    The parent's signature on the IEP would satisfy the consent 
requirement concerning initial placement of the child 
(Sec. 300.504(b)(1)(ii)) only if the IEP includes a statement on initial 
placement that meets the definition of consent in Sec. 300.500:
    Consent means that: (a) the parent has been fully informed of all 
information relevant to the activity for which consent is sought * * *
    (b) The parent understands and agrees in writing to the carrying out 
of the activity for which his or her consent is sought, and the consent 
describes that activity and lists the records (if any) that will be 
released and to whom; and
    (c) The parent understands that the granting of consent is voluntary 
* * * and may be revoked at any time.
    31. Do parents have the right to a copy of their child's IEP?
    Yes. Section 300.345(f) states that the public agency shall give the 
parent, on request, a copy of the IEP. In order that parents may know 
about this provision, it is recommended that they be informed about it 
at the IEP meeting and/or receive a copy of the IEP itself within a 
reasonable time following the meeting.
    32. Must parents be informed at the IEP meeting of their right to 
appeal?
    If the agency has already informed the parents of their right to 
appeal, as it is required to do under the prior notice provisions of the 
regulations (Secs. 300.504-300.505), it would not be necessary for the 
agency to do so again at the IEP meeting.
    Section 300.504(a) of the regulations states that ``written notice 
that meets the requirements under Sec. 300.505 must be given to parents 
a reasonable time'' before the public agency proposes or refuses ``to 
initiate or change the identification, evaluation, or educational 
placement of the child or the provision of FAPE to the child.''
    Section 300.505(a) states that the notice must include ``(1) A full 
explanation of all of the procedural safeguards available to the parents 
under Sec. 300.500, Secs. 300.502-300.515, and Secs. 300.562-300.569.''
    The IEP meeting serves as a communication vehicle between parents 
and school personnel, and enables them, as equal participants, to 
jointly decide upon what the child's needs are, what will be provided, 
and what the anticipated outcomes may be. If, during the IEP meeting, 
parents and school staff are unable to reach agreement, the agency 
should remind the parents that they may seek to resolve their 
differences through the due process procedures under the Act.

    Note: Section 300.506(a) states that ``a parent or public 
educational agency may initiate a hearing on any matters described in 
Sec. 300.504(a) (1) and (2).''

    Every effort should be made to resolve differences between parents 
and school staff without resort to a due process hearing (i.e., through 
voluntary mediation or some other informal step). However, mediation or 
other informal procedures may not be used to deny or delay a parent's 
right to a due process hearing. (See Sec. 300.506. Impartial due process 
hearing.)
    33. Does the IEP include ways for parents to check the progress of 
their children?
    In general, the answer is yes. The IEP document is a written record 
of decisions jointly made by parents and school personnel at the IEP 
meeting regarding the special education program of a child with a 
disability. That record includes agreed upon items, such as goals and 
objectives, and the specific special education and related services to 
be provided to the child.
    The goals and objectives in the IEP should be helpful to both 
parents and school personnel, in a general way, in checking on a child's 
progress in the special education program. (See Questions 37-43, below, 
regarding goals and objectives in the IEP.) However, since the IEP is 
not intended to include the specifics about a child's total educational 
program that are found in daily, weekly, or monthly instructional plans, 
parents will often need to obtain more specific, on-going information 
about the child's progress--through parent-teacher conferences, report 
cards and other reporting procedures ordinarily used by the agency.
    34. Must IEPs include specific checkpoint intervals for parents to 
confer with teachers and to revise or update their children's IEPs?
    No. The IEP of a child with a disability is not required to include 
specific ``checkpoint intervals'' (i.e., meeting dates) for reviewing 
the child's progress. However, in individual situations, specific 
meeting dates could be designated in the IEP, if the parents and school 
personnel believe that it would be helpful to do so.
    Although meeting dates are not required to be set out in the IEP 
itself, there are specific provisions in the regulations and in this 
document regarding agency responsibilities in initiating IEP meetings, 
including the following:

[[Page 84]]

    (1) Public agencies must hold meetings periodically, but not less 
than annually, to review, and if appropriate, revise, each child's IEP 
(Sec. 300.343(d)); (2) there should be as many meetings a year as the 
child needs (see Question 10, above); and (3) agencies should grant any 
reasonable parental request for an IEP meeting (see Question 11, above).
    In addition to the above provisions, it is expected that, through an 
agency's general reporting procedures for all children in school, there 
will be specific designated times for parents to review their children's 
progress (e.g., through periodic parent-teacher conferences, and/or the 
use of report cards, letters, or other reporting devices).
    35. If the parents and agency are unable to reach agreement at an 
IEP meeting, what steps should be followed until agreement is reached?
    As a general rule, the agency and parents would agree to an interim 
course of action for serving the child (i.e., in terms of placement and/
or services) to be followed until the area of disagreement over the IEP 
is resolved. The manner in which this interim measure is developed and 
agreed to by both parties is left to the discretion of the individual 
State or local agency. However, if the parents and agency cannot agree 
on an interim measure, the child's last agreed upon IEP would remain in 
effect in the areas of disagreement until the disagreement is resolved. 
The following may be helpful to agencies if there are disagreements:
    a. There may be instances where the parents and agency are in 
agreement about the basic IEP services (e.g., the child's placement and/
or the special education services), but disagree about the provision of 
a particular related service (i.e., whether the service is needed and/or 
the amount to be provided). In such cases, it is recommended (1) that 
the IEP be implemented in all areas where there is agreement, (2) that 
the document indicate the points of disagreement, and (3) that 
procedures be initiated to resolve the disagreement.
    b. Sometimes the disagreement is with the placement or kind of 
special education to be provided (e.g., one party proposes a self-
contained placement, and the other proposes resource room services). In 
such cases, the agency might, for example, carry out any one or all of 
the following steps:
    (1) Remind the parents that they may resolve their differences 
through the due process procedures under part B; (2) work with the 
parents to develop an interim course of action (in terms of placement 
and/or services) that both parties can agree to until resolution is 
reached; and (3) recommend the use of mediation, or some other informal 
procedure for resolving the differences without going to a due process 
hearing. (See Question 32, above, regarding the right to appeal.)
    c. If, because of the disagreement over the IEP, a hearing is 
initiated by either the parents or agency, the agency may not change the 
child's placement unless the parents and agency agree otherwise. (See 
Sec. 300.513, Child's status during proceedings.) The following two 
examples are related to this requirement:
    (1) A child in the regular fourth grade has been evaluated and found 
to be eligible for special education. The agency and parents agree that 
the child has a specific learning disability. However, one party 
proposes placement in a self-contained program, and the other proposes 
placement in a resource room. Agreement cannot be reached, and a due 
process hearing is initiated. Unless the parents and agency agree 
otherwise, the child would remain in the regular fourth grade until the 
issue is resolved.
    On the other hand, since the child's need for special education is 
not in question, both parties might agree--as an interim measure--(1) to 
temporarily place the child in either one of the programs proposed at 
the meeting (self-contained program or resource room), or (2) to serve 
the child through some other temporary arrangement.
    (2) A child with a disability is currently receiving special 
education under an existing IEP. A due process hearing has been 
initiated regarding an alternative special education placement for the 
child. Unless the parents and agency agree otherwise, the child would 
remain in the current placement. In this situation, the child's IEP 
could be revised, as necessary, and implemented in all of the areas 
agreed to by the parents and agency, while the area of disagreement 
(i.e., the child's placement) is being settled through due process.

    Note: If the due process hearing concerns whether or not a 
particular service should continue to be provided under the IEP (e.g., 
physical therapy), that service would continue to be provided to the 
child under the IEP that was in effect at the time the hearing was 
initiated, (1) unless the parents and agency agree to a change in the 
services, or (2) until the issue is resolved.

       Sec. 300.346  Content of individualized education program.

    (a) General. The IEP for each child must include--
    (1) A statement of the child's present levels of educational 
performance;
    (2) A statement of annual goals, including short-term instructional 
objectives;
    (3) A statement of the specific special education and related 
services to be provided to the child and the extent that the child will 
be able to participate in regular educational programs;

[[Page 85]]

    (4) The projected dates for initiation of services and the 
anticipated duration of the services; and
    (5) Appropriate objective criteria and evaluation procedures and 
schedules for determining, on at least an annual basis, whether the 
short term instructional objectives are being achieved.
    (b) Transition services. (1) The IEP for each student, beginning no 
later than age 16 (and at a younger age, if determined appropriate), 
must include a statement of the needed transition services as defined in 
Sec. 300.18, including, if appropriate, a statement of each public 
agency's and each participating agency's responsibilities or linkages, 
or both, before the student leaves the school setting.
    (2) If the IEP team determines that services are not needed in one 
or more of the areas specified in Sec. 300.18(b)(2)(i) through 
(b)(2)(iii), the IEP must include a statement to that effect and the 
basis upon which the determination was made.

(Authority: 20 U.S.C. 1401(a)(19), (a)(20); 1412(2)(B), (4), (6); 
1414(a)(5))

    Note 1: The legislative history of the transition services 
provisions of the Act suggests that the statement of needed transition 
services referred to in paragraph (b) of this section should include a 
commitment by any participating agency to meet any financial 
responsibility it may have in the provision of transition services. See 
House Report No. 101-544, p. 11 (1990).


    Note 2: With respect to the provisions of paragraph (b) of this 
section, it is generally expected that the statement of needed 
transition services will include the areas listed in 
Sec. 300.18(b)(2)(i) through (b)(2)(iii). If the IEP team determines 
that services are not needed in one of those areas, the public agency 
must implement the requirements in paragraph (b)(2) of this section. 
Since it is a part of the IEP, the IEP team must reconsider its 
determination at least annually.


    Note 3: Section 602(a)(20) of the Act provides that IEPs must 
include a statement of needed transition services for students beginning 
no later than age 16, but permits transition services to students below 
age 16 (i.e., ``* * * and, when determined appropriate for the 
individual, beginning at age 14 or younger.''). Although the statute 
does not mandate transition services for all students beginning at age 
14 or younger, the provision of these services could have a 
significantly positive effect on the employment and independent living 
outcomes for many of these students in the future, especially for 
students who are likely to drop out before age 16. With respect to the 
provision of transition services to students below age 16, the Report of 
the House Committee on Education and Labor on Pub. L. 101-476 includes 
the following statement:
Although this language leaves the final determination of when to 
initiate transition services for students under age 16 to the IEP 
process, it nevertheless makes clear that Congress expects consideration 
to be given to the need for transition services for some students by age 
14 or younger. The Committee encourages that approach because of their 
concern that age 16 may be too late for many students, particularly 
those at risk of dropping out of school and those with the most severe 
disabilities. Even for those students who stay in school until age 18, 
many will need more than two years of transitional services. Students 
with disabilities are now dropping out of school before age 16, feeling 
that the education system has little to offer them. Initiating services 
at a younger age will be critical. (House Report No. 101-544, 10 
(1990).)

    36. What should be included in the statement of the child's present 
levels of educational performance?
    The statement of present levels of educational performance will be 
different for each child with a disability. Thus, determinations about 
the content of the statement for an individual child are matters that 
are left to the discretion of participants in the IEP meetings. However, 
the following are some points that should be taken into account in 
writing this part of the IEP:
    a. The statement should accurately describe the effect of the 
child's disability on the child's performance in any area of education 
that is affected, including (1) academic areas (reading, math, 
communication, etc.), and (2) non-academic areas (daily life activities, 
mobility, etc.).

    Note: Labels such as mental retardation or deafness may not be used 
as a substitute for the description of present levels of educational 
performance.

    b. The statement should be written in objective measurable terms, to 
the extent possible. Data from the child's evaluation would be a good 
source of such information. Test scores that are pertinent to the 
child's diagnosis might be included, if appropriate. However, the scores 
should be (1) self-explanatory (i.e., they can be interpreted by all 
participants without the use of test manuals or other aids), or (2) an 
explanation should be included. Whatever test results are used should 
reflect the impact of the disability on the child's performance. Thus, 
raw scores would not usually be sufficient.
    c. There should be a direct relationship between the present levels 
of educational performance and the other components of the IEP. Thus, if 
the statement describes a problem with the child's reading level and 
points to a deficiency in a specific reading skill, this problem should 
be addressed under both

[[Page 86]]

(1) goals and objectives, and (2) specific special education and related 
services to be provided to the child.
    37. Why are goals and objectives required in the IEP?
    The statutory requirements for including annual goals and short term 
instructional objectives (section 602(a)(20)(B)), and for having at 
least an annual review of the IEP of a child with a disability (section 
614(a)(5)) provide a mechanism for determining (1) whether the 
anticipated outcomes for the child are being met (i.e., whether the 
child is progressing in the special education program) and (2) whether 
the placement and services are appropriate to the child's special 
learning needs. In effect, these requirements provide a way for the 
child's teacher(s) and parents to be able to track the child's progress 
in special education. However, the goals and objectives in the IEP are 
not intended to be as specific as the goals and objectives that are 
normally found in daily, weekly, or monthly instructional plans.
    38. What are annual goals in an IEP?
    The annual goals in the IEP are statements that describe what a 
child with a disability can reasonably be expected to accomplish within 
a twelve month period in the child's special education program. As 
indicated under Question 36, above, there should be a direct 
relationship between the annual goals and the present levels of 
educational performance.
    39. What are short term instructional objectives in an IEP?
    Short term instructional objectives (also called IEP objectives) are 
measurable, intermediate steps between the present levels of educational 
performance of a child with a disability and the annual goals that are 
established for the child. The objectives are developed based on a 
logical breakdown of the major components of the annual goals, and can 
serve as milestones for measuring progress toward meeting the goals.
    In some respects, IEP objectives are similar to objectives used in 
daily classroom instructional plans. For example, both kinds of 
objectives are used (1) to describe what a given child is expected to 
accomplish in a particular area within some specified time period, and 
(2) to determine the extent that the child is progressing toward those 
accomplishments.
    In other respects, objectives in IEPs are different from those used 
in instructional plans, primarily in the amount of detail they provide. 
IEP objectives provide general benchmarks for determining progress 
toward meeting the annual goals. These objectives should be projected to 
be accomplished over an extended period of time (e.g., an entire school 
quarter or semester). On the other hand, the objectives in classroom 
instructional plans deal with more specific outcomes that are to be 
accomplished on a daily, weekly, or monthly basis. Classroom 
instructional plans generally include details not required in an IEP, 
such as the specific methods, activities, and materials (e.g., use of 
flash cards) that will be used in accomplishing the objectives.
    40. Should the IEP goals and objectives focus only on special 
education and related services, or should they relate to the total 
education of the child?
    IEP goals and objectives are concerned primarily with meeting the 
needs of a child with a disability for special education and related 
services, and are not required to cover other areas of the child's 
education. Stated another way, the goals and objectives in the IEP 
should focus on offsetting or reducing the problems resulting from the 
child's disability that interfere with learning and educational 
performance in school. For example, if a child with a learning 
disability is functioning several grades below the child's indicated 
ability in reading and has a specific problem with word recognition, the 
IEP goals and objectives would be directed toward (1) closing the gap 
between the child's indicated ability and current level of functioning, 
and (2) helping the child increase the ability to use word attack skills 
effectively (or to find some other approach to increase independence in 
reading).
    For a child with a mild speech impairment, the IEP objectives would 
focus on improving the child's communication skills, by either (1) 
correcting the impairment, or (2) minimizing its effect on the child's 
ability to communicate. On the other hand, the goals and objectives for 
a child with severe mental retardation would be more comprehensive and 
cover more of the child's school program than if the child has only a 
mild disability.
    41. Should there be a relationship between the goals and objectives 
in the IEP and those that are in instructional plans of special 
education personnel?
    Yes. There should be a direct relationship between the IEP goals and 
objectives for a given child with a disability and the goals and 
objectives that are in the special education instructional plans for the 
child. However, the IEP is not intended to be detailed enough to be used 
as an instructional plan. The IEP, through its goals and objectives, (1) 
sets the general direction to be taken by those who will implement the 
IEP, and (2) serves as the basis for developing a detailed instructional 
plan for the child.

    Note: See Question 56, below, regarding the length of IEPs.

    42. When must IEP objectives be written--before placement or after 
placement?
    IEP objectives must be written before placement. Once a child with a 
disability is placed in a special education program, the teacher might 
develop lesson plans or more

[[Page 87]]

detailed objectives based on the IEP; however, such plans and objectives 
are not required to be a part of the IEP itself.
    43. Can short term instructional objectives be changed without 
initiating another IEP meeting?
    No. Section 300.343(a) provides that the agency ``is responsible for 
initiating and conducting meetings for the purpose of developing, 
reviewing, and revising the IEP of a child with a disability'' (emphasis 
added). Since a change in short term instructional objectives 
constitutes a revision of the child's IEP, the agency must (1) notify 
the parents of the proposed change (see Sec. 300.504(a)(1)), and (2) 
initiate an IEP meeting. Note, however, that if the parents are unable 
or unwilling to attend such a meeting, their participation in the 
revision of the IEP objectives can be obtained through other means, 
including individual or conference telephone calls (see 
Sec. 300.345(c)).
    44. Must the IEP include all special education and related services 
needed by the child or only those available from the public agency?
    Each public agency must provide FAPE to all children with 
disabilities under its jurisdiction. Therefore, the IEP for a child with 
a disability must include all of the specific special education and 
related services needed by the child--as determined by the child's 
current evaluation. This means that the services must be listed in the 
IEP even if they are not directly available from the local agency, and 
must be provided by the agency through contract or other arrangements.
    45. Is the IEP a commitment to provide services--i.e., must a public 
agency provide all of the services listed in the IEP?
    Yes. The IEP of each child with a disability must include all 
services necessary to meet the child's identified special education and 
related services needs; and all services in the IEP must be provided in 
order for the agency to be in compliance with the Act.
    46. Must the public agency itself directly provide the services set 
out in the IEP?
    The public agency responsible for the education of a child with a 
disability could provide IEP services to the child (1) directly, through 
the agency's own staff resources, or (2) indirectly, by contracting with 
another public or private agency, or through other arrangements. In 
providing the services, the agency may use whatever State, local, 
Federal, and private sources of support are available for those purposes 
(see Sec. 300.301(a)). However, the services must be at no cost to the 
parents, and responsibility for ensuring that the IEP services are 
provided remains with the public agency.
    47. Does the IEP include only special education and related services 
or does it describe the total education of the child?
    The IEP is required to include only those matters concerning the 
provision of special education and related services and the extent that 
the child can participate in regular education programs. (Note: The 
regulations define special education as specially designed instruction 
to meet the unique needs of a child with a disability, and related 
services as those services that are necessary to assist the child to 
benefit from special education.) (See Secs. 300.17 and 300.16, 
respectively.)
    For some children with disabilities, the IEP will only address a 
very limited part of their education (e.g., for a child with a speech 
impairment, the IEP would generally be limited to the child's speech 
impairment). For other children (e.g., those with profound mental 
retardation), the IEP might cover their total education. An IEP for a 
child with a physical disability with no mental or emotional disability 
might consist only of specially designed physical education. However, if 
the child also has a mental or emotional disability, the IEP might cover 
most of the child's education.

    Note: The IEP is not intended to be detailed enough to be used as an 
instructional plan. See Question 41, above.

    48. If modifications are necessary for a child with a disability to 
participate in a regular education program, must they be included in the 
IEP?
    Yes. If modifications (supplementary aids and services) to the 
regular education program are necessary to ensure the child's 
participation in that program, those modifications must be described in 
the child's IEP (e.g., for a child with a hearing impairment, special 
seating arrangements or the provision of assignments in writing). This 
applies to any regular education program in which the student may 
participate, including physical education, art, music, and vocational 
education.
    49. When must physical education (PE) be described or referred to in 
the IEP?
    Section 300.307(a) provides that physical education services, 
specially designed if necessary, must be made available to every child 
with a disability receiving FAPE. The following paragraphs (1) set out 
some of the different PE program arrangements for students with 
disabilities, and (2) indicate whether, and to what extent, PE must be 
described or referred to in an IEP:
    a. Regular PE with nondisabled students. If a student with a 
disability can participate fully in the regular PE program without any 
special modifications to compensate for the student's disability, it 
would not be necessary to describe or refer to PE in the IEP. On the 
other hand, if some modifications to the regular PE program are 
necessary for the

[[Page 88]]

student to be able to participate in that program, those modifications 
must be described in the IEP.
    b. Specially designed PE. If a student with a disability needs a 
specially designed PE program, that program must be addressed in all 
applicable areas of the IEP (e.g., present levels of educational 
performance, goals and objectives, and services to be provided). 
However, these statements would not have to be presented in any more 
detail than the other special education services included in the 
student's IEP.
    c. PE in separate facilities. If a student with a disability is 
educated in a separate facility, the PE program for that student must be 
described or referred to in the IEP. However, the kind and amount of 
information to be included in the IEP would depend on the physical-motor 
needs of the student and the type of PE program that is to be provided.
    Thus, if a student is in a separate facility that has a standard PE 
program (e.g., a residential school for students with deafness), and if 
it is determined--on the basis of the student's most recent evaluation--
that the student is able to participate in that program without any 
modifications, then the IEP need only note such participation. On the 
other hand, if special modifications to the PE program are needed for 
the student to participate, those modifications must be described in the 
IEP. Moreover, if the student needs an individually designed PE program, 
that program must be addressed under all applicable parts of the IEP. 
(See paragraph ``b'', above.)
    50. If a student with a disability is to receive vocational 
education, must it be described or referred to in the student's IEP?
    The answer depends on the kind of vocational education program to be 
provided. If a student with a disability is able to participate in the 
regular vocational education program without any modifications to 
compensate for the student's disability, it would not be necessary to 
include vocational education in the student's IEP. On the other hand, if 
modifications to the regular vocational education program are necessary 
in order for the student to participate in that program, those 
modifications must be included in the IEP. Moreover, if the student 
needs a specially designed vocational education program, then vocational 
education must be described in all applicable areas of the student's IEP 
(e.g., present levels of educational performance, goals and objectives, 
and specific services to be provided). However, these statements would 
not have to be presented in any more detail than the other special 
education services included in the IEP.
    51. Must the IEP specify the amount of services or may it simply 
list the services to be provided?
    The amount of services to be provided must be stated in the IEP, so 
that the level of the agency's commitment of resources will be clear to 
parents and other IEP team members. The amount of time to be committed 
to each of the various services to be provided must be (1) appropriate 
to that specific service, and (2) stated in the IEP in a manner that is 
clear to all who are involved in both the development and implementation 
of the IEP.
    Changes in the amount of services listed in the IEP cannot be made 
without holding another IEP meeting. However, as long as there is no 
change in the overall amount, some adjustments in scheduling the 
services should be possible (based on the professional judgment of the 
service provider) without holding another IEP meeting.

    Note: The parents should be notified whenever this occurs.

    52. Must the IEP of a child with a disability indicate the extent 
that the child will be educated in the regular educational program?
    Yes. Section 300.346(a)(3) provides that the IEP for each child with 
a disability must include a ``statement of * * * the extent that the 
child will be able to participate in regular educational programs.'' One 
way of meeting this requirement is to indicate the percent of time the 
child will be spending in the regular education program with nondisabled 
students. Another way is to list the specific regular education classes 
the child will be attending.

    Note: If a child with a severe disability, for example, is expected 
to be in a special classroom setting most of the time, it is recommended 
that, in meeting the above requirement, the IEP include any non-
curricular activities in which the child will be participating with 
nondisabled students (e.g., lunch, assembly periods, club activities, 
and other special events).

    53. Can the anticipated duration of services be for more than twelve 
months?
    In general, the anticipated duration of services would be up to 
twelve months. There is a direct relationship between the anticipated 
duration of services and the other parts of the IEP (e.g., annual goals 
and short term instructional objectives), and each part of the IEP would 
be addressed whenever there is a review of the child's program. If it is 
anticipated that the child will need a particular service for more than 
one year, the duration of that service could be projected beyond that 
time in the IEP. However, the duration of each service must be 
reconsidered whenever the IEP is reviewed.
    54. Must the evaluation procedures and schedules be included as a 
separate item in the IEP?
    No. The evaluation procedures and schedules need not be included as 
a separate item

[[Page 89]]

in the IEP, but they must be presented in a recognizable form and be 
clearly linked to the short term instructional objectives.

    Note: In many instances, these components are incorporated directly 
into the objectives.


    Other Questions About the Content of an IEP
    55. Is it permissible for an agency to have the IEP completed when 
the IEP meeting begins?
    No. It is not permissible for an agency to present a completed IEP 
to parents for their approval before there has been a full discussion 
with the parents of (1) the child's need for special education and 
related services, and (2) what services the agency will provide to the 
child. Section 602(a)(20) of the Act defines the IEP as a written 
statement developed in any meeting with the agency representative, the 
teacher, the parent, and, if appropriate, the child.
    It would be appropriate for agency staff to come prepared with 
evaluation findings, statements of present levels of educational 
performance, and a recommendation regarding annual goals, short term 
instructional objectives, and the kind of special education and related 
services to be provided. However, the agency must make it clear to the 
parents at the outset of the meeting that the services proposed by the 
agency are only recommendations for review and discussion with the 
parents. The legislative history of Public Law 94-142 makes it clear 
that parents must be given the opportunity to be active participants in 
all major decisions affecting the education of their children with 
disabilities. (See, e.g., S. Rep. No. 168, 94th Cong. 1st Sess. 13 
(1975); S. Rep. No. 455 (Conference Report), 94th Cong. 1st Sess. 47-50 
(1975).)
    56. Is there a prescribed format or length for an IEP?
    No. The format and length of an IEP are matters left to the 
discretion of State and local agencies. The IEP should be as long as 
necessary to adequately describe a child's program. However, as 
indicated in Question 41, above, the IEP is not intended to be a 
detailed instructional plan. The Federal IEP requirements can usually be 
met in a one to three page form.
    57. Is it permissible to consolidate the IEP with an individualized 
service plan developed under another Federal program?
    Yes. In instances where a child with a disability must have both an 
IEP and an individualized service plan under another Federal program, it 
may be possible to develop a single, consolidated document only if: (1) 
It contains all of the information required in an IEP, and (2) all of 
the necessary parties participate in its development.
    Examples of individualized service plans that might be consolidated 
with the IEP are: (1) The Individualized Care Plan (title XIX of the 
Social Security Act (Medicaid)), (2) the Individualized Program Plan 
(title XX of the Social Security Act (Social Services)), (3) the 
Individualized Service Plan (title XVI of the Social Security Act 
(Supplemental Security Income)), and (4) the Individualized Written 
Rehabilitation Plan (Rehabilitation Act of 1973).
    58. What provisions on confidentiality of information apply to IEPs?
    IEPs are subject to the confidentiality provisions of both (1) part 
B (section 617(c) of the Act; Secs. 300.560-300.576 of the regulations), 
and (2) the Family Educational Rights and Privacy Act (``FERPA'', 20 
U.S.C. 1232g) and implementing regulations in 34 CFR part 99. An IEP is 
an education record as that term is used in the FERPA and implementing 
regulations (34 CFR Sec. 99.3) and is, therefore, subject to the same 
protections as other education records relating to the student.

    Note: Under Sec. 99.31(a) of the FERPA regulations, an educational 
agency may disclose personally identifiable information from the 
education records of a student without the written consent of the 
parents if ``(1) The disclosure is to other school officials, including 
teachers, within the agency or institution whom the agency or 
institution has determined to have legitimate educational interests * * 
*'' in that information.

       Sec. 300.348  Private school placements by public agencies.

    (a) Developing individualized education programs. (1) Before a 
public agency places a child with a disability in, or refers a child to, 
a private school or facility, the agency shall initiate and conduct a 
meeting to develop an IEP for the child in accordance with Sec. 300.343.
    (2) The agency shall ensure that a representative of the private 
school or facility attends the meeting. If the representative cannot 
attend, the agency shall use other methods to ensure participation by 
the private school or facility, including individual or conference 
telephone calls.
    (3) [Reserved]
    (b) Reviewing and revising individualized education programs. (1) 
After a child with a disability enters a private school or facility, any 
meetings to review and revise the child's IEP may be initiated and 
conducted by the private school or facility at the discretion of the 
public agency.
    (2) If the private school or facility initiates and conducts these 
meetings, the public agency shall ensure that the parents and an agency 
representative;
    (i) Are involved in any decision about the child's IEP; and
    (ii) Agree to any proposed changes in the program before those 
changes are implemented.

[[Page 90]]

    (c) Responsibility. Even if a private school or facility implements 
a child's IEP, responsibility for compliance with this part remains with 
the public agency and the SEA.

(Authority: 20 U.S.C. 1413(a)(4)(B))

    59. If placement decisions are made at the time the IEP is 
developed, how can a private school representative attend the meeting?
    Generally, a child who requires placement in either a public or 
private residential school has already been receiving special education, 
and the parents and school personnel have often jointly been involved 
over a prolonged period of time in attempting to find the most 
appropriate placement for the child. At some point in this process 
(e.g., at a meeting where the child's current IEP is being reviewed), 
the possibility of residential school placement might be proposed--by 
either the parents or school personnel. If both agree, then the matter 
would be explored with the residential school. A subsequent meeting 
would then be conducted to finalize the IEP. At this meeting, the public 
agency must ensure that a representative of the residential school 
either (1) attends the meeting, or (2) participates through individual 
or conference telephone calls, or by other means.

 Sec. 300.349  Children with disabilities in parochial or other private 
                                schools.

    If a child with a disability is enrolled in a parochial or other 
private school and receives special education or related services from a 
public agency, the public agency shall--
    (a) Initiate and conduct meetings to develop, review, and revise an 
IEP for the child, in accordance with Sec. 300.343; and
    (b) Ensure that a representative of the parochial or other private 
school attends each meeting. If the representative cannot attend, the 
agency shall use other methods to ensure participation by the private 
school, including individual or conference telephone calls.

(Authority: 20 U.S.C. 1413(a)(4)(A))

     Sec. 300.350  Individualized education program--accountability.

    Each public agency must provide special education and related 
services to a child with a disability in accordance with an IEP. 
However, part B of the Act does not require that any agency, teacher, or 
other person be held accountable if a child does not achieve the growth 
projected in the annual goals and objectives.

(Authority: 20 U.S.C. 1412(2)(B); 1414(a)(5), (6); Cong. Rec. at H7152 
(daily ed., July 21, 1975))

    Note: This section is intended to relieve concerns that the IEP 
constitutes a guarantee by the public agency and the teacher that a 
child will progress at a specified rate. However, this section does not 
relieve agencies and teachers from making good faith efforts to assist 
the child in achieving the goals and objectives listed in the IEP. 
Further, the section does not limit a parent's right to complain and ask 
for revisions of the child's program, or to invoke due process 
procedures, if the parent feels that these efforts are not being made.

    60. Is the IEP a performance contract?
    No. Section 300.350 makes it clear that the IEP is not a performance 
contract that imposes liability on a teacher or public agency if a child 
with a disability does not meet the IEP objectives. While the agency 
must provide special education and related services in accordance with 
the IEP of each child with a disability, the Act does not require that 
the agency, the teacher, or other persons be held accountable if the 
child does not achieve the growth projected in the written statement.

Authority: 20 U.S.C. 1411-1420

(Catalog of Federal Domestic Assistance number 84.027, Assistance to 
States for Education of Children with Disabilities; 84.173 Preschool 
Grants Program)
[57 FR 48694, Oct. 27, 1992]



PART 301--PRESCHOOL GRANTS FOR CHILDREN WITH DISABILITIES--Table of Contents




                           Subpart A--General

Sec.
301.1  Purpose of the Preschool Grants for Children With Disabilities 
          program.
301.2-301.3  [Reserved]
301.4  Applicable regulations.
301.5  Applicable definitions.
301.6  Applicability of part C of the Act to 2-year-old children with 
          disabilities.

                Subpart B--State Eligibility for a Grant

301.10  Eligibility of a State to receive a grant.
301.11  [Reserved]
301.12  Sanctions if a State does not make a free appropriate public 
          education available to all preschool children with 
          disabilities.

                Subpart C--Allocation of Funds to a State

301.20  Allocation to States.
301.21  Increase in funds.
301.22  Limitation.
301.23  Decrease in funds.
301.24  State-level activities.
301.25  Use of funds for State administration.
301.26  Use of State agency allocations.

[[Page 91]]

      Subpart D--Allocation of Funds to Local Educational Agencies

301.30  Subgrants to local educational agencies.
301.31  Allocations to local educational agencies.
301.32  Reallocation of local educational agency funds.

    Authority:  20 U.S.C. 1419, unless otherwise noted.

    Source:  63 FR 29930, June 1, 1998, unless otherwise noted.



                           Subpart A--General



Sec. 301.1  Purpose of the Preschool Grants for Children With Disabilities program.

    The purpose of the Preschool Grants for Children With Disabilities 
program (Preschool Grants program) is to provide grants to States to 
assist them in providing special education and related services--
    (a) To children with disabilities aged three through five years; and
    (b) At a State's discretion, to two-year-old children with 
disabilities who will turn three during the school year.

(Authority: 20 U.S.C. 1419(a))



Secs. 301.2-301.3  [Reserved]



Sec. 301.4  Applicable regulations.

    The following regulations apply to the Preschool Grants program:
    (a) The Education Department General Administrative Regulations 
(EDGAR) in title 34 of the Code of Federal Regulations--
    (1) Part 76 (State-Administered Programs) except Secs. 76.125-76.137 
and 76.650-76.662;
    (2) Part 77 (Definitions that Apply to Department Regulations);
    (3) Part 79 (Intergovernmental Review of Department of Education 
Programs and Activities);
    (4) Part 80 (Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments);
    (5) Part 81 (General Education Provision Act--Enforcement);
    (6) Part 82 (New Restrictions on Lobbying); and
    (7) Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for a Drug-Free 
Workplace (Grants)).
    (b) The regulations in this part 301.
    (c) The regulations in 34 CFR part 300.

(Authority: 20 U.S.C. 1419)



Sec. 301.5  Applicable definitions.

    (a) Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:
    Applicant
    Application
    Award
    EDGAR
    Fiscal year
    Grant period
    Secretary
    Subgrant
    (b) Other definitions. The following definitions also apply to this 
part:
    Act means the Individuals with Disabilities Education Act, as 
amended.
    Part B child count means the child count required by section 
611(d)(2) of the Act.
    Preschool means the age range of 3 through 5 years.
    State means each of the 50 States, the District of Columbia, and the 
Commonwealth of Puerto Rico.

(Authority: 20 U.S.C. 1402, 1419)



Sec. 301.6  Applicability of part C of the Act to 2-year-old children with disabilities.

    Part C of the Act does not apply to any child with disabilities 
receiving a free appropriate public education, in accordance with part B 
of the Act, with funds received under the Preschool Grants program.

(Authority: 20 U.S.C. 1419(h))



                Subpart B--State Eligibility for a Grant.



Sec. 301.10  Eligibility of a State to receive a grant.

    A State is eligible to receive a grant if--
    (a) The State is eligible under 34 CFR part 300; and
    (b) The State demonstrates to the satisfaction of the Secretary that 
it has in effect policies and procedures

[[Page 92]]

that assure the provision of a free appropriate public education--
    (1) For all children with disabilities aged 3 through 5 years in 
accordance with the requirements in 34 CFR part 300; and
    (2) For any 2-year-old children, provided services by the SEA or by 
an LEA or ESA under Sec. 301.1.

(Authority: 20 U.S.C. 1419 (a), (b))


(Approved by the Office of Management and Budget under control number 
1820-0030)



Sec. 301.11  [Reserved]



Sec. 301.12  Sanctions if a State does not make a free appropriate public education available to all preschool children with disabilities.

    If a State does not meet the requirements in section 619(b) of the 
Act--
    (a) The State is not eligible for a grant under the Preschool Grant 
program;
    (b) The State is not eligible for funds under 34 CFR part 300 for 
children with disabilities aged 3 through 5 years; and
    (c) No SEA, LEA, ESA, or other public institution or agency within 
the State is eligible for a grant under Subpart 2 of part D of the Act 
if the grant relates exclusively to programs, projects, and activities 
pertaining to children with disabilities aged 3 through 5 years.

(Authority: 20 U.S.C. 1411(d)(2) and (e)(2)(B); 1419(b); 1461(j))



                Subpart C--Allocation of Funds to States.



Sec. 301.20  Allocations to States.

    After reserving funds for studies and evaluations under section 
674(e) of the Act, the Secretary allocates the remaining amount among 
the States in accordance with Secs. 301.21-301.23.

(Authority: 20 U.S.C. 1419(c)(1))



Sec. 301.21  Increase in funds.

    If the amount available for allocation to States under Sec. 301.20 
is equal to or greater than the amount allocated to the States under 
section 619 of the Act for the preceding fiscal year, those allocations 
are calculated as follows:
    (a) Except as provided in Sec. 301.22, the Secretary--
    (1) Allocates to each State the amount it received for fiscal year 
1997;
    (2) Allocates 85 percent of any remaining funds to States on the 
basis of their relative populations of children aged 3 through 5; and
    (3) Allocates 15 percent of those remaining funds to States on the 
basis of their relative populations of children described in paragraph 
(a)(2) of this section who are living in poverty.
    (b) For the purpose of making grants under this section, the 
Secretary uses the most recent population data, including data on 
children living in poverty, that are available and satisfactory to the 
Secretary.

(Authority: 20 U.S.C. 1419(c)(2)(A))



Sec. 301.22  Limitation.

    (a) Notwithstanding Sec. 301.21, allocations under that section are 
subject to the following:
    (1) No State's allocation may be less than its allocation for the 
preceding fiscal year.
    (2) No State's allocation may be less than the greatest of--
    (i) The sum of--
    (A) The amount it received for fiscal year 1997; and
    (B) One-third of one percent of the amount by which the amount 
appropriated under section 619(j) of the Act exceeds the amount 
appropriated under section 619 of the Act for fiscal year 1997;
    (ii) The sum of--
    (A) The amount it received for the preceding fiscal year; and
    (B) That amount multiplied by the percentage by which the increase 
in the funds appropriated from the preceding fiscal year exceeds 1.5 
percent; or
    (iii) The sum of--
    (A) The amount it received for the preceding fiscal year; and
    (B) That amount multiplied by 90 percent of the percentage increase 
in the amount appropriated from the preceding fiscal year.
    (b) Notwithstanding paragraph (a)(2) of this section, no State's 
allocation under Sec. 301.21 may exceed the sum of--
    (1) The amount it received for the preceding fiscal year; and

[[Page 93]]

    (2) That amount multiplied by the sum of 1.5 percent and the 
percentage increase in the amount appropriated.
    (c) If the amount available for allocation to States under 
Sec. 301.21 and paragraphs (a) and (b) of this section is insufficient 
to pay those allocations in full, the Secretary ratably reduces those 
allocations, subject to paragraph (a)(1) of this section.

(Authority: 20 U.S.C. 1419(c)(2)(B) and (C))



Sec. 301.23  Decrease in funds.

    If the amount available for allocations to States under Sec. 301.20 
is less than the amount allocated to the States under section 619 of the 
Act for the preceding fiscal year, those allocations are calculated as 
follows:
    (a) If the amount available for allocations is greater than the 
amount allocated to the States for fiscal year 1997, each State is 
allocated the sum of--
    (1) The amount it received for fiscal year 1997; and
    (2) An amount that bears the same relation to any remaining funds as 
the increase the State received for the preceding fiscal year over 
fiscal year 1997 bears to the total of those increases for all States.
    (b)(1) If the amount available for allocations is equal to the 
amount allocated to the States for fiscal year 1997, each State is 
allocated the amount it received for that year.
    (2) If the amount available is less than the amount allocated to 
States for fiscal year 1997, the Secretary allocates amounts equal to 
the allocations for fiscal year 1997, ratably reduced.

(Authority: 20 U.S.C. 1419(c)(3))



Sec. 301.24  State-level activities.

    (a) Each State may retain not more than the amount described in 
paragraph (b) of this section for administration and other State-level 
activities in accordance with Secs. 301.25 and 301.26.
    (b) For each fiscal year, the Secretary determines and reports to 
the SEA an amount that is 25 percent of the amount the State received 
under section 619 of the Act for fiscal year 1997, cumulatively adjusted 
by the Secretary for each succeeding fiscal year by the lesser of--
    (1) The percentage increase, if any, from the preceding fiscal year 
in the State's allocation under section 619 of the Act; or
    (2) The rate of inflation, as measured by the percentage increase, 
if any, from the preceding fiscal year in the Consumer Price Index For 
All Urban Consumers, published by the Bureau of Labor Statistics of the 
Department of Labor.

(Authority: 20 U.S.C. 1419(d))



Sec. 301.25  Use of funds for State administration.

    (a) For the purpose of administering section 619 of the Act 
(including the coordination of activities under Part B of the Act with, 
and providing technical assistance to, other programs that provide 
services to children with disabilities), each State may use not more 
than twenty percent of the maximum amount it may retain under 
Sec. 301.24 for any fiscal year.
    (b) Funds described in paragraph (a) of this section may also be 
used for the administration of part C of the Act, if the SEA is the lead 
agency for the State under that part.

(Authority: 20 U.S.C. 1419(e))



Sec. 301.26  Use of State agency allocations.

    Each State shall use any funds it retains under Sec. 301.24 and does 
not use for administration under Sec. 301.25 for any of the following:
    (a) Support services (including establishing and implementing the 
mediation process required by section 615(e) of the Act), which may 
benefit children with disabilities younger than 3 or older than 5 as 
long as those services also benefit children with disabilities aged 3 
through 5.
    (b) Direct services for children eligible for services under section 
619 of the Act.
    (c) Developing a State improvement plan under subpart 1 of part D of 
the Act.
    (d) Activities at the State and local levels to meet the performance 
goals established by the State under section 612(a)(16) of the Act and 
to support implementation of the State improvement plan under subpart 1 
of part D of

[[Page 94]]

the Act if the State receives funds under that subpart.
    (e) Supplementing other funds used to develop and implement a 
Statewide coordinated services system designed to improve results for 
children and families, including children with disabilities and their 
families, but not to exceed one percent of the amount received by the 
State under section 619 of the Act for a fiscal year.

(Authority: 20 U.S.C. 1419(f))



      Subpart D--Allocation of funds to local educational agencies.



Sec. 301.30  Subgrants to local educational agencies.

    Each State that receives a grant under section 619 of the Act for 
any fiscal year shall distribute any funds it does not retain under 
Sec. 301.24 to local educational agencies in the State that have 
established their eligibility under section 613 of the Act.

(Authority: 20 U.S.C. 1419(g)(1))



Sec. 301.31  Allocations to local educational agencies.

    (a) Base payments. The State shall first award each agency described 
in Sec. 301.30 the amount that agency would have received under section 
619 of the Act for fiscal year 1997 if the State had distributed 75 
percent of its grant for that year under section 619(c)(3), as then in 
effect.
    (b) Base payment adjustments. For fiscal year 1998 and beyond--
    (1) If a new LEA is created, the State shall divide the base 
allocation determined under paragraph (a) of this section for the LEAs 
that would have been responsible for serving children with disabilities 
now being served by the new LEA, among the new LEA and affected LEAs 
based on the relative numbers of children with disabilities ages 3 
through 5 currently provided special education by each of the LEAs;
    (2) If one or more LEAs are combined into a single new LEA, the 
State shall combine the base allocations of the merged LEAs; and
    (3) If for two or more LEAs, geographic boundaries or administrative 
responsibility for providing services to children with disabilities ages 
3 through 5 changes, the base allocations of affected LEAs shall be 
redistributed among affected LEAs based on the relative numbers of 
children with disabilities ages 3 through 5 currently provided special 
education by each affected LEA.
    (c) Allocation of remaining funds. After making allocations under 
paragraph (a) of this section, the State shall--
    (1) Allocate 85 percent of any remaining funds to those agencies on 
the basis of the relative numbers of children enrolled in public and 
private elementary and secondary schools within the agency's 
jurisdiction; and
    (2) Allocate 15 percent of those remaining funds to those agencies 
in accordance with their relative numbers of children living in poverty, 
as determined by the SEA.
    (3) For the purpose of making grants under this section, States must 
apply on a uniform basis across all LEAs the best data that are 
available to them on the numbers of children enrolled in public and 
private elementary and secondary schools and the numbers of children 
living in poverty.

(Authority: 20 U.S.C. 1419(g)(1))



Sec. 301.32  Reallocation of local education agency funds.

    (a) If a SEA determines that an LEA is adequately providing a free 
appropriate public education to all children with disabilities aged 3 
through 5 residing in the area served by that agency with State and 
local funds, the SEA may reallocate any portion of the funds under 
section 619 of the Act that are not needed by that local agency to 
provide a free appropriate public education to other local educational 
agencies in the State that are not adequately providing special 
education and related services to all children with disabilities aged 3 
through 5 residing in the areas they serve.
    (b) If a State provides services to preschool children with 
disabilities because some or all LEAs and ESAs are unable or unwilling 
to provide appropriate programs, the SEA may use payments that would 
have been available to those LEAs or ESAs to provide special education 
and related services to children with disabilities aged 3 through 5 
years, and to two-year-old

[[Page 95]]

children with disabilities receiving services consistent with Sec. 301.1 
who are residing in the area served by those LEAs and ESAs.

(Authority: 20 U.S.C. 1414(d), 1419(g)(2))



PART 303--EARLY INTERVENTION PROGRAM FOR INFANTS AND TODDLERS WITH DISABILITIES--Table of Contents




                           Subpart A--General

           Purpose, Eligibility, and Other General Provisions

Sec.
303.1  Purpose of the early intervention program for infants and 
          toddlers with disabilities.
303.2  Eligible recipients of an award.
303.3  Activities that may be supported under this part.
303.4  Limitation on eligible children.
303.5  Applicable regulations.

                               Definitions

303.6  Act.
303.7  Children.
303.8  Council.
303.9  Days.
303.10  Developmental delay.
303.11  Early intervention program.
303.12  Early intervention services.
303.13  Health services.
303.14  IFSP.
303.15  Include; including.
303.16  Infants and toddlers with disabilities.
303.17  Multidisciplinary.
303.18  Natural environments.
303.19  Parent.
303.20  Policies.
303.21  Public agency.
303.22  Qualified.
303.23  Service coordination (case management).
303.24  State.
303.25  EDGAR definitions that apply.

                Subpart B--State Application for a Grant

                          General Requirements

303.100  Conditions of assistance.
303.101  How the Secretary disapproves a State's application or 
          statement of assurances.

                          Public Participation

303.110  General requirements and timelines for public participation.
303.111  Notice of public hearings and opportunity to comment.
303.112  Public hearings.
303.113  Reviewing public comments received.

                         Statement of Assurances

303.120  General.
303.121  Reports and records.
303.122  Control of funds and property.
303.123  Prohibition against commingling.
303.124  Prohibition against supplanting.
303.125  Fiscal control.
303.126  Payor of last resort.
303.127  Assurance regarding expenditure of funds.
303.128  Traditionally underserved groups.

              General Requirements for a State Application

303.140  General.
303.141  Information about the Council.
303.142  Designation of lead agency.
303.143  Designation regarding financial responsibility.
303.144  Assurance regarding use of funds.
303.145  Description of use of funds.
303.146  Information about public participation.
303.147  Service to all geographic areas.
303.148  Transition to preschool programs.

       Components of a Statewide System--Application Requirements

303.160  Minimum components of a statewide system.
303.161  State definition of developmental delay.
303.162  Central directory.
303.163  [Reserved]
303.164  Public awareness program.
303.165  Comprehensive child find system.
303.166  Evaluation, assessment, and non-discriminatory procedures.
303.167  Individualized family service plans.
303.168  Comprehensive system of personnel development (CSPD).
303.169  Personnel standards.
303.170  Procedural safeguards.
303.171  Supervision and monitoring of programs.
303.172  Lead agency procedures for resolving complaints.
303.173  Policies and procedures related to financial matters.
303.174  Interagency agreements; resolution of individual disputes.
303.175  Policy for contracting or otherwise arranging for services.
303.176  Data collection.

             Participation by the Secretary of the Interior

303.180  Payments to the Secretary of the Interior for Indian tribes and 
          tribal organizations.

            Subpart C--Procedures for Making Grants to States

303.200  Formula for State allocations.

[[Page 96]]

303.201  Distribution of allotments from non-participating States.
303.202  Minimum grant that a State may receive.
303.203  Payments to the Secretary of the Interior.
303.204  Payments to the jurisdictions.

Subpart D--Program and Service Components of a Statewide System of Early 
                          Intervention Services

                                 General

303.300  State eligibility criteria and procedures.
303.301  Central directory.

                      Identification and Evaluation

303.320  Public awareness program.
303.321  Comprehensive child find system.
303.322  Evaluation and assessment.
303.323  Non-discriminatory procedures.

               Individualized Family Service Plans (IFSPs)

303.340  General.
303.341  [Reserved]
303.342  Procedures for IFSP development, review, and evaluation.
303.343  Participants in IFSP meetings and periodic reviews.
303.344  Content of an IFSP.
303.345  Provision of services before evaluation and assessment are 
          completed.
303.346  Responsibility and accountability.

                    Personnel Training and Standards

303.360  Comprehensive system of personnel development.
303.361  Personnel standards.

                    Subpart E--Procedural Safeguards

                                 General

303.400  General responsibility of lead agency for procedural 
          safeguards.
303.401  Definitions of consent, native language, and personally 
          identifiable information.
303.402  Opportunity to examine records.
303.403  Prior notice; native language.
303.404  Parent consent.
303.405  Parent right to decline service.
303.406  Surrogate parents.

      Mediation and Due Process Procedures for Parents and Children

303.419  Mediation.
303.420  Due process procedures.
303.421  Appointment of an impartial person.
303.422  Parent rights in administrative proceedings.
303.423  Convenience of proceedings; timelines.
303.424  Civil action.
303.425  Status of a child during proceedings.

                             Confidentiality

303.460  Confidentiality of information.

                     Subpart F--State Administration

                                 General

303.500  Lead agency establishment or designation.
303.501  Supervision and monitoring of programs.

             Lead Agency Procedures for Resolving Complaints

303.510  Adopting complaint procedures.
303.511  An organization or individual may file a complaint.
303.512  Minimum State complaint procedures.

          Policies and Procedures Related to Financial Matters

303.520  Policies related to payment for services.
303.521  Fees.
303.522  Identification and coordination of resources.
303.523  Interagency agreements.
303.524  Resolution of disputes.
303.525  Delivery of services in a timely manner.
303.526  Policy for contracting or otherwise arranging for services.
303.527  Payor of last resort.
303.528  Reimbursement procedure.

                         Reporting Requirements

303.540  Data collection.

                  Use of Funds for State Administration

303.560  Use of funds by the lead agency.

            Subpart G--State Interagency Coordinating Council

                                 General

303.600  Establishment of Council.
303.601  Composition.
303.602  Use of funds by the Council.
303.603  Meetings.
303.604  Conflict of interest.

                        Functions of the Council

303.650  General.
303.651  Advising and assisting the lead agency in its administrative 
          duties.
303.652  Applications.
303.653  Transitional services.
303.654  Annual report to the Secretary.

    Authority: 20 U.S.C. 1431-1445, unless otherwise noted.

    Source: 58 FR 40959, July 30, 1993, unless otherwise noted.

[[Page 97]]


    Editorial Note:  Nomenclature changes to part 303 appear at 63 FR 
18293, Apr. 14, 1998.



                           Subpart A--General

           Purpose, Eligibility, and Other General Provisions



Sec. 303.1  Purpose of the early intervention program for infants and toddlers with disabilities.

    The purpose of this part is to provide financial assistance to 
States to--
    (a) Maintain and implement a statewide, comprehensive, coordinated, 
multidisciplinary, interagency program of early intervention services 
for infants and toddlers with disabilities and their families;
    (b) Facilitate the coordination of payment for early intervention 
services from Federal, State, local, and private sources (including 
public and private insurance coverage);
    (c) Enhance the States' capacity to provide quality early 
intervention services and expand and improve existing early intervention 
services being provided to infants and toddlers with disabilities and 
their families; and
    (d) Enhance the capacity of State and local agencies and service 
providers to identify, evaluate, and meet the needs of historically 
underrepresented populations, particularly minority, low-income, inner-
city, and rural populations.

(Authority: 20 U.S.C. 1431)

[58 FR 40959, July 30, 1993, as amended at 63 FR 18293, Apr. 14, 1998]



Sec. 303.2  Eligible recipients of an award.

    Eligible recipients include the 50 States, the Commonwealth of 
Puerto Rico, the District of Columbia, the Secretary of the Interior, 
and the following jurisdictions: Guam, American Samoa, the Virgin 
Islands, the Commonwealth of the Northern Mariana Islands.

(Authority: 20 U.S.C. 1401(27), 1443)

[58 FR 40959, July 30, 1993, as amended at 63 FR 18293, Apr. 14, 1998]



Sec. 303.3  Activities that may be supported under this part.

    Funds under this part may be used for the following activities:
    (a) To maintain and implement a statewide system of early 
intervention services for children eligible under this part and their 
families.
    (b) For direct services for eligible children and their families 
that are not otherwise provided from other public or private sources.
    (c) To expand and improve on services for eligible children and 
their families that are otherwise available, consistent with 
Sec. 303.527.
    (d) To provide a free appropriate public education, in accordance 
with part B of the Act, to children with disabilities from their third 
birthday to the beginning of the following school year.
    (e) To strengthen the statewide system by initiating, expanding, or 
improving collaborative efforts related to at-risk infants and toddlers, 
including establishing linkages with appropriate public or private 
community-based organizations, services, and personnel for the purpose 
of--
    (1) Identifying and evaluating at-risk infants and toddlers;
    (2) Making referrals of the infants and toddlers identified and 
evaluated under paragraph (e)(1) of this section; and
    (3) Conducting periodic follow-up on each referral under paragraph 
(e)(2) of this section to determine if the status of the infant or 
toddler involved has changed with respect to the eligibility of the 
infant or toddler for services under this part.

(Authority: 20 U.S.C. 1433 and 1438)

[58 FR 40959, July 30, 1993, as amended at 63 FR 18293, Apr. 14, 1998]



Sec. 303.4  Limitation on eligible children.

    This part 303 does not apply to any child with disabilities 
receiving a free appropriate public education, in accordance with 34 CFR 
part 300, with funds received under 34 CFR part 301.

(Authority: 20 U.S.C. 1419(g))



Sec. 303.5  Applicable regulations.

    (a) The following regulations apply to this part:
    (1) The Education Department General Administrative Regulations 
(EDGAR), including--
    (i) Part 76 (State Administered Programs), except for Sec. 76.103;

[[Page 98]]

    (ii) Part 77 (Definitions that Apply to Department Regulations);
    (iii) Part 79 (Intergovernmental Review of Department of Education 
Programs and Activities);
    (iv) Part 80 (Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments);
    (v) Part 81 (Grants and Cooperative Agreements under the General 
Education Provisions Act--Enforcement);
    (vi) Part 82 (New Restrictions on Lobbying);
    (vii) Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for Drug-Free Work 
Place (Grants)).
    (2) The regulations in this part 303.
    (3) The following regulations in 34 CFR part 300 (Assistance to 
States for Children with Disabilities Program): Secs. 300.560 through 
300.576, and Secs. 300.581 through 300.586.
    (b) In applying the regulations cited in paragraphs (a)(1) and 
(a)(3) of this section, any reference to--
    (1) State educational agency means the lead agency under this part;
    (2) Special education, related services, free appropriate public 
education, free public education, or education means ``early 
intervention services'' under this part;
    (3) Participating agency, when used in reference to a local 
educational agency or an intermediate educational agency, means a local 
service provider under this part;
    (4) Section 300.128 means Secs. 303.164 and 303.321; and
    (5) Section 300.129 means Sec. 303.460.

(Authority: 20 U.S.C. 1401-1418, 1420, 1483)

[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998]

                               Definitions

    Note: Sections 303.6-303.24 contain definitions, including a 
definition of ``natural environments'' in Sec. 303.12(b)(2), that are 
used throughout these regulations. Other terms are defined in the 
specific subparts in which they are used. Below is a list of those terms 
and the specific sections in which they are defined:


    Appropriate professional requirements in the State 
(Sec. 303.361(a)(1))
    Assessment (Sec. 303.322(b)(2))
    Consent (Sec. 303.401(a))
    Evaluation (Sec. 303.322(b)(1))
    Frequency and intensity (Sec. 303.344(d)(2)(i))
    Highest requirements in the State applicable to a profession or 
discipline (Sec. 303.361)(a)(2))
    Individualized family service plan and IFSP (Sec. 303.340(b))
    Impartial (Sec. 303.421(b))
    Location (Sec. 303.344(d)(3))
    Method (Sec. 303.344(d)(2)(ii))
    Native language (Sec. 303.401(b))
    Personally identifiable (Sec. 303.401(c))
    Primary referral sources (Sec. 303.321(d)(3))
    Profession or discipline (Sec. 303.361(a)(3))
    Special definition of ``aggregate amount'' (Sec. 303.200(b)(1))
    Special definition of ``infants and toddlers'' (Sec. 303.200(b)(2))
    Special definition of ``State'' (Sec. 303.200(b)(3))
    State approved or recognized certification, licensing, registration, 
or other comparable requirements (Sec. 303.361(a)(4))



Sec. 303.6  Act.

    As used in this part, Act means the Individuals with Disabilities 
Education Act.

(Authority: 20 U.S.C. 1400)



Sec. 303.7  Children.

    As used in this part, children means infants and toddlers with 
disabilities as that term is defined in Sec. 303.16.

(Authority: 20 U.S.C. 1432(5))



Sec. 303.8  Council.

    As used in this part, Council means the State Interagency 
Coordinating Council.

(Authority: 20 U.S.C. 1432(2))



Sec. 303.9  Days.

    As used in this part, days means calendar days.

(Authority: 20 U.S.C. 1431-1445)



Sec. 303.10  Developmental delay.

    As used in this part, developmental delay has the meaning given to 
that term by a State under Sec. 303.300.

(Authority: 20 U.S.C. 1432(3))



Sec. 303.11  Early intervention program.

    As used in this part, early intervention program means the total 
effort in a State that is directed at meeting the

[[Page 99]]

needs of children eligible under this part and their families.

(Authority: 20 U.S.C. 1431-1445)



Sec. 303.12  Early intervention services.

    (a) General. As used in this part, early intervention services means 
services that--
    (1) Are designed to meet the developmental needs of each child 
eligible under this part and the needs of the family related to 
enhancing the child's development;
    (2) Are selected in collaboration with the parents;
    (3) Are provided--
    (i) Under public supervision;
    (ii) By qualified personnel, as defined in Sec. 303.21, including 
the types of personnel listed in paragraph (e) of this section;
    (iii) In conformity with an individualized family service plan; and
    (iv) At no cost, unless, subject to Sec. 303.520(b)(3), Federal or 
State law provides for a system of payments by families, including a 
schedule of sliding fees; and
    (4) Meet the standards of the State, including the requirements of 
this part.
    (b) Natural environments. To the maximum extent appropriate to the 
needs of the child, early intervention services must be provided in 
natural environments, including the home and community settings in which 
children without disabilities participate.
    (c) General role of service providers. To the extent appropriate, 
service providers in each area of early intervention services included 
in paragraph (d) of this section are responsible for--
    (1) Consulting with parents, other service providers, and 
representatives of appropriate community agencies to ensure the 
effective provision of services in that area;
    (2) Training parents and others regarding the provision of those 
services; and
    (3) Participating in the multidisciplinary team's assessment of a 
child and the child's family, and in the development of integrated goals 
and outcomes for the individualized family service plan.
    (d) Types of services; definitions. Following are types of services 
included under ``early intervention services,'' and, if appropriate, 
definitions of those services:
    (1) Assistive technology device means any item, piece of equipment, 
or product system, whether acquired commercially off the shelf, 
modified, or customized, that is used to increase, maintain, or improve 
the functional capabilities of children with disabilities. Assistive 
technology service means a service that directly assists a child with a 
disability in the selection, acquisition, or use of an assistive 
technology device. Assistive technology services include--
    (i) The evaluation of the needs of a child with a disability, 
including a functional evaluation of the child in the child's customary 
environment;
    (ii) Purchasing, leasing, or otherwise providing for the acquisition 
of assistive technology devices by children with disabilities;
    (iii) Selecting, designing, fitting, customizing, adapting, 
applying, maintaining, repairing, or replacing assistive technology 
devices;
    (iv) Coordinating and using other therapies, interventions, or 
services with assistive technology devices, such as those associated 
with existing education and rehabilitation plans and programs;
    (v) Training or technical assistance for a child with disabilities 
or, if appropriate, that child's family; and
    (vi) Training or technical assistance for professionals (including 
individuals providing early intervention services) or other individuals 
who provide services to or are otherwise substantially involved in the 
major life functions of individuals with disabilities.
    (2) Audiology includes--
    (i) Identification of children with auditory impairment, using at 
risk criteria and appropriate audiologic screening techniques;
    (ii) Determination of the range, nature, and degree of hearing loss 
and communication functions, by use of audiological evaluation 
procedures;
    (iii) Referral for medical and other services necessary for the 
habilitation or rehabilitation of children with auditory impairment;
    (iv) Provision of auditory training, aural rehabilitation, speech 
reading

[[Page 100]]

and listening device orientation and training, and other services;
    (v) Provision of services for prevention of hearing loss; and
    (vi) Determination of the child's need for individual amplification, 
including selecting, fitting, and dispensing appropriate listening and 
vibrotactile devices, and evaluating the effectiveness of those devices.
    (3) Family training, counseling, and home visits means services 
provided, as appropriate, by social workers, psychologists, and other 
qualified personnel to assist the family of a child eligible under this 
part in understanding the special needs of the child and enhancing the 
child's development.
    (4) Health services (See Sec. 303.13).
    (5) Medical services only for diagnostic or evaluation purposes 
means services provided by a licensed physician to determine a child's 
developmental status and need for early intervention services.
    (6) Nursing services includes--
    (i) The assessment of health status for the purpose of providing 
nursing care, including the identification of patterns of human response 
to actual or potential health problems;
    (ii) Provision of nursing care to prevent health problems, restore 
or improve functioning, and promote optimal health and development; and
    (iii) Administration of medications, treatments, and regimens 
prescribed by a licensed physician.
    (7) Nutrition services includes--
    (i) Conducting individual assessments in--
    (A) Nutritional history and dietary intake;
    (B) Anthropometric, biochemical, and clinical variables;
    (C) Feeding skills and feeding problems; and
    (D) Food habits and food preferences;
    (ii) Developing and monitoring appropriate plans to address the 
nutritional needs of children eligible under this part, based on the 
findings in paragraph (d)(7)(i) of this section; and
    (iii) Making referrals to appropriate community resources to carry 
out nutrition goals.
    (8) Occupational therapy includes services to address the functional 
needs of a child related to adaptive development, adaptive behavior and 
play, and sensory, motor, and postural development. These services are 
designed to improve the child's functional ability to perform tasks in 
home, school, and community settings, and include--
    (i) Identification, assessment, and intervention;
    (ii) Adaptation of the environment, and selection, design, and 
fabrication of assistive and orthotic devices to facilitate development 
and promote the acquisition of functional skills; and
    (iii) Prevention or minimization of the impact of initial or future 
impairment, delay in development, or loss of functional ability.
    (9) Physical therapy includes services to address the promotion of 
sensorimotor function through enhancement of musculoskeletal status, 
neurobehavioral organization, perceptual and motor development, 
cardiopulmonary status, and effective environmental adaptation. These 
services include--
    (i) Screening, evaluation, and assessment of infants and toddlers to 
identify movement dysfunction;
    (ii) Obtaining, interpreting, and integrating information 
appropriate to program planning to prevent, alleviate, or compensate for 
movement dysfunction and related functional problems; and
    (iii) Providing individual and group services or treatment to 
prevent, alleviate, or compensate for movement dysfunction and related 
functional problems.
    (10) Psychological services includes--
    (i) Administering psychological and developmental tests and other 
assessment procedures;
    (ii) Interpreting assessment results;
    (iii) Obtaining, integrating, and interpreting information about 
child behavior, and child and family conditions related to learning, 
mental health, and development; and
    (iv) Planning and managing a program of psychological services, 
including psychological counseling for children and parents, family 
counseling, consultation on child development, parent training, and 
education programs.
    (11) Service coordination services means assistance and services 
provided by a service coordinator to a child eligible

[[Page 101]]

under this part and the child's family that are in addition to the 
functions and activities included under Sec. 303.22.
    (12) Social work services includes--
    (i) Making home visits to evaluate a child's living conditions and 
patterns of parent-child interaction;
    (ii) Preparing a social or emotional developmental assessment of the 
child within the family context;
    (iii) Providing individual and family-group counseling with parents 
and other family members, and appropriate social skill-building 
activities with the child and parents;
    (iv) Working with those problems in a child's and family's living 
situation (home, community, and any center where early intervention 
services are provided) that affect the child's maximum utilization of 
early intervention services; and
    (v) Identifying, mobilizing, and coordinating community resources 
and services to enable the child and family to receive maximum benefit 
from early intervention services.
    (13) Special instruction includes--
    (i) The design of learning environments and activities that promote 
the child's acquisition of skills in a variety of developmental areas, 
including cognitive processes and social interaction;
    (ii) Curriculum planning, including the planned interaction of 
personnel, materials, and time and space, that leads to achieving the 
outcomes in the child's individualized family service plan;
    (iii) Providing families with information, skills, and support 
related to enhancing the skill development of the child; and
    (iv) Working with the child to enhance the child's development.
    (14) Speech-language pathology includes--
    (i) Identification of children with communicative or oropharyngeal 
disorders and delays in development of communication skills, including 
the diagnosis and appraisal of specific disorders and delays in those 
skills;
    (ii) Referral for medical or other professional services necessary 
for the habilitation or rehabilitation of children with communicative or 
oropharyngeal disorders and delays in development of communication 
skills; and
    (iii) Provision of services for the habilitation, rehabilitation, or 
prevention of communicative or oropharyngeal disorders and delays in 
development of communication skills.
    (15) Transportation and related costs includes the cost of travel 
(e.g., mileage, or travel by taxi, common carrier, or other means) and 
other costs (e.g., tolls and parking expenses) that are necessary to 
enable a child eligible under this part and the child's family to 
receive early intervention services.
    (16) Vision services means--
    (i) Evaluation and assessment of visual functioning, including the 
diagnosis and appraisal of specific visual disorders, delays, and 
abilities;
    (ii) Referral for medical or other professional services necessary 
for the habilitation or rehabilitation of visual functioning disorders, 
or both; and
    (iii) Communication skills training, orientation and mobility 
training for all environments, visual training, independent living 
skills training, and additional training necessary to activate visual 
motor abilities.
    (e) Qualified personnel. Early intervention services must be 
provided by qualified personnel, including--
    (1) Audiologists;
    (2) Family therapists;
    (3) Nurses;
    (4) Nutritionists;
    (5) Occupational therapists;
    (6) Orientation and mobility specialists;
    (7) Pediatricians and other physicians;
    (8) Physical therapists;
    (9) Psychologists;
    (10) Social workers;
    (11) Special educators; and
    (12) Speech and language pathologists.

(Authority: 20 U.S.C. 1401(1) and (2); 1432(4))


    Note: The lists of services in paragraph (d) and qualified personnel 
in paragraph (e) of this section are not exhaustive. Early intervention 
services may include such services as the provision of respite and other 
family support services. Qualified personnel may include such personnel 
as vision specialists, paraprofessionals, and parent-to-parent support 
personnel.

[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998]

[[Page 102]]



Sec. 303.13  Health services.

    (a) As used in this part, health services means services necessary 
to enable a child to benefit from the other early intervention services 
under this part during the time that the child is receiving the other 
early intervention services.
    (b) The term includes--
    (1) Such services as clean intermittent catheterization, 
tracheostomy care, tube feeding, the changing of dressings or colostomy 
collection bags, and other health services; and
    (2) Consultation by physicians with other service providers 
concerning the special health care needs of eligible children that will 
need to be addressed in the course of providing other early intervention 
services.
    (c) The term does not include the following:
    (1) Services that are--
    (i) Surgical in nature (such as cleft palate surgery, surgery for 
club foot, or the shunting of hydrocephalus); or
    (ii) Purely medical in nature (such as hospitalization for 
management of congenital heart ailments, or the prescribing of medicine 
or drugs for any purpose).
    (2) Devices necessary to control or treat a medical condition.
    (3) Medical-health services (such as immunizations and regular 
``well-baby'' care) that are routinely recommended for all children.

(Authority: 20 U.S.C. 1432(4))


    Note: The definition in this section distinguishes between the 
health services that are required under this part and the medical-health 
services that are not required. The IFSP requirements in subpart D of 
this part provide that, to the extent appropriate, these other medical-
health services are to be included in the IFSP, along with the funding 
sources to be used in paying for the services or the steps that will be 
taken to secure the services through public or private sources. 
Identifying these services in the IFSP does not impose an obligation to 
provide the services if they are otherwise not required to be provided 
under this part. (See Sec. 303.344(e) and the note 3 following that 
section.)



Sec. 303.14  IFSP.

    As used in this part, IFSP means the individualized family service 
plan, as that term is defined in Sec. 303.340(b).

(Authority: 20 U.S.C. 1436)



Sec. 303.15  Include; including.

    As used in this part, include or including means that the items 
named are not all of the possible items that are covered whether like or 
unlike the ones named.

(Authority: 20 U.S.C. 1431-1445)



Sec. 303.16  Infants and toddlers with disabilities.

    (a) As used in this part, infants and toddlers with disabilities 
means individuals from birth through age two who need early intervention 
services because they--
    (1) Are experiencing developmental delays, as measured by 
appropriate diagnostic instruments and procedures, in one or more of the 
following areas:
    (i) Cognitive development.
    (ii) Physical development, including vision and hearing.
    (iii) Communication development.
    (iv) Social or emotional development.
    (v) Adaptive development; or
    (2) Have a diagnosed physical or mental condition that has a high 
probability of resulting in developmental delay.
    (b) The term may also include, at a State's discretion, children 
from birth through age two who are at risk of having substantial 
developmental delays if early intervention services are not provided.

(Authority: 20 U.S.C. 1432(5))


    Note 1: The phrase ``a diagnosed physical or mental condition that 
has a high probability of resulting in developmental delay,'' as used in 
paragraph (a)(2) of this section, applies to a condition if it typically 
results in developmental delay. Examples of these conditions include 
chromosomal abnormalities; genetic or congenital disorders; severe 
sensory impairments, including hearing and vision; inborn errors of 
metabolism; disorders reflecting disturbance of the development of the 
nervous system; congenital infections; disorders secondary to exposure 
to

[[Page 103]]

toxic substances, including fetal alcohol syndrome; and severe 
attachment disorders.


    Note 2: With respect to paragraph (b) of this section, children who 
are at risk may be eligible under this part if a State elects to extend 
services to that population, even though they have not been identified 
as disabled.
    Under this provision, States have the authority to define who would 
be ``at risk of having substantial developmental delays if early 
intervention services are not provided.'' In defining the ``at risk'' 
population, States may include well-known biological and environmental 
factors that can be identified and that place infants and toddlers ``at 
risk'' for developmental delay. Commonly cited factors include low birth 
weight, respiratory distress as a newborn, lack of oxygen, brain 
hemorrhage, infection, nutritional deprivation, and a history of abuse 
or neglect. It should be noted that ``at risk'' factors do not predict 
the presence of a barrier to development, but they may indicate children 
who are at higher risk of developmental delay than children without 
these problems.



Sec. 303.17  Multidisciplinary.

    As used in this part, multidisciplinary means the involvement of two 
or more disciplines or professions in the provision of integrated and 
coordinated services, including evaluation and assessment activities in 
Sec. 303.322 and development of the IFSP in Sec. 303.342.

(Authority: 20 U.S.C. 1435(a)(3), 1436(a))



Sec. 303.18  Natural environments.

    As used in this part, natural environments means settings that are 
natural or normal for the child's age peers who have no disabilities.

(Authority: 20 U.S.C. 1435 and 1436)

[63 FR 18294, Apr. 14, 1998]



Sec. 303.19  Parent.

    As used in this part, parent means a parent, a guardian, a person 
acting as a parent of a child, or a surrogate parent who has been 
appointed in accordance with Sec. 303.406. The term does not include the 
State if the child is a ward of the State.

(Authority: 20 U.S.C. 1436)


    Note: The term parent has been defined to include persons acting in 
the place of a parent, such as a grandparent or stepparent with whom a 
child lives, as well as persons who are legally responsible for the 
child's welfare. The definition in this section is identical to the 
definition used in the regulations under part B of the Act (34 CFR 
300.13).

[58 FR 40959, July 30, 1993. Redesignated at 63 FR 18294, Apr. 14, 1998]



Sec. 303.20  Policies.

    (a) As used in this part, policies means State statutes, 
regulations, Governor's orders, directives by the lead agency, or other 
written documents that represent the State's position concerning any 
matter covered under this part.
    (b) State policies include--
    (1) A State's commitment to maintain the statewide system (see 
Sec. 303.140);
    (2) A State's eligibility criteria and procedures (see 
Sec. 303.300);
    (3) A statement that, consistent with Sec. 303.520(b), provides that 
services under this part will be provided at no cost to parents, except 
where a system of payments is provided for under Federal or State law.
    (4) A State's standards for personnel who provide services to 
children eligible under this part (see Sec. 303.361);
    (5) A State's position and procedures related to contracting or 
making other arrangements with service providers under subpart F of this 
part; and
    (6) Other positions that the State has adopted related to 
implementing any of the other requirements under this part.

(Authority: 20 U.S.C. 1431-1445)

[58 FR 40959, July 30, 1993. Redesignated and amended at 63 FR 18294, 
Apr. 14, 1998]



Sec. 303.21  Public agency.

    As used in this part, public agency includes the lead agency and any 
other political subdivision of the State that is responsible for 
providing early intervention services to children eligible under this 
part and their families.

(Authority: 20 U.S.C. 1431-1445)

[58 FR 40959, July 30, 1993. Redesignated at 63 FR 18294, Apr. 14, 1998]



Sec. 303.22  Qualified.

    As used in this part, qualified means that a person has met State 
approved or recognized certification, licensing,

[[Page 104]]

registration, or other comparable requirements that apply to the area in 
which the person is providing early intervention services.

(Authority: 20 U.S.C. 1432(4))


    Note: These regulations contain the following provisions relating to 
a State's responsibility to ensure that personnel are qualified to 
provide early intervention services:

    1. Section 303.12(a)(4) provides that early intervention services 
must meet State standards. This provision implements a requirement that 
is similar to a longstanding provision under part B of the Act (i.e., 
that the State educational agency establish standards and ensure that 
those standards are currently met for all programs providing special 
education and related services).
    2. Section 303.12(a)(3)(ii) provides that early intervention 
services must be provided by qualified personnel.
    3. Section 303.361(b) requires statewide systems to have policies 
and procedures relating to personnel standards.

[58 FR 40959, July 30, 1993. Redesignated at 63 FR 18294, Apr. 14, 1998]



Sec. 303.23  Service coordination (case management).

    (a) General. (1) As used in this part, except in Sec. 303.12(d)(11), 
service coordination means the activities carried out by a service 
coordinator to assist and enable a child eligible under this part and 
the child's family to receive the rights, procedural safeguards, and 
services that are authorized to be provided under the State's early 
intervention program.
    (2) Each child eligible under this part and the child's family must 
be provided with one service coordinator who is responsible for--
    (i) Coordinating all services across agency lines; and
    (ii) Serving as the single point of contact in helping parents to 
obtain the services and assistance they need.
    (3) Service coordination is an active, ongoing process that 
involves--
    (i) Assisting parents of eligible children in gaining access to the 
early intervention services and other services identified in the 
individualized family service plan;
    (ii) Coordinating the provision of early intervention services and 
other services (such as medical services for other than diagnostic and 
evaluation purposes) that the child needs or is being provided;
    (iii) Facilitating the timely delivery of available services; and
    (iv) Continuously seeking the appropriate services and situations 
necessary to benefit the development of each child being served for the 
duration of the child's eligibility.
    (b) Specific service coordination activities. Service coordination 
activities include--
    (1) Coordinating the performance of evaluations and assessments;
    (2) Facilitating and participating in the development, review, and 
evaluation of individualized family service plans;
    (3) Assisting families in identifying available service providers;
    (4) Coordinating and monitoring the delivery of available services;
    (5) Informing families of the availability of advocacy services;
    (6) Coordinating with medical and health providers; and
    (7) Facilitating the development of a transition plan to preschool 
services, if appropriate.
    (c) Employment and assignment of service coordinators. (1) Service 
coordinators may be employed or assigned in any way that is permitted 
under State law, so long as it is consistent with the requirements of 
this part.
    (2) A State's policies and procedures for implementing the statewide 
system of early intervention services must be designed and implemented 
to ensure that service coordinators are able to effectively carry out on 
an interagency basis the functions and services listed under paragraphs 
(a) and (b) of this section.
    (d) Qualifications of service coordinators. Service coordinators 
must be persons who, consistent with Sec. 303.344(g), have demonstrated 
knowledge and understanding about--
    (1) Infants and toddlers who are eligible under this part;
    (2) Part C of the Act and the regulations in this part; and
    (3) The nature and scope of services available under the State's 
early intervention program, the system of payments for services in the 
State, and other pertinent information.

(Authority: 20 U.S.C. 1432(4))



[[Page 105]]


    Note 1: If States have existing service coordination systems, the 
States may use or adapt those systems, so long as they are consistent 
with the requirements of this part.


    Note 2: The legislative history of the 1991 amendments to the Act 
indicates that the use of the term ``service coordination'' was not 
intended to affect the authority to seek reimbursement for services 
provided under Medicaid or any other legislation that makes reference to 
``case management'' services. See H.R. Rep. No. 198, 102d Cong., 1st 
Sess. 12 (1991); S. Rep. No. 84, 102d Cong., 1st Sess. 20 (1991).

[58 FR 40959, July 30, 1993. Redesignated at 63 FR 18294, Apr. 14, 1998]



Sec. 303.24  State.

    Except as provided in Sec. 303.200(b)(3), State means each of the 50 
States, the Commonwealth of Puerto Rico, the District of Columbia, and 
the jurisdictions of Guam, American Samoa, the Virgin Islands, the 
Commonwealth of the Northern Mariana Islands.

(Authority: 20 U.S.C. 1401(27))

[58 FR 40959, July 30, 1993. Redesignated and amended at 63 FR 18294, 
Apr. 14, 1998]



Sec. 303.25  EDGAR definitions that apply.

    The following terms used in this part are defined in 34 CFR 77.1:
    Applicant
    Award
    Contract
    Department
    EDGAR
    Fiscal year
    Grant
    Grantee
    Grant period
    Private
    Public
    Secretary

(Authority: 20 U.S.C. 1431-1445)

[58 FR 40959, July 30, 1993. Redesignated at 63 FR 18294, Apr. 14, 1998]



                Subpart B--State Application for a Grant

                          General Requirements



Sec. 303.100  Conditions of assistance.

    (a) In order to receive funds under this part for any fiscal year, a 
State must have--
    (1) An approved application that contains the information required 
in this part, including--
    (i) The information required in Secs. 303.140 through 303.148; and
    (ii) The information required in Secs. 303.161 through 303.176; and
    (2) The statement of assurances required under Secs. 303.120 through 
303.128, on file with the Secretary.
    (b) If a State has on file with the Secretary a policy, procedure, 
or assurance that demonstrates that the State meets an application 
requirement, including any policy or procedure filed under this part 
before July 1, 1998, that meets such a requirement, the Secretary 
considers the State to have met that requirement for purposes of 
receiving a grant under this part.
    (c) An application that meets the requirements of this part remains 
in zeffect until the State submits to the Secretary modifications of 
that application.
    (d) The Secretary may require a State to modify its application 
under this part to the extent necessary to ensure the State's compliance 
with this part if--
    (1) An amendment is made to the Act, or to a regulation under this 
part;
    (2) A new interpretation is made to the Act by a Federal court or 
the State's highest court; or
    (3) An official finding of noncompliance with Federal law or 
regulations is made with respect to the State.

(Authority: 20 U.S.C. 1434 and 1437)

[63 FR 18294, Apr. 14, 1998]



Sec. 303.101  How the Secretary disapproves a State's application or statement of assurances.

    The Secretary follows the procedures in 34 CFR 300.581 through 
300.586 before disapproving a State's application or statement of 
assurances submitted under this part.

(Authority: 20 U.S.C. 1437)

                          Public Participation



Sec. 303.110  General requirements and timelines for public participation.

    (a) Before submitting to the Secretary its application under this 
part, and before adopting a new or revised

[[Page 106]]

policy that is not in its current application, a State shall--
    (1) Publish the application or policy in a manner that will ensure 
circulation throughout the State for at least a 60-day period, with an 
opportunity for comment on the application or policy for at least 30 
days during that period;
    (2) Hold public hearings on the application or policy during the 60-
day period required in paragraph (a)(1) of this section; and
    (3) Provide adequate notice of the hearings required in paragraph 
(a)(2) of this section at least 30 days before the dates that the 
hearings are conducted.
    (b) A State may request the Secretary to waive compliance with the 
timelines in paragraph (a) of this section. The Secretary grants the 
request if the State demonstrates that--
    (1) There are circumstances that would warrant such an exception; 
and
    (2) The timelines that will be followed provide an adequate 
opportunity for public participation and comment.

(Authority: 20 U.S.C. 1437(a)(3))



Sec. 303.111  Notice of public hearings and opportunity to comment.

    The notice required in Sec. 303.110(a)(3) must--
    (a) Be published in newspapers or announced in other media, or both, 
with coverage adequate to notify the general public, including 
individuals with disabilities and parents of infants and toddlers with 
disabilities, throughout the State about the hearings and opportunity to 
comment on the application or policy; and
    (b) Be in sufficient detail to inform the public about--
    (1) The purpose and scope of the State application or policy, and 
its relationship to part C of the Act;
    (2) The length of the comment period and the date, time, and 
location of each hearing; and
    (3) The procedures for providing oral comments or submitting written 
comments.

(Authority: 20 U.S.C. 1437(a)(7))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998]



Sec. 303.112  Public hearings.

    Each State shall hold public hearings in a sufficient number and at 
times and places that afford interested parties throughout the State a 
reasonable opportunity to participate.

(Authority: 20 U.S.C. 1437(a)(7))



Sec. 303.113  Reviewing public comments received.

    (a) Review of comments. Before adopting its application, and before 
the adoption of a new or revised policy not in the application, the lead 
agency shall--
    (1) Review and consider all public comments; and
    (2) Make any modifications it deems necessary in the application or 
policy.
    (b) Submission to the Secretary. In submitting the State's 
application or policy to the Secretary, the lead agency shall include 
copies of news releases, advertisements, and announcements used to 
provide notice to the general public, including individuals with 
disabilities and parents of infants and toddlers with disabilities.

(Authority: 20 U.S.C. 1437(a)(7))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998]

                         Statement of Assurances



Sec. 303.120  General.

    (a) A State's statement of assurances must contain the information 
required in Secs. 303.121 through 303.128.
    (b) Unless otherwise required by the Secretary, the statement is 
submitted only once, and remains in effect throughout the term of a 
State's participation under this part.
    (c) A State may submit a revised statement of assurances if the 
statement is consistent with the requirements in Secs. 303.121 through 
303.128.

(Authority: 20 U.S.C. 1437(b))



Sec. 303.121  Reports and records.

    The statement must provide for--
    (a) Making reports in such form and containing such information as 
the Secretary may require; and
    (b) Keeping such records and affording such access to those records 
as the Secretary may find necessary to assure

[[Page 107]]

compliance with the requirements of this part, the correctness and 
verification of reports, and the proper disbursement of funds provided 
under this part.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1437(b)(4))



Sec. 303.122  Control of funds and property.

    The statement must provide assurance satisfactory to the Secretary 
that--
    (a) The control of funds provided under this part, and title to 
property acquired with those funds, will be in a public agency for the 
uses and purposes provided in this part; and
    (b) A public agency will administer the funds and property.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1437(b)(3))



Sec. 303.123  Prohibition against commingling.

    The statement must include an assurance satisfactory to the 
Secretary that funds made available under this part will not be 
commingled with State funds.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1437(b)(5)(A))


    Note: As used in this part, commingle means depositing or recording 
funds in a general account without the ability to identify each specific 
source of funds for any expenditure. Under that general definition, it 
is clear that commingling is prohibited. However, to the extent that the 
funds from each of a series of Federal, State, local, and private 
funding sources can be identified--with a clear audit trail for each 
source--it is appropriate for those funds to be consolidated for 
carrying out a common purpose. In fact, a State may find it essential to 
set out a funding plan that incorporates, and accounts for, all sources 
of funds that can be targeted on a given activity or function related to 
the State's early intervention program.
    Thus, the assurance in this section is satisfied by the use of an 
accounting system that includes an ``audit trail'' of the expenditure of 
funds awarded under this part. Separate bank accounts are not required.



Sec. 303.124  Prohibition against supplanting.

    (a) The statement must include an assurance satisfactory to the 
Secretary that Federal funds made available under this part will be used 
to supplement the level of State and local funds expended for children 
eligible under this part and their families and in no case to supplant 
those State and local funds.
    (b) To meet the requirement in paragraph (a) of this section, the 
total amount of State and local funds budgeted for expenditures in the 
current fiscal year for early intervention services for children 
eligible under this part and their families must be at least equal to 
the total amount of State and local funds actually expended for early 
intervention services for these children and their families in the most 
recent preceding fiscal year for which the information is available. 
Allowance may be made for--
    (1) Decreases in the number of children who are eligible to receive 
early intervention services under this part; and
    (2) Unusually large amounts of funds expended for such long-term 
purposes as the acquisition of equipment and the construction of 
facilities.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1437(b)(5)(B))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998]



Sec. 303.125  Fiscal control.

    The statement must provide assurance satisfactory to the Secretary 
that such fiscal control and fund accounting procedures will be adopted 
as may be necessary to assure proper disbursement of, and accounting 
for, Federal funds paid under this part.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1437(b)(6))



Sec. 303.126  Payor of last resort.

    The statement must include an assurance satisfactory to the 
Secretary that the State will comply with the

[[Page 108]]

provisions in Sec. 303.527, including the requirements on--
    (a) Nonsubstitution of funds; and
    (b) Non-reduction of other benefits.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1437(b)(2))



Sec. 303.127  Assurance regarding expenditure of funds.

    The statement must include an assurance satisfactory to the 
Secretary that the funds paid to the State under this part will be 
expended in accordance with the provisions of this part, including the 
requirements in Sec. 303.3.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1437(b)(1))



Sec. 303.128  Traditionally underserved groups.

    The statement must include an assurance satisfactory to the 
Secretary that policies and practices have been adopted to ensure--
    (a) That traditionally underserved groups, including minority, low-
income, and rural families, are meaningfully involved in the planning 
and implementation of all the requirements of this part; and
    (b) That these families have access to culturally competent services 
within their local geographical areas.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1437(b)(7))

              General Requirements for a State Application



Sec. 303.140  General.

    A State's application under this part must contain information and 
assurances demonstrating to the satisfaction of the Secretary that--
    (a) The statewide system of early intervention services required in 
this part is in effect; and
    (b) A State policy is in effect that ensures that appropriate early 
intervention services are available to all infants and toddlers with 
disabilities and their families, including Indian infants and toddlers 
with disabilities and their families residing on a reservation 
geographically located in the State.

(Authority: 20 U.S.C. 1434 and 1435(a)(2))

[63 FR 18294, Apr. 14, 1998]



Sec. 303.141  Information about the Council.

    Each application must include information demonstrating that the 
State has established a State Interagency Coordinating Council that 
meets the requirements of subpart G of this part.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1437(a)(3))



Sec. 303.142  Designation of lead agency.

    Each application must include a designation of the lead agency in 
the State that will be responsible for the administration of funds 
provided under this part.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1437(a)(1))



Sec. 303.143  Designation regarding financial responsibility.

    Each application must include a designation by the State of an 
individual or entity responsible for assigning financial responsibility 
among appropriate agencies.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1437(a)(2))



Sec. 303.144  Assurance regarding use of funds.

    Each application must include an assurance that funds received under 
this part will be used to assist the State to maintain and implement the 
statewide system required under subparts D through F of this part.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1475, 1437(a)(3))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998]

[[Page 109]]



Sec. 303.145  Description of use of funds.

    (a) General. Each application must include a description of how a 
State proposes to use its funds under this part for the fiscal year or 
years covered by the application. The description must be presented 
separately for the lead agency and the Council, and include the 
information required in paragraphs (b) through (e) of this section.
    (b) Administrative positions. Each application must include--
    (1) A list of administrative positions, with salaries, and a 
description of the duties for each person whose salary is paid in whole 
or in part with funds awarded under this part; and
    (2) For each position, the percentage of salary paid with those 
funds.
    (c) Planning, development, and implementation activities. Each 
application must include--
    (1) A description of the nature and scope of each major activity to 
be carried out under this part in planning, developing, and implementing 
the statewide system of early intervention services; and
    (2) The approximate amount of funds to be spent for each activity.
    (d) Direct services. (1) Each application must include a description 
of any direct services that the State expects to provide to eligible 
children and their families with funds under this part, including a 
description of any services provided to at-risk infants and toddlers as 
defined in Sec. 303.16(b), and their families, consistent with 
Secs. 303.521 and 303.527.
    (2) The description must include information about each type of 
service to be provided, including--
    (i) A summary of the methods to be used to provide the service 
(e.g., contracts or other arrangements with specified public or private 
organizations); and
    (ii) The approximate amount of funds under this part to be used for 
the service.
    (e) At-risk infants and toddlers. For any State that does not 
provide direct services for at-risk infants and toddlers described in 
paragraph (d)(1) of this section, but chooses to use funds as described 
in Sec. 303.3(e), each application must include a description of how 
those funds will be used.
    (f) Activities by other agencies. If other agencies are to receive 
funds under this part, the application must include--
    (1) The name of each agency expected to receive funds;
    (2) The approximate amount of funds each agency will receive; and
    (3) A summary of the purposes for which the funds will be used.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1437(a)(3) and (a)(5))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998]



Sec. 303.146  Information about public participation.

    Each application must include the information on public 
participation that is required in Sec. 303.113(b).

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1437(a)(7))



Sec. 303.147  Services to all geographic areas.

    Each application must include a description of the procedure used to 
ensure that resources are made available under this part for all 
geographic areas within the State.

(Authority: 20 U.S.C. 1437(a)(6))

[63 FR 18294, Apr. 14, 1998]



Sec. 303.148  Transition to preschool programs.

    Each application must include a description of the policies and 
procedures to be used to ensure a smooth transition for children 
receiving early intervention services under this part to preschool or 
other appropriate services, including--
    (a) A description of how the families will be included in the 
transition plans;
    (b) A description of how the lead agency under this part will--
    (1) Notify the local educational agency for the area in which the 
child resides that the child will shortly reach the age of eligibility 
for preschool services under Part B of the Act, as determined in 
accordance with State law;
    (2)(i) In the case of a child who may be eligible for preschool 
services under Part B of the Act, with the approval of

[[Page 110]]

the family of the child, convene a conference among the lead agency, the 
family, and the local educational agency at least 90 days, and at the 
discretion of the parties, up to 6 months, before the child is eligible 
for the preschool services, to discuss any services that the child may 
receive; or
    (ii) In the case of a child who may not be eligible for preschool 
services under Part B of the Act, with the approval of the family, make 
reasonable efforts to convene a conference among the lead agency, the 
family, and providers of other appropriate services for children who are 
not eligible for preschool services under Part B, to discuss the 
appropriate services that the child may receive;
    (3) Review the child's program options for the period from the 
child's third birthday through the remainder of the school year; and
    (4) Establish a transition plan; and
    (c) If the State educational agency, which is responsible for 
administering preschool programs under part B of the Act, is not the 
lead agency under this part, an interagency agreement between the two 
agencies to ensure coordination on transition matters.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1437(a)(8))


    Note:  Among the matters that should be considered in developing 
policies and procedures to ensure a smooth transition of children from 
one program to the other are the following:
     The financial responsibilities of all appropriate agencies.
     The responsibility for performing evaluations of children.
     The development and implementation of an individualized 
education program (``IEP'') or an individualized family service plan 
(``IFSP'') for each child, consistent with the requirements of law (see 
Sec. 303.344(h) and sections 612(a)(9) of the Act).
     The coordination of communication between agencies and the 
child's family.
     The mechanisms to ensure the uninterrupted provision of 
appropriate services to the child.

[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998]

       Components of a Statewide System--Application Requirements



Sec. 303.160  Minimum components of a statewide system.

    Each application must address the minimum components of a statewide 
system of coordinated, comprehensive, multidisciplinary, interagency 
programs providing appropriate early intervention services to all 
infants and toddlers with disabilities and their families, including 
Indian infants and toddlers with disabilities and their families 
residing on a reservation geographically located in the State. The 
minimum components of a statewide system are described in Secs. 303.161 
through 303.176.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a), 1437(a)(9))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]



Sec. 303.161  State definition of developmental delay.

    Each application must include the State's definition of 
``developmental delay,'' as described in Sec. 303.300.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(1))



Sec. 303.162  Central directory.

    Each application must include information and assurances 
demonstrating to the satisfaction of the Secretary that the State has 
developed a central directory of information that meets the requirements 
in Sec. 303.301.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(7))



Sec. 303.163  [Reserved]



Sec. 303.164  Public awareness program.

    Each application must include information and assurances 
demonstrating to the satisfaction of the Secretary that the State has 
established a public

[[Page 111]]

awareness program that meets the requirements in Sec. 303.320.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(6))



Sec. 303.165  Comprehensive child find system.

    Each application must include--
    (a) The policies and procedures required in Sec. 303.321(b);
    (b) Information demonstrating that the requirements on coordination 
in Sec. 303.321(c) are met;
    (c) The referral procedures required in Sec. 303.321(d), and 
either--
    (1) A description of how the referral sources are informed about the 
procedures; or
    (2) A copy of any memorandum or other document used by the lead 
agency to transmit the procedures to the referral sources; and
    (d) The timelines in Sec. 303.321(e).

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(5))



Sec. 303.166  Evaluation, assessment, and nondiscriminatory procedures.

    Each application must include information to demonstrate that the 
requirements in Secs. 303.322 and 303.323 are met.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(3); 1436(a)(1), (d)(2), and (d)(3))



Sec. 303.167  Individualized family service plans.

    Each application must include--
    (a) An assurance that a current IFSP is in effect and implemented 
for each eligible child and the child's family;
    (b) Information demonstrating that--
    (1) The State's procedures for developing, reviewing, and evaluating 
IFSPs are consistent with the requirements in Secs. 303.340, 303.342, 
303.343 and 303.345; and
    (2) The content of IFSPs used in the State is consistent with the 
requirements in Sec. 303.344; and
    (c) Policies and procedures to ensure that--
    (1) To the maximum extent appropriate, early intervention services 
are provided in natural environments; and
    (2) The provision of early intervention services for any infant or 
toddler occurs in a setting other than a natural environment only if 
early intervention cannot be achieved satisfactorily for the infant or 
toddler in a natural environment.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(4), 1436(d))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]



Sec. 303.168  Comprehensive system of personnel development (CSPD).

    Each application must include information to show that the 
requirements in Sec. 303.360(b) are met.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(8))



Sec. 303.169  Personnel standards.

    (a) Each application must include policies and procedures that are 
consistent with the requirements in Sec. 303.361.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(9))



Sec. 303.170  Procedural safeguards.

    Each application must include procedural safeguards that--
    (a) Are consistent with Secs. 303.400 through 303.406, 303.419 
through 303.425 and 303.460; and
    (b) Incorporate either--
    (1) The due process procedures in 34 CFR 300.506 through 300.512; or
    (2) The procedures that the State has developed to meet the 
requirements in Secs. 303.419, 303.420(b) and 303.421 through 303.425.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(13))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]

[[Page 112]]



Sec. 303.171  Supervision and monitoring of programs.

    Each application must include information to show that the 
requirements in Sec. 303.501 are met.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20. U.S.C. 1435(a)(10)(A))



Sec. 303.172  Lead agency procedures for resolving complaints.

    Each application must include procedures that are consistent with 
the requirements in Secs. 303.510 through 303.512.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(10))



Sec. 303.173  Policies and procedures related to financial matters.

    Each application must include--
    (a) Funding policies that meet the requirements in Secs. 303.520 and 
303.521;
    (b) Information about funding sources, as required in Sec. 303.522;
    (c) Procedures to ensure the timely delivery of services, in 
accordance with Sec. 303.525; and
    (d) A procedure related to the timely reimbursement of funds under 
this part, in accordance with Secs. 303.527(b) and 303.528.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(10) (D) and (E), 1435(a)(12), 1440)



Sec. 303.174  Interagency agreements; resolution of individual disputes.

    Each application must include--
    (a) A copy of each interagency agreement that has been developed 
under Sec. 303.523; and
    (b) Information to show that the requirements in Sec. 303.524 are 
met.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(10) (E) and (F)



Sec. 303.175  Policy for contracting or otherwise arranging for services.

    Each application must include a policy that meets the requirements 
in Sec. 303.526.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(11))



Sec. 303.176  Data collection.

    Each application must include procedures that meet the requirements 
in Sec. 303.540.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(14))

             Participation by the Secretary of the Interior



Sec. 303.180  Payments to the Secretary of the Interior for Indian tribes and tribal organizations.

    (a) The Secretary makes payments to the Secretary of the Interior 
for the coordination of assistance in the provision of early 
intervention services by the States to infants and toddlers with 
disabilities and their families on reservations served by elementary and 
secondary schools for Indian children operated or funded by the 
Department of the Interior.
    (b)(1) The Secretary of the Interior shall distribute payments under 
this part to tribes or tribal organizations (as defined under section 4 
of the Indian Self-Determination and Education Assistance Act), or 
combinations of those entities, in accordance with section 684(b) of the 
Act.
    (2) A tribe or tribal organization is eligible to receive a payment 
under this section if the tribe is on a reservation that is served by an 
elementary or secondary school operated or funded by the Bureau of 
Indian Affairs (``BIA'').
    (c)(1) Within 90 days after the end of each fiscal year the 
Secretary of the Interior shall provide the Secretary with a report on 
the payments distributed under this section.
    (2) The report must include--
    (i) The name of each tribe, tribal organization, or combination of 
those entities that received a payment for the fiscal year;

[[Page 113]]

    (ii) The amount of each payment; and
    (iii) The date of each payment.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1443(b))



            Subpart C--Procedures for Making Grants to States



Sec. 303.200  Formula for State allocations.

    (a) For each fiscal year, from the aggregate amount of funds 
available under this part for distribution to the States, the Secretary 
allots to each State an amount that bears the same ratio to the 
aggregate amount as the number of infants and toddlers in the State 
bears to the number of infants and toddlers in all States.
    (b) For the purpose of allotting funds to the States under paragraph 
(a) of this section--
    (1) Aggregate amount means the amount available for distribution to 
the States after the Secretary determines the amount of payments to be 
made to the Secretary of the Interior under Sec. 303.203 and to the 
jurisdictions under Sec. 303.204;
    (2) Infants and toddlers means children from birth through age two 
in the general population, based on the most recent satisfactory data as 
determined by the Secretary; and
    (3) State means each of the 50 States, the District of Columbia, and 
the Commonwealth of Puerto Rico.

(Authority: 20 U.S.C. 1443(c))



Sec. 303.201  Distribution of allotments from non-participating States.

    If a State elects not to receive its allotment, the Secretary 
reallots those funds among the remaining States, in accordance with 
Sec. 303.200(a).

(Authority: 20 U.S.C. 1443(d))



Sec. 303.202  Minimum grant that a State may receive.

    No State receives less than 0.5 percent of the aggregate amount 
available under Sec. 303.200 or $500,000, whichever is greater.

(Authority: 20 U.S.C. 1443(c)(2))



Sec. 303.203  Payments to the Secretary of the Interior.

    The amount of the payment to the Secretary of the Interior under 
Sec. 303.180 for any fiscal year is 1.25 percent of the aggregate amount 
available to States after the Secretary determines the amount of 
payments to be made to the jurisdictions under Sec. 303.204.

(Authority: 20 U.S.C. 1443(b))



Sec. 303.204  Payments to the jurisdictions.

    (a) From the sums appropriated to carry out this part for any fiscal 
year, the Secretary may reserve up to 1 percent for payments to the 
jurisdictions listed in Sec. 303.2 in accordance with their respective 
needs.
    (b) The provisions of Pub. L. 95-134, permitting the consolidation 
of grants to the outlying areas, do not apply to funds provided under 
paragraph (a) of this section.

(Authority: 20 U.S.C. 1443(a))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]



Subpart D--Program and Service Components of a Statewide System of Early 
                          Intervention Services

                                 General



Sec. 303.300  State eligibility criteria and procedures.

    Each statewide system of early intervention services must include 
the eligibility criteria and procedures, consistent with Sec. 303.16, 
that will be used by the State in carrying out programs under this part.
    (a) The State shall define developmental delay by--
    (1) Describing, for each of the areas listed in Sec. 303.16(a)(1), 
the procedures, including the use of informed clinical opinion, that 
will be used to measure a child's development; and
    (2) Stating the levels of functioning or other criteria that 
constitute a developmental delay in each of those areas.
    (b) The State shall describe the criteria and procedures, including 
the use of informed clinical opinion, that will

[[Page 114]]

be used to determine the existence of a condition that has a high 
probability of resulting in developmental delay under Sec. 303.16(a)(2).
    (c) If the State elects to include in its system children who are at 
risk under Sec. 303.16(b), the State shall describe the criteria and 
procedures, including the use of informed clinical opinion, that will be 
used to identify those children.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1432(5), 1435(a)(1))


    Note: Under this section and Sec. 303.322(c)(2), States are required 
to ensure that informed clinical opinion is used in determining a 
child's eligibility under this part. Informed clinical opinion is 
especially important if there are no standardized measures, or if the 
standardized procedures are not appropriate for a given age or 
developmental area. If a given standardized procedure is considered to 
be appropriate, a State's criteria could include percentiles or 
percentages of levels of functioning on standardized measures.



Sec. 303.301  Central directory.

    (a) Each system must include a central directory of information 
about--
    (1) Public and private early intervention services, resources, and 
experts available in the State;
    (2) Research and demonstration projects being conducted in the 
State; and
    (3) Professional and other groups that provide assistance to 
children eligible under this part and their families.
    (b) The information required in paragraph (a) of this section must 
be in sufficient detail to--
    (1) Ensure that the general public will be able to determine the 
nature and scope of the services and assistance available from each of 
the sources listed in the directory; and
    (2) Enable the parent of a child eligible under this part to 
contact, by telephone or letter, any of the sources listed in the 
directory.
    (c) The central directory must be--
    (1) Updated at least annually; and
    (2) Accessible to the general public.
    (d) To meet the requirements in paragraph (c)(2) of this section, 
the lead agency shall arrange for copies of the directory to be 
available--
    (1) In each geographic region of the State, including rural areas; 
and
    (2) In places and a manner that ensure accessibility by persons with 
disabilities.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(7))


    Note: Examples of appropriate groups that provide assistance to 
eligible children and their families include parent support groups and 
advocate associations.

                      Identification and Evaluation



Sec. 303.320  Public awareness program.

    Each system must include a public awareness program that focuses on 
the early identification of children who are eligible to receive early 
intervention services under this part and includes the preparation and 
dissemination by the lead agency to all primary referral sources, 
especially hospitals and physicians, of materials for parents on the 
availability of early intervention services. The public awareness 
program must provide for informing the public about--
    (a) The State's early intervention program;
    (b) The child find system, including--
    (1) The purpose and scope of the system;
    (2) How to make referrals; and
    (3) How to gain access to a comprehensive, multidisciplinary 
evaluation and other early intervention services; and
    (c) The central directory.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(6))


    Note 1: An effective public awareness program is one that does the 
following:
    1. Provides a continuous, ongoing effort that is in effect 
throughout the State, including rural areas;
    2. Provides for the involvement of, and communication with, major 
organizations throughout the State that have a direct interest in this 
part, including public agencies at the State and local level, private 
providers, professional associations, parent groups, advocate 
associations, and other organizations;
    3. Has coverage broad enough to reach the general public, including 
those who have disabilities; and

[[Page 115]]

    4. Includes a variety of methods for informing the public about the 
provisions of this part.


    Note 2: Examples of methods for informing the general public about 
the provisions of this part include: (1) Use of television, radio, and 
newspaper releases, (2) pamphlets and posters displayed in doctors' 
offices, hospitals, and other appropriate locations, and (3) the use of 
a toll-free telephone service.

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]



Sec. 303.321  Comprehensive child find system.

    (a) General. (1) Each system must include a comprehensive child find 
system that is consistent with part B of the Act (see 34 CFR 300.128), 
and meets the requirements of paragraphs (b) through (e) of this 
section.
    (2) The lead agency, with the advice and assistance of the Council, 
shall be responsible for implementing the child find system.
    (b) Procedures. The child find system must include the policies and 
procedures that the State will follow to ensure that--
    (1) All infants and toddlers in the State who are eligible for 
services under this part are identified, located, and evaluated; and
    (2) An effective method is developed and implemented to determine 
which children are receiving needed early intervention services.
    (c) Coordination. (1) The lead agency, with the assistance of the 
Council, shall ensure that the child find system under this part is 
coordinated with all other major efforts to locate and identify children 
conducted by other State agencies responsible for administering the 
various education, health, and social service programs relevant to this 
part, tribes and tribal organizations that receive payments under this 
part, and other tribes and tribal organizations as appropriate, 
including efforts in the--
    (i) Program authorized under part B of the Act;
    (ii) Maternal and Child Health program under title V of the Social 
Security Act;
    (iii) Early Periodic Screening, Diagnosis and Treatment (EPSDT) 
program under title XIX of the Social Security Act;
    (iv) Developmental Disabilities Assistance and Bill of Rights Act;
    (v) Head Start Act; and
    (vi) Supplemental Security Income program under title XVI of the 
Social Security Act.
    (2) The lead agency, with the advice and assistance of the Council, 
shall take steps to ensure that--
    (i) There will not be unnecessary duplication of effort by the 
various agencies involved in the State's child find system under this 
part; and
    (ii) The State will make use of the resources available through each 
public agency in the State to implement the child find system in an 
effective manner.
    (d) Referral procedures. (1) The child find system must include 
procedures for use by primary referral sources for referring a child to 
the appropriate public agency within the system for--
    (i) Evaluation and assessment, in accordance with Secs. 303.322 and 
303.323; or
    (ii) As appropriate, the provision of services, in accordance with 
Sec. 303.342(a) or Sec. 303.345.
    (2) The procedures required in paragraph (b)(1) of this section 
must--
    (i) Provide for an effective method of making referrals by primary 
referral sources;
    (ii) Ensure that referrals are made no more than two working days 
after a child has been identified; and
    (iii) Include procedures for determining the extent to which primary 
referral sources, especially hospitals and physicians, disseminate the 
information, as described in Sec. 303.320, prepared by the lead agency 
on the availability of early intervention services to parents of infants 
and toddlers with disabilities.
    (3) As used in paragraph (d)(1) of this section, primary referral 
sources includes--
    (i) Hospitals, including prenatal and postnatal care facilities;
    (ii) Physicians;
    (iii) Parents;
    (iv) Day care programs;
    (v) Local educational agencies;
    (vi) Public health facilities;
    (vii) Other social service agencies; and

[[Page 116]]

    (viii) Other health care providers.
    (e) Timelines for public agencies to act on referrals. (1) Once the 
public agency receives a referral, it shall appoint a service 
coordinator as soon as possible.
    (2) Within 45 days after it receives a referral, the public agency 
shall--
    (i) Complete the evaluation and assessment activities in 
Sec. 303.322; and
    (ii) Hold an IFSP meeting, in accordance with Sec. 303.342.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1432(4)(E)(vii), 1435(a)(5))


    Note: In developing the child find system under this part, States 
should consider (1) tracking systems based on high-risk conditions at 
birth, and (2) other activities that are being conducted by various 
agencies or organizations in the State.

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]



Sec. 303.322  Evaluation and assessment.

    (a) General. (1) Each system must include the performance of a 
timely, comprehensive, multidisciplinary evaluation of each child, birth 
through age two, referred for evaluation, and a family-directed 
identification of the needs of each child's family to appropriately 
assist in the development of the child.
    (2) The lead agency shall be responsible for ensuring that the 
requirements of this section are implemented by all affected public 
agencies and service providers in the State.
    (b) Definitions of evaluation and assessment. As used in this part--
    (1) Evaluation means the procedures used by appropriate qualified 
personnel to determine a child's initial and continuing eligibility 
under this part, consistent with the definition of ``infants and 
toddlers with disabilities'' in Sec. 303.16, including determining the 
status of the child in each of the developmental areas in paragraph 
(c)(3)(ii) of this section.
    (2) Assessment means the ongoing procedures used by appropriate 
qualified personnel throughout the period of a child's eligibility under 
this part to identify--
    (i) The child's unique strengths and needs and the services 
appropriate to meet those needs; and
    (ii) The resources, priorities, and concerns of the family and the 
supports and services necessary to enhance the family's capacity to meet 
the developmental needs of their infant or toddler with a disability.
    (c) Evaluation and assessment of the child. The evaluation and 
assessment of each child must--
    (1) Be conducted by personnel trained to utilize appropriate methods 
and procedures;
    (2) Be based on informed clinical opinion; and
    (3) Include the following:
    (i) A review of pertinent records related to the child's current 
health status and medical history.
    (ii) An evaluation of the child's level of functioning in each of 
the following developmental areas:
    (A) Cognitive development.
    (B) Physical development, including vision and hearing.
    (C) Communication development.
    (D) Social or emotional development.
    (E) Adaptive development.
    (iii) An assessment of the unique needs of the child in terms of 
each of the developmental areas in paragraph (c)(3)(ii) of this section, 
including the identification of services appropriate to meet those 
needs.
    (d) Family assessment. (1) Family assessments under this part must 
be family-directed and designed to determine the resources, priorities, 
and concerns of the family and the identification of the supports and 
services necessary to enhance the family's capacity to meet the 
developmental needs of the child.
    (2) Any assessment that is conducted must be voluntary on the part 
of the family.
    (3) If an assessment of the family is carried out, the assessment 
must--
    (i) Be conducted by personnel trained to utilize appropriate methods 
and procedures;
    (ii) Be based on information provided by the family through a 
personal interview; and
    (iii) Incorporate the family's description of its resources, 
priorities, and concerns related to enhancing the child's development.
    (e) Timelines. (1) Except as provided in paragraph (e)(2) of this 
section, the evaluation and initial assessment of

[[Page 117]]

each child (including the family assessment) must be completed within 
the 45-day time period required in Sec. 303.321(e).
    (2) The lead agency shall develop procedures to ensure that in the 
event of exceptional circumstances that make it impossible to complete 
the evaluation and assessment within 45 days (e.g., if a child is ill), 
public agencies will--
    (i) Document those circumstances; and
    (ii) Develop and implement an interim IFSP, to the extent 
appropriate and consistent with Sec. 303.345 (b)(1) and (b)(2).

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(3); 1436 (a)(1), (a)(2), (d)(1), and 
(d)(2))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]



Sec. 303.323  Nondiscriminatory procedures.

    Each lead agency shall adopt nondiscriminatory evaluation and 
assessment procedures. The procedures must provide that public agencies 
responsible for the evaluation and assessment of children and families 
under this part shall ensure, at a minimum, that--
    (a) Tests and other evaluation materials and procedures are 
administered in the native language of the parents or other mode of 
communication, unless it is clearly not feasible to do so;
    (b) Any assessment and evaluation procedures and materials that are 
used are selected and administered so as not to be racially or 
culturally discriminatory;
    (c) No single procedure is used as the sole criterion for 
determining a child's eligibility under this part; and
    (d) Evaluations and assessments are conducted by qualified 
personnel.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(3); 1436 (a)(1), (d)(2), and (d)(3))

               Individualized Family Service Plans (IFSPs)



Sec. 303.340  General.

    (a) Each system must include policies and procedures regarding 
individualized family service plans (IFSPs) that meet the requirements 
of this section and Secs. 303.341 through 303.346.
    (b) As used in this part, individualized family service plan and 
IFSP mean a written plan for providing early intervention services to a 
child eligible under this part and the child's family. The plan must--
    (1) Be developed in accordance with Secs. 303.342 and 303.343;
    (2) Be based on the evaluation and assessment described in 
Sec. 303.322; and
    (3) Include the matters specified in Sec. 303.344.
    (c) Lead agency responsibility. The lead agency shall ensure that an 
IFSP is developed and implemented for each eligible child, in accordance 
with the requirements of this part. If there is a dispute between 
agencies as to who has responsibility for developing or implementing an 
IFSP, the lead agency shall resolve the dispute or assign 
responsibility.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1436)


    Note: In instances where an eligible child must have both an IFSP 
and an individualized service plan under another Federal program, it may 
be possible to develop a single consolidated document, provided that it 
(1) contains all of the required information in Sec. 303.344, and (2) is 
developed in accordance with the requirements of this part.



Sec. 303.341  [Reserved]



Sec. 303.342  Procedures for IFSP development, review, and evaluation.

    (a) Meeting to develop initial IFSP--timelines. For a child who has 
been evaluated for the first time and determined to be eligible, a 
meeting to develop the initial IFSP must be conducted within the 45-day 
time period in Sec. 303.321(e).
    (b) Periodic review. (1) A review of the IFSP for a child and the 
child's family must be conducted every six months,

[[Page 118]]

or more frequently if conditions warrant, or if the family requests such 
a review. The purpose of the periodic review is to determine--
    (i) The degree to which progress toward achieving the outcomes is 
being made; and
    (ii) Whether modification or revision of the outcomes or services is 
necessary.
    (2) The review may be carried out by a meeting or by another means 
that is acceptable to the parents and other participants.
    (c) Annual meeting to evaluate the IFSP. A meeting must be conducted 
on at least an annual basis to evaluate the IFSP for a child and the 
child's family, and, as appropriate, to revise its provisions. The 
results of any current evaluations conducted under Sec. 303.322(c), and 
other information available from the ongoing assessment of the child and 
family, must be used in determining what services are needed and will be 
provided.
    (d) Accessibility and convenience of meetings. (1) IFSP meetings 
must be conducted--
    (i) In settings and at times that are convenient to families; and
    (ii) In the native language of the family or other mode of 
communication used by the family, unless it is clearly not feasible to 
do so.
    (2) Meeting arrangements must be made with, and written notice 
provided to, the family and other participants early enough before the 
meeting date to ensure that they will be able to attend.
    (e) Parental consent. The contents of the IFSP must be fully 
explained to the parents and informed written consent from the parents 
must be obtained prior to the provision of early intervention services 
described in the plan. If the parents do not provide consent with 
respect to a particular early intervention service or withdraw consent 
after first providing it, that service may not be provided. The early 
intervention services to which parental consent is obtained must be 
provided.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1436)


    Note: The requirement for the annual evaluation incorporates the 
periodic review process. Therefore, it is necessary to have only one 
separate periodic review each year (i.e., six months after the initial 
and subsequent annual IFSP meetings), unless conditions warrant 
otherwise.

    Because the needs of infants and toddlers change so rapidly during 
the course of a year, certain evaluation procedures may need to be 
repeated before conducting the periodic reviews and annual evaluation 
meetings in paragraphs (b) and (c) of this section.



Sec. 303.343  Participants in IFSP meetings and periodic reviews.

    (a) Initial and annual IFSP meetings. (1) Each initial meeting and 
each annual meeting to evaluate the IFSP must include the following 
participants:
    (i) The parent or parents of the child.
    (ii) Other family members, as requested by the parent, if feasible 
to do so;
    (iii) An advocate or person outside of the family, if the parent 
requests that the person participate.
    (iv) The service coordinator who has been working with the family 
since the initial referral of the child for evaluation, or who has been 
designated by the public agency to be responsible for implementation of 
the IFSP.
    (v) A person or persons directly involved in conducting the 
evaluations and assessments in Sec. 303.322.
    (vi) As appropriate, persons who will be providing services to the 
child or family.
    (2) If a person listed in paragraph (a)(1)(v) of this section is 
unable to attend a meeting, arrangements must be made for the person's 
involvement through other means, including--
    (i) Participating in a telephone conference call;
    (ii) Having a knowledgeable authorized representative attend the 
meeting; or
    (iii) Making pertinent records available at the meeting.
    (b) Periodic review. Each periodic review must provide for the 
participation of persons in paragraphs (a)(1)(i) through (a)(1)(iv) of 
this section. If conditions warrant, provisions must be

[[Page 119]]

made for the participation of other representatives identified in 
paragraph (a) of this section.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1436(b))



Sec. 303.344  Content of an IFSP.

    (a) Information about the child's status. (1) The IFSP must include 
a statement of the child's present levels of physical development 
(including vision, hearing, and health status), cognitive development, 
communication development, social or emotional development, and adaptive 
development.
    (2) The statement in paragraph (a)(1) of this section must be based 
on professionally acceptable objective criteria.
    (b) Family information. With the concurrence of the family, the IFS 
must include a statement of the family's resources, priorities, and 
concerns related to enhancing the development of the child.
    (c) Outcomes. The IFSP must include a statement of the major 
outcomes expected to be achieved for the child and family, and the 
criteria, procedures, and timeliness used to determine--
    (1) The degree to which progress toward achieving the outcomes is 
being made; and
    (2) Whether modifications or revisions of the outcomes or services 
are necessary.
    (d) Early intervention services. (1) The IFSP must include a 
statement of the specific early intervention services necessary to meet 
the unique needs of the child and the family to achieve the outcomes 
identified in paragraph (c) of this section, including--
    (i) The frequency, intensity, and method of delivering the services;
    (ii) The natural environments, as described in Sec. 303.12(b), 
Sec. 303.18 in which early intervention services will be provided, and a 
justification of the extent, if any, to which the services will not be 
providied in a natural environment;
    (iii) The location of the services; and
    (iv) The payment arrangements, if any.
    (2) As used in paragraph (d)(1)(i) of this section--
    (i) Frequency and intensity mean the number of days or sessions that 
a service will be provided, the length of time the service is provided 
during each session, and whether the service is provided on an 
individual or group basis; and
    (ii) Method means how a service is provided.
    (3) As used in paragraph (d)(1)(iii) of this section, location means 
the actual place or places where a service will be provided.
    (e) Other services. (1) To the extent appropriate, the IFSP must 
include--
    (i) Medical and other services that the child needs, but that are 
not required under this part; and
    (ii) The funding sources to be used in paying for those services or 
the steps that will be taken to secure those services through public or 
private sources.
    (2) The requirement in paragraph (e)(1) of this section does not 
apply to routine medical services (e.g., immunizations and ``well-baby'' 
care), unless a child needs those services and the services are not 
otherwise available or being provided.
    (f) Dates; duration of services. The IFSP must include--
    (1) The projected dates for initiation of the services in paragraph 
(d)(1) of this section as soon as possible after the IFSP meetings 
described in Sec. 303.342; and
    (2) The anticipated duration of those services.
    (g) Service coordinator. (1) The IFSP must include the name of the 
service coordinator from the profession most immediately relevant to the 
child's or family's needs (or who is otherwise qualified to carry out 
all applicable responsibilities under this part), who will be 
responsible for the implementation of the IFSP and coordination with 
other agencies and persons.
    (2) In meeting the requirements in paragraph (g)(1) of this section, 
the public agency may--
    (i) Assign the same service coordinator who was appointed at the 
time that the child was initially referred for evaluation to be 
responsible for implementing a child's and family's IFSP; or
    (ii) Appoint a new service coordinator.
    (3) As used in paragraph (g)(1) of this section, the term profession 
includes ``service coordination.''

[[Page 120]]

    (h) Transition from part C services. (1) The IFSP must include the 
steps to be taken to support the transition of the child to--
    (i) Preschool services under part B of the Act, in accordance with 
Sec. 303.148, to the extent that those services are considered 
appropriate; or
    (ii) Other services that may be available, if appropriate.
    (2) The steps required in paragraph (h)(1) of this section include--
    (i) Discussions with, and training of, parents regarding future 
placements and other matters related to the child's transition;
    (ii) Procedures to prepare the child for changes in service 
delivery, including steps to help the child adjust to, and function in, 
a new setting; and
    (iii) With parental consent, the transmission of information about 
the child to the local educational agency, to ensure continuity of 
services, including evaluation and assessment information required in 
Sec. 303.322, and copies of IFSPs that have been developed and 
implemented in accordance with Secs. 303.340 through 303.346.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1436(d))


    Note 1: With respect to the requirements in paragraph (d) of this 
section, the appropriate location of services for some infants and 
toddlers might be a hospital setting--during the period in which they 
require extensive medical intervention. However, for these and other 
eligible children, early intervention services must be provided in 
natural environments (e.g., the home, child care centers, or other 
community settings) to the maximum extent appropriate to the needs of 
the child.


    Note 2: Throughout the process of developing and implementing IFSPs 
for an eligible child and the child's family, it is important for 
agencies to recognize the variety of roles that family members play in 
enhancing the child's development. It also is important that the degree 
to which the needs of the family are addressed in the IFSP process is 
determined in a collaborative manner with the full agreement and 
participation of the parents of the child. Parents retain the ultimate 
decision in determining whether they, their child, or other family 
members will accept or decline services under this part.


    Note 3: The early intervention services in paragraph (d) of this 
section are those services that a State is required to provide to a 
child in accordance with Sec. 303.12.

    The ``other services'' in paragraph (e) of this section are services 
that a child or family needs, but that are neither required nor covered 
under this part. While listing the non-required services in the IFSP 
does not mean that those services must be provided, their identification 
can be helpful to both the child's family and the service coordinator, 
for the following reasons: First, the IFSP would provide a comprehensive 
picture of the child's total service needs (including the need for 
medical and health services, as well as early intervention services). 
Second, it is appropriate for the service coordinator to assist the 
family in securing the non-required services (e.g., by (1) determining 
if there is a public agency that could provide financial assistance, if 
needed, (2) assisting in the preparation of eligibility claims or 
insurance claims, if needed, and (3) assisting the family in seeking out 
and arranging for the child to receive the needed medical-health 
services).
    Thus, to the extent appropriate, it is important for a State's 
procedures under this part to provide for ensuring that other needs of 
the child, and of the family related to enhancing the development of the 
child, such as medical and health needs, are considered and addressed, 
including determining (1) who will provide each service, and when, 
where, and how it will be provided, and (2) how the service will be paid 
for (e.g., through private insurance, an existing Federal-State funding 
source, such as Medicaid or EPSDT, or some other funding arrangement).


    Note 4: Although the IFSP must include information about each of the 
items in paragraphs (b) through (h) of this section, this does not mean 
that the IFSP must be a detailed, lengthy document. It might be a brief 
outline, with appropriate attachments that address each of the points in 
the paragraphs under this section. It is important for the IFSP itself 
to be clear about (a) what services are to be provided, (b) the actions 
that are to be taken by the service coordinator in initiating those 
services, and (c) what actions will be taken by the parents.

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]



Sec. 303.345  Provision of services before evaluation and assessment are completed.

    Early intervention services for an eligible child and the child's 
family may commence before the completion of the

[[Page 121]]

evaluation and assessment in Sec. 303.322, if the following conditions 
are met:
    (a) Parental consent is obtained.
    (b) An interim IFSP is developed that includes--
    (1) The name of the service coordinator who will be responsible, 
consistent with Sec. 303.344(g), for implementation of the interim IFSP 
and coordination with other agencies and persons; and
    (2) The early intervention services that have been determined to be 
needed immediately by the child and the child's family.
    (c) The evaluation and assessment are completed within the time 
period required in Sec. 303.322(e).

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1436(c))


    Note: This section is intended to accomplish two specific purposes: 
(1) To facilitate the provision of services in the event that a child 
has obvious immediate needs that are identified, even at the time of 
referral (e.g., a physician recommends that a child with cerebral palsy 
begin receiving physical therapy as soon as possible), and (2) to ensure 
that the requirements for the timely evaluation and assessment are not 
circumvented.



Sec. 303.346  Responsibility and accountability.

    Each agency or person who has a direct role in the provision of 
early intervention services is responsible for making a good faith 
effort to assist each eligible child in achieving the outcomes in the 
child's IFSP. However, part C of the Act does not require that any 
agency or person be held accountable if an eligible child does not 
achieve the growth projected in the child's IFSP.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1436)

                    Personnel Training and Standards



Sec. 303.360  Comprehensive system of personnel development.

    (a) Each system must include a comprehensive system of personnel 
development.
    (b) The personnel development system under this part must--
    (1) Be consistent with the comprehensive system of personnel 
development required under part B of the Act (34 CFR 300.380 through 
300.387);
    (2) Provide for preservice and inservice training to be conducted on 
an interdisciplinary basis, to the extent appropriate;
    (3) Provide for the training of a variety of personnel needed to 
meet the requirements of this part, including public and private 
providers, primary referral sources, paraprofessionals, and persons who 
will serve as service coordinators; and
    (4) Ensure that the training provided relates specifically to--
    (i) Understanding the basic components of early intervention 
services available in the State;
    (ii) Meeting the interrelated social or emotional, health, 
developmental, and educational needs of eligible children under this 
part; and
    (iii) Assisting families in enhancing the development of their 
children, and in participating fully in the development and 
implementation of IFSPs.
    (c) A personnel development system under this part may include--
    (1) Implementing innovative strategies and activities for the 
recruitment and retention of early intervention service providers;
    (2) Promoting the preparation of early intervention providers who 
are fully and appropriately qualified to provide early intervention 
services under this part;
    (3) Training personnel to work in rural and inner-city areas; and
    (4) Training personnel to coordinate transition services for infants 
and toddlers with disabilities from an early intervention program under 
this part to a preschool program under part B of the Act or to other 
preschool or other appropriate services.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(8))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]



Sec. 303.361  Personnel standards.

    (a) As used in this part--
    (1) Appropriate professional requirements in the State means entry 
level requirements that--

[[Page 122]]

    (i) Are based on the highest requirements in the State applicable to 
the profession or discipline in which a person is providing early 
intervention services; and
    (ii) Establish suitable qualifications for personnel providing early 
intervention services under this part to eligible children and their 
families who are served by State, local, and private agencies.
    (2) Highest requirements in the State applicable to a specific 
profession or discipline means the highest entry-level academic degree 
needed for any State approved or recognized certification, licensing, 
registration, or other comparable requirements that apply to that 
profession or discipline.
    (3) Profession or discipline means a specific occupational category 
that--
    (i) Provides early intervention services to children eligible under 
this part and their families;
    (ii) Has been established or designated by the State; and
    (iii) Has a required scope of responsibility and degree of 
supervision.
    (4) State approved or recognized certification, licensing, 
registration, or other comparable requirements means the requirements 
that a State legislature either has enacted or has authorized a State 
agency to promulgate through rules to establish the entry-level 
standards for employment in a specific profession or discipline in that 
State.
    (b)(1) Each statewide system must have policies and procedures 
relating to the establishment and maintenance of standards to ensure 
that personnel necessary to carry out the purposes of this part are 
appropriately and adequately prepared and trained.
    (2) The policies and procedures required in paragraph (b)(1) of this 
section must provide for the establishment and maintenance of standards 
that are consistent with any State-approved or State-recognized 
certification, licensing, registration, or other comparable requirements 
that apply to the profession or discipline in which a person is 
providing early intervention services.
    (c) To the extent that a State's standards for a profession or 
discipline, including standards for temporary or emergency 
certification, are not based on the highest requirements in the State 
applicable to a specific profession or discipline, the State's 
application for assistance under this part must include the steps the 
State is taking, the procedures for notifying public agencies and 
personnel of those steps, and the timelines it has established for the 
retraining or hiring of personnel that meet appropriate professional 
requirements in the State.
    (d)(1) In meeting the requirements in paragraphs (b) and (c) of this 
section, a determination must be made about the status of personnel 
standards in the State. That determination must be based on current 
information that accurately describes, for each profession or discipline 
in which personnel are providing early intervention services, whether 
the applicable standards are consistent with the highest requirements in 
the State for that profession or discipline.
    (2) The information required in paragraph (d)(1) of this section 
must be on file in the lead agency, and available to the public.
    (e) In identifying the ``highest requirements in the State'' for 
purposes of this section, the requirements of all State statutes and the 
rules of all State agencies applicable to serving children eligible 
under this part and their families must be considered.
    (f) A State may allow paraprofessionals and assistants who are 
appropriately trained and supervised, in accordance with State law, 
regulations, or written policy, to assist in the provision of early 
intervention services to eligible children under this part.
    (g) In implementing this section, a State may adopt a policy that 
includes making ongoing good-faith efforts to recruit and hire 
appropriately and adequately trained personnel to provide early 
intervention services to eligible children, including, in a geographic 
area of the State where there is a shortage of personnel that meet these 
qualifications, the most qualified individuals available who are making 
satisfactory progress toward completing applicable course work necessary 
to

[[Page 123]]

meet the standards described in paragraph (b)(2) of this section, 
consistent with State law, within 3 years.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(9))


    Note: This section requires that a State use its own existing 
highest requirements to determine the standards appropriate to personnel 
who provide early intervention services under this part. The regulations 
do not require States to set any specified training standard, such as a 
master's degree, for employment of personnel who provide services under 
this part.
    The regulations permit each State to determine the specific 
occupational categories required to provide early intervention services 
to children eligible under this part and their families, and to revise 
or expand these categories as needed. The professions or disciplines 
need not be limited to traditional occupational categories.

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]



                    Subpart E--Procedural Safeguards

                                 General



Sec. 303.400  General responsibility of lead agency for procedural safeguards.

    Each lead agency shall be responsible for--
    (a) Establishing or adopting procedural safeguards that meet the 
requirements of this subpart; and
    (b) Ensuring effective implementation of the safeguards by each 
public agency in the State that is involved in the provision of early 
intervention services under this part.

(Authority: 20 U.S.C. 1439)



Sec. 303.401  Definitions of consent, native language, and personally identifiable information.

    As used in this subpart--
    (a) Consent means that--
    (1) The parent has been fully informed of all information relevant 
to the activity for which consent is sought, in the parent's native 
language or other mode of communication;
    (2) The parent understands and agrees in writing to the carrying out 
of the activity for which consent is sought, and the consent describes 
that activity and lists the records (if any) that will be released and 
to whom; and
    (3) The parent understands that the granting of consent is voluntary 
on the part of the parent and may be revoked at any time;
    (b) Native language, where used with reference to persons of limited 
English proficiency, means the language or mode of communication 
normally used by the parent of a child eligible under this part;
    (c) Personally identifiable means that information includes--
    (1) The name of the child, the child's parent, or other family 
member;
    (2) The address of the child;
    (3) A personal identifier, such as the child's or parent's social 
security number; or
    (4) A list of personal characteristics or other information that 
would make it possible to identify the child with reasonable certainty.

(Authority: 20 U.S.C. 1439)



Sec. 303.402  Opportunity to examine records.

    In accordance with the confidentiality procedures in the regulations 
under part B of the Act (34 CFR 300.560 through 300.576), the parents of 
a child eligible under this part must be afforded the opportunity to 
inspect and review records relating to evaluations and assessments, 
eligibility determinations, development and implementation of IFSPs, 
individual complaints dealing with the child, and any other area under 
this part involving records about the child and the child's family.

(Authority: 20 U.S.C. 1439(a)(4))



Sec. 303.403  Prior notice; native language.

    (a) General. Written prior notice must be given to the parents of a 
child eligible under this part a reasonable time before a public agency 
or service provider proposes, or refuses, to initiate or change the 
identification, evaluation, or placement of the child, or the provision 
of appropriate early intervention services to the child and the child's 
family.
    (b) Content of notice. The notice must be in sufficient detail to 
inform the parents about--

[[Page 124]]

    (1) The action that is being proposed or refused;
    (2) The reasons for taking the action; and
    (3) All procedural safeguards that are available under this part.
    (c) Native language. (1) The notice must be--
    (i) Written in language understandable to the general public; and
    (ii) Provided in the native language of the parents, unless it is 
clearly not feasible to do so.
    (2) If the native language or other mode of communication of the 
parent is not a written language, the public agency, or designated 
service provider, shall take steps to ensure that--
    (i) The notice is translated orally or by other means to the parent 
in the parent's native language or other mode of communication;
    (ii) The parent understands the notice; and
    (iii) There is written evidence that the requirements of this 
paragraph have been met.
    (3) If a parent is deaf or blind, or has no written language, the 
mode of communication must be that normally used by the parent (such as 
sign language, braille, or oral communication).

(Authority: 20 U.S.C. 1480(6) and (7))



Sec. 303.404  Parent consent.

    (a) Written parental consent must be obtained before--
    (1) Conducting the initial evaluation and assessment of a child 
under Sec. 303.322; and
    (2) Initiating the provision of early intervention services (see 
Sec. 303.342(e)).
    (b) If consent is not given, the public agency shall make reasonable 
efforts to ensure that the parent--
    (1) Is fully aware of the nature of the evaluation and assessment or 
the services that would be available; and
    (2) Understands that the child will not be able to receive the 
evaluation and assessment or services unless consent is given.

(Authority: 20 U.S.C. 1439)


    Note 1: In addition to the consent requirements in this section, 
other consent requirements are included in (1) Sec. 303.460(a), 
regarding the exchange of personally identifiable information among 
agencies, and (2) the confidentiality provisions in the regulations 
under part B of the Act (34 CFR 300.571) and 34 CFR part 99 (Family 
Educational Rights and Privacy), both of which apply to this part.


    Note 2: Under Sec. 300.504(b) of the part B regulations, a public 
agency may initiate procedures to challenge a parent's refusal to 
consent to the initial evaluation of the parent's child and, if 
successful, obtain the evaluation. This provision applies to eligible 
children under this part, since the part B evaluation requirement 
applies to all children with disabilities in a State, including infants 
and toddlers.



Sec. 303.405  Parent right to decline service.

    The parents of a child eligible under this part may determine 
whether they, their child, or other family members will accept or 
decline any early intervention service under this part in accordance 
with State law, and may decline such a service after first accepting it, 
without jeopardizing other early intervention services under this part.

(Authority: 20 U.S.C. 1439(a)(3))



Sec. 303.406  Surrogate parents.

    (a) General. Each lead agency shall ensure that the rights of 
children eligible under this part are protected if--
    (1) No parent (as defined in Sec. 303.18) can be identified;
    (2) The public agency, after reasonable efforts, cannot discover the 
whereabouts of a parent; or
    (3) The child is a ward of the State under the laws of that State.
    (b) Duty of lead agency and other public agencies. The duty of the 
lead agency, or other public agency under paragraph (a) of this section, 
includes the assignment of an individual to act as a surrogate for the 
parent. This must include a method for--
    (1) Determining whether a child needs a surrogate parent; and
    (2) Assigning a surrogate parent to the child.
    (c) Criteria for selecting surrogates. (1) The lead agency or other 
public agency may select a surrogate parent in any way permitted under 
State law.
    (2) Public agencies shall ensure that a person selected as a 
surrogate parent--

[[Page 125]]

    (i) Has no interest that conflicts with the interests of the child 
he or she represents; and
    (ii) Has knowledge and skills that ensure adequate representation of 
the child.
    (d) Non-employee requirement; compensation. (1) A person assigned as 
a surrogate parent may not be--
    (i) An employee of any State agency; or
    (ii) A person or an employee of a person providing early 
intervention services to the child or to any family member of the child.
    (2) A person who otherwise qualifies to be a surrogate parent under 
paragraph (d)(1) of this section is not an employee solely because he or 
she is paid by a public agency to serve as a surrogate parent.
    (e) Responsibilities. A surrogate parent may represent a child in 
all matters related to--
    (1) The evaluation and assessment of the child;
    (2) Development and implementation of the child's IFSPs, including 
annual evaluations and periodic reviews;
    (3) The ongoing provision of early intervention services to the 
child; and
    (4) Any other rights established under this part.

(Authority: 20 U.S.C. 1439(a)(5))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]

      Mediation and Due Process Procedures for Parents and Children



Sec. 303.419  Mediation.

    (a) General. Each State shall ensure that procedures are established 
and implemented to allow parties to disputes involving any matter 
described in Sec. 303.403(a) to resolve the disputes through a mediation 
process which, at a minimum, must be available whenever a hearing is 
requested under Sec. 303.420. The lead agency may either use the 
mediation system established under Part B of the Act or establish its 
own system.
    (b) Requirements. The procedures must meet the following 
requirements:
    (1) The procedures must ensure that the mediation process--
    (i) Is voluntary on the part of the parties;
    (ii) Is not used to deny or delay a parent's right to a due process 
hearing under Sec. 303.420, or to deny any other rights afforded under 
Part C of the Act; and
    (iii) Is conducted by a qualified and impartial mediator who is 
trained in effective mediation techniques.
    (2) The State shall maintain a list of individuals who are qualified 
mediators and knowledgeable in laws and regulations relating to the 
provision of special education and related services.
    (3) The State shall bear the cost of the mediation process, 
including the costs of meetings described in paragraph (c) of this 
section.
    (4) Each session in the mediation process must be scheduled in a 
timely manner and must be held in a location that is convenient to the 
parties to the dispute.
    (5) An agreement reached by the parties to the dispute in the 
mediation process must be set forth in a written mediation agreement.
    (6) Discussions that occur during the mediation process must be 
confidential and may not be used as evidence in any subsequent due 
process hearings or civil proceedings, and the parties to the mediation 
process may be required to sign a confidentiality pledge prior to the 
commencement of the process.
    (c) Meeting to encourage mediation. A State may establish procedures 
to require parents who elect not to use the mediation process to meet, 
at a time and location convenient to the parents, with a disinterested 
party--
    (1) Who is under contract with a parent training and information 
center or community parent resource center in the State established 
under sections 682 or 683 of the Act, or an appropriate alternative 
dispute resolution entity; and
    (2) Who would explain the benefits of the mediation process and 
encourage the parents to use the process.

(Authority: 20 U.S.C. 1415(e) and 1439(a)(8))

[63 FR 18296, Apr. 14, 1998]



Sec. 303.420  Due process procedures.

    Each system must include written procedures including procedures for 
mediation as described in Sec. 303.419, for the timely administrative 
resolution of

[[Page 126]]

individual child complaints by parents concerning any of the matters in 
Sec. 303.403(a). A State may meet this requirement by--
    (a) Adopting the mediation and due process procedures in 34 CFR 
300.506 through 300.512 and developing procedures that meet the 
requirements of Sec. 303.425; or
    (b) Developing procedures that--
    (1) Meet the requirements in Sec. 303.419 and Secs. 303.421 through 
303.425; and
    (2) Provide parents a means of filing a complaint.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1439(a)(1))


    Note 1: Sections 303.420 through 303.425 are concerned with the 
adoption of impartial procedures for resolving individual child 
complaints (i.e., complaints that generally affect only a single child 
or the child's family). These procedures require the appointment of a 
decision-maker who is impartial, as defined in Sec. 303.421(b), to 
resolve a dispute concerning any of the matters in Sec. 303.403(a). The 
decision of the impartial decision-maker is binding unless it is 
reversed on appeal.
    A different type of administrative procedure is included in 
Secs. 303.510 through 303.512 of subpart F of this part. Under those 
procedures, the lead agency is responsible for (1) investigating any 
complaint that it receives (including individual child complaints and 
those that are systemic in nature), and (2) resolving the complaint if 
the agency determines that a violation has occurred.


    Note 2: It is important that the administrative procedures developed 
by a State be designed to result in speedy resolution of complaints. An 
infant's or toddler's development is so rapid that undue delay could be 
potentially harmful.

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]



Sec. 303.421  Appointment of an impartial person.

    (a) Qualifications and duties. An impartial person must be appointed 
to implement the complaint resolution process in this subpart. The 
person must--
    (1) Have knowledge about the provisions of this part and the needs 
of, and services available for, eligible children and their families; 
and
    (2) Perform the following duties:
    (i) Listen to the presentation of relevant viewpoints about the 
complaint, examine all information relevant to the issues, and seek to 
reach a timely resolution of the complaint.
    (ii) Provide a record of the proceedings, including a written 
decision.
    (b) Definition of impartial. (1) As used in this section, impartial 
means that the person appointed to implement the complaint resolution 
process--
    (i) Is not an employee of any agency or other entity involved in the 
provision of early intervention services or care of the child; and
    (ii) Does not have a personal or professional interest that would 
conflict with his or her objectivity in implementing the process.
    (2) A person who otherwise qualifies under paragraph (b)(1) of this 
section is not an employee of an agency solely because the person is 
paid by the agency to implement the complaint resolution process.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1439(a)(1))



Sec. 303.422  Parent rights in administrative proceedings.

    (a) General. Each lead agency shall ensure that the parents of 
children eligible under this part are afforded the rights in paragraph 
(b) of this section in any administrative proceedings carried out under 
Sec. 303.420.
    (b) Rights. Any parent involved in an administrative proceeding has 
the right to--
    (1) Be accompanied and advised by counsel and by individuals with 
special knowledge or training with respect to early intervention 
services for children eligible under this part;
    (2) Present evidence and confront, cross-examine, and compel the 
attendance of witnesses;
    (3) Prohibit the introduction of any evidence at the proceeding that 
has not been disclosed to the parent at least five days before the 
proceeding;
    (4) Obtain a written or electronic verbatim transcription of the 
proceeding; and

[[Page 127]]

    (5) Obtain written findings of fact and decisions.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1439)



Sec. 303.423  Convenience of proceedings; timelines.

    (a) Any proceeding for implementing the complaint resolution process 
in this subpart must be carried out at a time and place that is 
reasonably convenient to the parents.
    (b) Each lead agency shall ensure that, not later than 30 days after 
the receipt of a parent's complaint, the impartial proceeding required 
under this subpart is completed and a written decision mailed to each of 
the parties.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1439(a)(1))


    Note: Under part B of the Act, States are allowed 45 days to conduct 
an impartial due process hearing (i.e., within 45 days after the receipt 
of a request for a hearing, a decision is reached and a copy of the 
decision is mailed to each of the parties). (See 34 CFR 300.512.) Thus, 
if a State, in meeting the requirements of Sec. 303.420, elects to adopt 
the due process procedures under part B, that State would also have 45 
days for hearings. However, any State in that situation is encouraged 
(but not required) to accelerate the timeline for the due process 
hearing for children who are eligible under this part--from 45 days to 
the 30-day timeline in this section. Because the needs of children in 
the birth-through-two-age range change so rapidly, quick resolution of 
complaints is important.



Sec. 303.424  Civil action.

    Any party aggrieved by the findings and decision regarding an 
administrative complaint has the right to bring a civil action in State 
or Federal court under section 639(a)(1) of the Act.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1439(a)(1))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]



Sec. 303.425  Status of a child during proceedings.

    (a) During the pendency of any proceeding involving a complaint 
under this subpart, unless the public agency and parents of a child 
otherwise agree, the child must continue to receive the appropriate 
early intervention services currently being provided.
    (b) If the complaint involves an application for initial services 
under this part, the child must receive those services that are not in 
dispute.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1439(a)(7))

                             Confidentiality



Sec. 303.460  Confidentiality of information.

    (a) Each State shall adopt or develop policies and procedures that 
the State will follow in order to ensure the protection of any 
personally identifiable information collected, used, or maintained under 
this part, including the right of parents to written notice of and 
written consent to the exchange of this information among agencies 
consistent with Federal and State law.
    (b) These policies and procedures must meet the requirements in 34 
CFR 300.560 through 300.576, with the modifications specified in 
Sec. 303.5(b).

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1439(a)(2), 1442)


    Note: With the modifications referred to in paragraph (b) of this 
section, the confidentiality requirements in the regulations 
implementing part B of the Act (34 CFR 300.560 through 300.576) are to 
be used by public agencies to meet the confidentiality requirements 
under part C of the Act and this section (Sec. 303.460).
    The part B provisions incorporate by reference the regulations in 34 
CFR part 99 (Family Educational Rights and Privacy); therefore, those 
regulations also apply to this part.



                     Subpart F--State Administration

                                 General



Sec. 303.500  Lead agency establishment or designation.

    Each system must include a single line of responsibility in a lead 
agency that--

[[Page 128]]

    (a) Is established or designated by the Governor; and
    (b) Is responsible for the administration of the system, in 
accordance with the requirements of this part.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(10))



Sec. 303.501  Supervision and monitoring of programs.

    (a) General. Each lead agency is responsible for--
    (1) The general administration and supervision of programs and 
activities receiving assistance under this part; and
    (2) The monitoring of programs and activities used by the State to 
carry out this part, whether or not these programs or activities are 
receiving assistance under this part, to ensure that the State complies 
with this part.
    (b) Methods of administering programs. In meeting the requirement in 
paragraph (a) of this section, the lead agency shall adopt and use 
proper methods of administering each program, including--
    (1) Monitoring agencies, institutions, and organizations used by the 
State to carry out this part;
    (2) Enforcing any obligations imposed on those agencies under part C 
of the Act and these regulations;
    (3) Providing technical assistance, if necessary, to those agencies, 
institutions, and organizations; and
    (4) Correcting deficiencies that are identified through monitoring.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(10)(A))

             Lead Agency Procedures for Resolving Complaints



Sec. 303.510  Adopting complaint procedures.

    Each lead agency shall adopt written procedures for--
    (a) Resolving any complaint that any public agency is violating a 
requirement of part C of the Act or this part by--
    (1) Providing for the filing of a complaint with the lead agency; 
and
    (2) At the lead agency's discretion, providing for the filing of a 
complaint with a public agency and the right to have the lead agency 
review the public agency's decision on the complaint; and
    (b) Informing parents and other interested individuals about the 
procedures in Secs. 303.510 through 303.512.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1476(b)(9))


    Note: Because of the interagency nature of part C of the Act, 
complaints received under these regulations could concern violations by 
(1) any public agency in the State that receives funds under this part 
(e.g., the lead agency and the Council), (2) other public agencies that 
are involved in the State's early intervention program, or (3) private 
service providers that receive part C funds on a contract basis from a 
public agency to carry out a given function or provide a given service 
required under this part. These complaint procedures are in addition to 
any other rights under State or Federal law. The lead agency must 
provide for the filing of a complaint with the lead agency and, at the 
lead agency's discretion, with a public agency subject to a right of 
appeal to the lead agency.



Sec. 303.511  An organization or individual may file a complaint.

    An individual or organization may file a written signed complaint 
under Sec. 303.510. The complaint must include--
    (a) A statement that the State has violated a requirement of part C 
of the Act or the regulations in this part; and
    (b) The facts on which the complaint is based.


(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1476(b)(9))



Sec. 303.512  Minimum State complaint procedures.

    Each lead agency shall include the following in its complaint 
procedures:
    (a) A time limit of 60 calendar days after a complaint is filed 
under Sec. 303.510(a) to--
    (1) Carry out an independent on-site investigation, if the lead 
agency determines that such an investigation is necessary;

[[Page 129]]

    (2) Give the complainant the opportunity to submit additional 
information, either orally or in writing, about the allegations in the 
complaint;
    (3) Review all relevant information and make an independent 
determination as to whether the public agency is violating a requirement 
of part C of the Act or of this part; and
    (4) Issue a written decision to the complainant that addresses each 
allegation in the complaint and contains--
    (i) Findings of fact and conclusions; and
    (ii) The reasons for the lead agency's final decision.
    (b) An extension of the time limit under paragraph (a) of this 
section only if exceptional circumstances exist with respect to a 
particular complaint.
    (c) Procedures for effective implementation of the lead agency's 
final decision, if needed, including technical assistance activities, 
negotiations, and corrective actions to achieve compliance.
    (d) The right of the complainant or the public agency to request the 
Secretary to review the lead agency's final decision.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1476(b)(9))

          Policies and Procedures Related to Financial Matters



Sec. 303.520  Policies related to payment for services.

    (a) General. Each lead agency is responsible for establishing State 
policies related to how services to children eligible under this part 
and their families will be paid for under the State's early intervention 
program. The policies must--
    (1) Meet the requirements in paragraph (b) of this section; and
    (2) Be reflected in the interagency agreements required in 
Sec. 303.523.
    (b) Specific funding policies. A State's policies must--
    (1) Specify which functions and services will be provided at no cost 
to all parents;
    (2) Specify which functions or services, if any, will be subject to 
a system of payments, and include--
    (i) Information about the payment system and schedule of sliding 
fees that will be used; and
    (ii) The basis and amount of payments; and
    (3) Include an assurance that--
    (i) Fees will not be charged for the services that a child is 
otherwise entitled to receive at no cost to parents; and
    (ii) The inability of the parents of an eligible child to pay for 
services will not result in the denial of services to the child or the 
child's family; and
    (4) Set out any fees that will be charged for early intervention 
services and the basis for those fees.
    (c) Procedures to ensure the timely provision of services. No later 
than the beginning of the fifth year of a State's participation under 
this part, the State shall implement a mechanism to ensure that no 
services that a child is entitled to receive are delayed or denied 
because of disputes between agencies regarding financial or other 
responsibilities.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1476(b)(9))



Sec. 303.521  Fees.

    (a) General. A State may establish, consistent with 
Sec. 303.12(a)(3)(iv), a system of payments for early intervention 
services, including a schedule of sliding fees.
    (b) Functions not subject to fees. The following are required 
functions that must be carried out at public expense by a State, and for 
which no fees may be charged to parents:
    (1) Implementing the child find requirements in Sec. 303.321.
    (2) Evaluation and assessment, as included in Sec. 303.322, and 
including the functions related to evaluation and assessment in 
Sec. 303.12.
    (3) Service coordination, as included in Secs. 303.22 and 
303.344(g).
    (4) Administrative and coordinative activities related to--
    (i) The development, review, and evaluation of IFSPs in 
Secs. 303.340 through 303.346; and
    (ii) Implementation of the procedural safeguards in subpart E of 
this part and the other components of the statewide

[[Page 130]]

system of early intervention services in subparts D and F of this part.
    (c) States with mandates to serve children from birth. If a State 
has in effect a State law requiring the provision of a free appropriate 
public education to children with disabilities from birth, the State may 
not charge parents for any services (e.g., physical or occupational 
therapy) required under that law that are provided to children eligible 
under this part and their families.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1432(4))



Sec. 303.522  Identification and coordination of resources.

    (a) Each lead agency is responsible for--
    (1) The identification and coordination of all available resources 
for early intervention services within the State, including those from 
Federal, State, local, and private sources; and
    (2) Updating the information on the funding sources in paragraph 
(a)(1) of this section, if a legislative or policy change is made under 
any of those sources.
    (b) The Federal funding sources in paragraph (a)(1) of this section 
include--
    (1) Title V of the Social Security Act (relating to Maternal and 
Child Health);
    (2) Title XIX of the Social Security Act (relating to the general 
Medicaid Program, and EPSDT);
    (3) The Head Start Act;
    (4) Parts B and H of the Act;
    (5) The Developmental Disabilities Assistance and Bill of Rights Act 
(Pub. L. 94-103); and
    (6) Other Federal programs.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(10)(B))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]



Sec. 303.523  Interagency agreements.

    (a) General. Each lead agency is responsible for entering into 
formal interagency agreements with other State-level agencies involved 
in the State's early intervention program. Each agreement must meet the 
requirements in paragraphs (b) through (d) of this section.
    (b) Financial responsibility. Each agreement must define the 
financial responsibility, in accordance with Sec. 303.143, of the agency 
for paying for early intervention services (consistent with State law 
and the requirements of this part).
    (c) Procedures for resolving disputes. (1) Each agreement must 
include procedures for achieving a timely resolution of intra-agency and 
interagency disputes about payments for a given service, or disputes 
about other matters related to the State's early intervention program. 
Those procedures must include a mechanism for making a final 
determination that is binding upon the agencies involved.
    (2) The agreement with each agency must--
    (i) Permit the agency to resolve its own internal disputes (based on 
the agency's procedures that are included in the agreement), so long as 
the agency acts in a timely manner; and
    (ii) Include the process that the lead agency will follow in 
achieving resolution of intra-agency disputes, if a given agency is 
unable to resolve its own internal disputes in a timely manner.
    (d) Additional components. Each agreement must include any 
additional components necessary to ensure effective cooperation and 
coordination among all agencies involved in the State's early 
intervention program.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(10)(C) and (a)(10)(F))


    Note: A State may meet the requirement in paragraph (c)(1) of this 
section in any way permitted under State law, including (1) providing 
for a third party (e.g., an administrative law judge) to review a 
dispute and render a decision, (2) assignment of the responsibility by 
the Governor to the lead agency or Council, or (3) having the final 
decision made directly by the Governor.



Sec. 303.524  Resolution of disputes.

    (a) Each lead agency is responsible for resolving individual 
disputes, in accordance with the procedures in Sec. 303.523(c)(2)(ii).

[[Page 131]]

    (b)(1) During a dispute, the individual or entity responsible for 
assigning financial responsibility among appropriate agencies under 
Sec. 303.143 (``financial designee'') shall assign financial 
responsibility to--
    (i) An agency, subject to the provisions in paragraph (b)(2) of this 
section; or
    (ii) The lead agency, in accordance with the ``payor of last 
resort'' provisions in Sec. 303.527.
    (2) If, during the lead agency's resolution of the dispute, the 
financial designee determines that the assignment of financial 
responsibility under paragraph (b)(1)(i) of this section was 
inappropriately made--
    (i) The financial designee shall reassign the responsibility to the 
appropriate agency; and
    (ii) The lead agency shall make arrangements for reimbursement of 
any expenditures incurred by the agency originally assigned 
responsibility.
    (c) To the extent necessary to ensure compliance with its action in 
paragraph (b)(2) of this section, the lead agency shall--
    (1) Refer the dispute to the Council or the Governor; and
    (2) Implement the procedures to ensure the delivery of services in a 
timely manner in accordance with Sec. 303.525.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(10)(C) and (a)(10)(E))



Sec. 303.525  Delivery of services in a timely manner.

    Each lead agency is responsible for the development of procedures to 
ensure that services are provided to eligible children and their 
families in a timely manner, pending the resolution of disputes among 
public agencies or service providers.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(10)(D))



Sec. 303.526  Policy for contracting or otherwise arranging for services.

    Each system must include a policy pertaining to contracting or 
making other arrangements with public or private service providers to 
provide early intervention services. The policy must include--
    (a) A requirement that all early intervention services must meet 
State standards and be consistent with the provisions of this part;
    (b) The mechanisms that the lead agency will use in arranging for 
these services, including the process by which awards or other 
arrangements are made; and
    (c) The basic requirements that must be met by any individual or 
organization seeking to provide these services for the lead agency.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(11))


    Note: In implementing the statewide system, States may elect to 
continue using agencies and individuals in both the public and private 
sectors that have previously been involved in providing early 
intervention services, so long as those agencies and individuals meet 
the requirements of this part.



Sec. 303.527  Payor of last resort.

    (a) Nonsubstitution of funds. Except as provided in paragraph (b)(1) 
of this section, funds under this part may not be used to satisfy a 
financial commitment for services that would otherwise have been paid 
for from another public or private source, including any medical program 
administered by the Secretary of Defense, but for the enactment of part 
C of the Act. Therefore, funds under this part may be used only for 
early intervention services that an eligible child needs but is not 
currently entitled to under any other Federal, State, local, or private 
source.
    (b) Interim payments--reimbursement. (1) If necessary to prevent a 
delay in the timely provision of services to an eligible child or the 
child's family, funds under this part may be used to pay the provider of 
services, pending reimbursement from the agency or entity that has 
ultimate responsibility for the payment.
    (2) Payments under paragraph (b)(1) of this section may be made 
for--
    (i) Early intervention services, as described in Sec. 303.12;

[[Page 132]]

    (ii) Eligible health services (see Sec. 303.13); and
    (iii) Other functions and services authorized under this part, 
including child find and evaluation and assessment.
    (3) The provisions of paragraph (b)(1) of this section do not apply 
to medical services or ``well-baby'' health care (see 
Sec. 303.13(c)(1)).
    (c) Non-reduction of benefits. Nothing in this part may be construed 
to permit a State to reduce medical or other assistance available or to 
alter eligibility under title V of the Social Security Act (SSA) 
(relating to maternal and child health) or title XIX of the SSA 
(relating to Medicaid for children eligible under this part) within the 
State.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1440)


    Note: The Congress intended that the enactment of part C not be 
construed as a license to any agency (including the lead agency and 
other agencies in the State) to withdraw funding for services that 
currently are or would be made available to eligible children but for 
the existence of the program under this part. Thus, the Congress 
intended that other funding sources would continue, and that there would 
be greater coordination among agencies regarding the payment of costs.
    The Congress further clarified its intent concerning payments under 
Medicaid by including in section 411(k)(13) of the Medicare Catastrophic 
Coverage Act of 1988 (Pub. L. 100-360) an amendment to title XIX of the 
Social Security Act. That amendment states, in effect, that nothing in 
this title shall be construed as prohibiting or restricting, or 
authorizing the Secretary of Health and Human Services to prohibit or 
restrict, payment under subsection (a) of section 1903 of the Social 
Security Act for medical assistance for covered services furnished to an 
infant or toddler with a disability because those services are included 
in the child's IFSP adopted pursuant to part C of the Act.

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]



Sec. 303.528  Reimbursement procedure.

    Each system must include a procedure for securing the timely 
reimbursement of funds used under this part, in accordance with 
Sec. 303.527(b).

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(12))

                         Reporting Requirements



Sec. 303.540  Data collection.

    (a) Each system must include the procedures that the State uses to 
compile data on the statewide system. The procedures must--
    (1) Include a process for--
    (i) Collecting data from various agencies and service providers in 
the State;
    (ii) Making use of appropriate sampling methods, if sampling is 
permitted; and
    (iii) Describing the sampling methods used, if reporting to the 
Secretary; and
    (2) Provide for reporting data required under section 618 of the Act 
that relates to this part.
    (b) The information required in paragraph (a)(2) of this section 
must be provided at the time and in the manner specified by the 
Secretary.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1435(a)(14))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]

                  Use of Funds for State Administration



Sec. 303.560  Use of funds by the lead agency.

    A lead agency may use funds under this part that are reasonable and 
necessary for administering the State's early intervention program for 
infants and toddlers with disabilities.

(Authority: 20 U.S.C. 1433, 1435(a)(10))



            Subpart G--State Interagency Coordinating Council

                                 General



Sec. 303.600  Establishment of Council.

    (a) A State that desires to receive financial assistance under this 
part shall establish a State Interagency Coordinating Council.

[[Page 133]]

    (b) The Council must be appointed by the Governor. The Governor 
shall ensure that the membership of the Council reasonably represents 
the population of the State.
    (c) The Governor shall designate a member of the Council to serve as 
the chairperson of the Council or require the Council to do so. Any 
member of the Council who is a representative of the lead agency 
designated under Sec. 303.500 may not serve as the chairperson of the 
Council.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1441(a))


    Note: To avoid a potential conflict of interest, it is recommended 
that parent representatives who are selected to serve on the Council not 
be employees of any agency involved in providing early intervention 
services.
    It is suggested that consideration be given to maintaining an 
appropriate balance between the urban and rural communities of the 
State.

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]



Sec. 303.601  Composition.

    (a) The Council must be composed as follows:
    (1)(i) At least 20 percent of the members must be parents, including 
minority parents, of infants or toddlers with disabilities or children 
with disabilities aged 12 or younger, with knowledge of, or experience 
with, programs for infants and toddlers with disabilities.
    (ii) At least one member must be a parent of an infant or toddler 
with a disability or a child with a disability aged six or younger.
    (2) At least 20 percent of the members must be public or private 
providers of early intervention services.
    (3) At least one member must be from the State legislature.
    (4) At least one member must be involved in personnel preparation.
    (5) At least one member must--
    (i) Be from each of the State agencies involved in the provisions 
of, or payment for, early intervention services to infants and toddlers 
with disabilities and their families; and
    (ii) Have sufficient authority to engage in policy planning and 
implementation on behalf of these agencies.
    (6) At least one member must--
    (i) Be from the State educational agency responsible for preschool 
services to children with disabilities; and
    (ii) Have sufficient authority to engage in policy planning and 
implementation on behalf of that agency.
    (7) At least one member must be from the agency responsible for the 
State governance of health insurance.
    (8) At least one member must be from a Head Start agency or program 
in the State.
    (9) At least one member must be from a State agency responsible for 
child care.
    (b) The Council may include other members selected by the Governor, 
including a representative from the BIA or, where there is no school 
operated or funded by the BIA, from the Indian Health Service or the 
tribe or tribal council.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1441(b))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]



Sec. 303.602  Use of funds by the Council.

    (a) General. Subject to the approval of the Governor, the Council 
may use funds under this part--
    (1) To conduct hearings and forums;
    (2) To reimburse members of the Council for reasonable and necessary 
expenses for attending Council meetings and performing Council duties 
(including child care for parent representatives);
    (3) To pay compensation to a member of the Council if the member is 
not employed or must forfeit wages from other employment when performing 
official Council business;
    (4) To hire staff; and
    (5) To obtain the services of professional, technical, and clerical 
personnel, as may be necessary to carry out the performance of its 
functions under this part.
    (b) Compensation and expenses of Council members. Except as provided 
in paragraph (a) of this section, Council

[[Page 134]]

members shall serve without compensation from funds available under this 
part.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1438, 1441 (c) and (d))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]



Sec. 303.603  Meetings.

    (a) The Council shall meet at least quarterly and in such places as 
it deems necessary.
    (b) The meetings must--
    (1) Be publicly announced sufficiently in advance of the dates they 
are to be held to ensure that all interested parties have an opportunity 
to attend; and
    (2) To the extent appropriate, be open and accessible to the general 
public.
    (c) Interpreters for persons who are deaf and other necessary 
services must be provided at Council meetings, both for Council members 
and participants. The Council may use funds under this part to pay for 
those services.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1441 (c) and (d))



Sec. 303.604  Conflict of interest.

    No member of the Council may cast a vote on any matter that would 
provide direct financial benefit to that member or otherwise give the 
appearance of a conflict of interest.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1441(f))

                        Functions of the Council



Sec. 303.650  General.

    (a) Each Council shall--
    (1) Advise and assist the lead agency in the development and 
implementation of the policies that constitute the statewide system;
    (2) Assist the lead agency in achieving the full participation, 
coordination, and cooperation of all appropriate public agencies in the 
State;
    (3) Assist the lead agency in the effective implementation of the 
statewide system, by establishing a process that includes--
    (i) Seeking information from service providers, service 
coordinators, parents, and others about any Federal, State, or local 
policies that impede timely service delivery; and
    (ii) Taking steps to ensure that any policy problems identified 
under paragraph (a)(3)(i) of this section are resolved; and
    (4) To the extent appropriate, assist the lead agency in the 
resolution of disputes.
    (b) Each Council may advise and assist the lead agency and the State 
educational agency regarding the provision of appropriate services for 
children aged birth to five, inclusive.
    (c) Each Council may advise appropriate agencies in the State with 
respect to the integration of services for infants and toddlers with 
disabilities and at-risk infants and toddlers and their families, 
regardless of whether at-risk infants and toddlers are eligible for 
early intervention services in the State.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1441(e)(1)(A) and (e)(2))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]



Sec. 303.651  Advising and assisting the lead agency in its administrative duties.

    Each Council shall advise and assist the lead agency in the--
    (a) Identification of sources of fiscal and other support for 
services for early intervention programs under this part;
    (b) Assignment of financial responsibility to the appropriate 
agency; and
    (c) Promotion of the interagency agreements under Sec. 303.523.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1441(e)(1)(A))



Sec. 303.652  Applications.

    Each Council shall advise and assist the lead agency in the 
preparation of

[[Page 135]]

applications under this part and amendments to those applications.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1441(e)(1)(B))



Sec. 303.653  Transitional services.

    Each Council shall advise and assist the State educational agency 
regarding the transition of toddlers with disabilities to services 
provided under part B of the Act, to preschool and other appropriate 
services.

(Approved by the Office of Management and Budget under control number 
1820-0578)


(Authority: 20 U.S.C. 1441(e)(1)(C))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]



Sec. 303.654  Annual report to the Secretary.

    (a) Each Council shall--
    (1) Prepare an annual report to the Governor and to the Secretary on 
the status of early intervention programs operated within the State for 
children eligible under this part and their families; and
    (2) Submit the report to the Secretary by a date that the Secretary 
establishes.
    (b) Each annual report must contain the information required by the 
Secretary for the year for which the report is made.

(Approved by the Office of Management and Budget under control number 
1820-0550)


(Authority: 20 U.S.C. 1441(e)(1)(D))



PART 304--REMOVAL OF ARCHITECTURAL BARRIERS TO INDIVIDUALS WITH DISABILITIES PROGRAM--Table of Contents




                           Subpart A--General

Sec.
304.1  The Removal of Architectural Barriers to Individuals with 
          Disabilities program.
304.2  Applicability of regulations in this part.
304.3  Regulations that apply to the Removal of Architectural Barriers 
          to Individuals with Disabilities program.
304.4  Definitions.
304.5  Acronyms that are used.
304.6--304.9  [Reserved]

Subpart B--How Does an SEA or the Secretary of the Interior Apply for a 
                                 Grant?

                         Application From an SEA

304.10  Submission of an SEA application.
304.11  Content of SEA application.
304.12--304.14  [Reserved]

             Application From the Secretary of the Interior

304.15  Submission of an application by the Secretary of the Interior.
304.16  Applicable regulations.
304.17--304.19  [Reserved]

             Subpart C--How Does the Secretary Make a Grant?

304.20  Amount of a grant.
304.21  Reallocation of excess funds.
304.22--304.29  [Reserved]

    Subpart D--How Does an LEA or IEU Apply to an SEA for a Subgrant?

304.30  Submission of an application to the SEA.
304.31  LEA and IEU applications.
304.32--304.39  [Reserved]

               Subpart E--How Does an SEA Make a Subgrant?

304.40  Amount of a subgrant to an LEA or IEU.
304.41  Reallocation of excess funds.
304.42--304.49  [Reserved]

     Subpart F--What Conditions Must Be Met by an SEA, LEA, or IEU?

304.50  Standards for the removal of architectural barriers.
304.51  Project priorities.
304.52  Project requirements.
304.53--304.59  [Reserved]

   Subpart G--What Are the Administrative Responsibilities of an SEA?

304.60  Amount available for SEA administration.
304.61  Administrative responsibilities and allowable costs.
304.62--304.69  [Reserved]

    Authority: 20 U.S.C. 1406, unless otherwise noted.

    Source: 50 FR 29330, July 18, 1985, unless otherwise noted.

[[Page 136]]



                           Subpart A--General



Sec. 304.1  The Removal of Architectural Barriers to Individuals with Disabilities program.

    The purpose of this part is to provide financial assistance to State 
educational agencies and, through them, to local educational agencies 
and intermediate educational units to remove architectural barriers to 
children with disabilities and other individuals with disabilities.

(Authority: 20 U.S.C. 1406)

[56 FR 54689, Oct. 22, 1991]



Sec. 304.2  Applicability of regulations in this part.

    This part applies to assistance under section 607 of the Individuals 
with Disabilities Education Act.

(Authority: 20 U.S.C. 1406)

[56 FR 54689, Oct. 22, 1991]



Sec. 304.3  Regulations that apply to the Removal of Architectural Barriers to Individuals with Disabilities program.

    The following regulations apply to assistance under the Removal of 
Architectural Barriers to Individuals with Disabilities program:
    (a) The regulations in this part 304.
    (b) The Education Department General Administrative Regulations 
(EDGAR) in the following parts of title 34 of the Code of Federal 
Regulations--
    (1) Part 76 (State-administered Programs);
    (2) Part 77 (Definitions that Apply to Department Regulations);
    (3) Part 79 (Intergovernmental Review of Department of Education 
Programs and Activities);
    (4) Part 80 (Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments);
    (5) Part 81 (General Education Provisions Act--Enforcement);
    (6) Part 82 (New Restrictions on Lobbying);
    (7) Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for a Drug-Free 
Workplace (Grants)); and
    (8) Part 86 (Drug-Free Schools and Campuses).

(Authority: 20 U.S.C. 1406; 20 U.S.C. 3474(a))

[56 FR 54689, Oct. 22, 1991]



Sec. 304.4  Definitions.

    (a) Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:

    Application
    EDGAR
    Fiscal year
    Grant
    Local educational agency
    Project
    Public
    Secretary
    State
    State educational agency
    Subgrant

(Authority: 20 U.S.C. 3474(a))

    (b) Definitions in 34 CFR part 300. The following terms used in this 
part are defined in 34 CFR 300.5(a), 300.7, 300.13, and 300.14:

    Children and disabilities
    Intermediate educational unit
    Related services
    Special education

(Authority: 20 U.S.C. 1401(a)(1), (16), (17), (22))

    (c) Other definitions that apply to this part. In addition to the 
definitions referred to in paragraphs (a) and (b), the following 
definitions apply to this part:
    (1) Alteration, as applied to a building or structure, means a 
change or rearrangement in the structural parts or elements, or in the 
means of egress, or in moving from one location or position to another. 
It does not include normal maintenance and repair, reroofing, interior 
decoration, or changes to mechanical and electrical systems.

(Authority: 20 U.S.C. 1406, 41 CFR 101-19.603)

    (2) Equipment includes machinery, utilities, and built-in equipment 
and any necessary enclosures or structures to house them, and includes 
all other items necessary for the functioning of a particular facility 
as a facility for the provision of educational services, including items 
such as instructional equipment and necessary furniture, printed, 
published, and audio-visual instructional materials, telecommunications, 
sensory, and other technological aids and devices, and books,

[[Page 137]]

periodicals, documents, and other related materials.

(Authority: 20 U.S.C. 1401(a)(5), 1406)

[50 FR 29330, July 18, 1985, as amended at 56 FR 54689, Oct. 22, 1991]



Sec. 304.5  Acronyms that are used.

    The following acronyms are used in this part:
    IEU stands for intermediate educational unit.
    LEA stands for local educational agency.
    SEA stands for State educational agency.

(Authority: 20 U.S.C. 1406)



Secs. 304.6--304.9  [Reserved]



Subpart B--How Does an SEA or the Secretary of the Interior Apply for a 
                                 Grant?

                         Application From an SEA



Sec. 304.10  Submission of an SEA application.

    In order to receive funds under this part, an SEA must submit an 
application to the Secretary for review and approval.

(Authority: 20 U.S.C. 1406)



Sec. 304.11  Content of SEA application.

    (a) Each SEA shall include in its application assurances that--
    (1) Funds received under this part will be used to pay the costs of 
altering existing buildings and equipment in accordance with the 
standards in Sec. 304.50;
    (2) In using funds appropriated under Pub. L. 98-8, special 
consideration will be given to projects in areas experiencing high rates 
of unemployment; and

(Authority: Pub. L. 98-8, ``Education for the Handicapped'', 97 Stat. 27 
(1983); S. Rep. No. 17, 98th Cong., 1st Sess. 33-34 (1983))

    (3) Funds provided under this part that are appropriated under Pub. 
L. 98-8 will, to the extent practicable, be utilized in manner which 
maximizes immediate creation of new employment opportunities to 
individuals who were unemployed at least 15 of the 26 weeks immediately 
preceding March 24, 1983 (the date of enactment of Pub. L. 98-8).

(Authority: Pub. L. 98-8, section 101(c); 97 Stat. 31-32 (1983))

    (b) Each SEA application must also include the following 
information:
    (1) A description of the goals and objectives to be supported by the 
grant in sufficient detail for the Secretary to determine what will be 
achieved with the grant.
    (2) The estimated number of LEAs and IEUs that will receive 
subgrants, and a description of the procedures and criteria the SEA will 
use to award subgrants to LEAs and IEUs, including any priorities 
established by the SEA under Sec. 304.51(b) (see Sec. 304.40 and subpart 
F, ``What Conditions Must Be Met by an SEA, LEA, or IEU?'').

(Approved by the Office of Management and Budget under control number 
1820-0534)


(Authority: 20 U.S.C. 1406)

[50 FR 29330, July 18, 1985, as amended at 53 FR 6945, Mar. 3, 1988]



Secs. 304.12--304.14  [Reserved]

             Application From the Secretary of the Interior



Sec. 304.15  Submission of an application by the Secretary of the Interior.

    In order to receive a grant under this part, the Secretary of the 
Interior shall submit an application that is consistent with the 
requirements under Sec. 304.11.

(Authority: 20 U.S.C. 1406)

[53 FR 6945, Mar. 3, 1988]



Sec. 304.16  Applicable regulations.

    The Secretary of the Interior shall comply with all the requirements 
that apply to SEAs under subparts A, C, F, and G of this part.

(Authority: 20 U.S.C. 1406)

[53 FR 6945, Mar. 3, 1988]



Secs. 304.17--304.19  [Reserved]



             Subpart C--How Does the Secretary Make a Grant?



Sec. 304.20  Amount of a grant.

    (a) For the purpose of this section--

[[Page 138]]

    (1) The term Insular Area means American Samoa, Guam, the Virgin 
Islands, the Northern Mariana Islands, or the Trust Territory of the 
Pacific Islands; and
    (2) The term children with disabilities means the number of children 
with disabilities determined by the Secretary--
    (i) Under section 611 of the Act, to be receiving special education 
and related services; or
    (ii) In average daily attendance at schools for children with 
disabilities or supported by a State agency within the meaning of 
section 1221 of chapter 1 of title I of the Elementary and Secondary 
Education Act of 1965.
    (b) The amount of an SEA's grant under this part for a State other 
than an Insular Area is determined by--
    (1) Dividing the number of children with disabilities in that State 
by the total number of children with disabilities in all States 
submitting approvable applications under this part; and
    (2) Multiplying that fraction by the amount of funds available for 
grants under this part minus the amount reserved under paragraphs (c) 
and (d) of this section.
    (c) The Secretary reserves up to one-half of one percent of the 
aggregate of the amounts available under this part for grants to Insular 
Areas. Funds reserved by the Secretary for the Insular Areas are 
allocated proportionately among them on the basis of the number of 
children ages three through twenty-one in each Insular Area. However, no 
Insular Area may receive less than $15,000, and allocations within these 
jurisdictions are ratably reduced, if necessary, to ensure that each 
Insular Area receives at least that amount. Allocations within these 
jurisdictions are further ratably reduced if the amount reserved is 
insufficient to provide $15,000 to each Insular Area.
    (d) From any appropriation enacted after September 30, 1986, the 
Secretary reserves up to 1.25 percent of the aggregate amount available 
under this part for a grant to the Secretary of the Interior to be used 
on reservations served by schools operated for Indian children by the 
Department of the Interior.

(Authority: 20 U.S.C. 1406)

[50 FR 29330, July 18, 1985, as amended at 53 FR 6945, Mar. 3, 1988; 56 
FR 54689, Oct. 22, 1991]



Sec. 304.21  Reallocation of excess funds.

    The Secretary may reallocate funds--or portions of those funds--made 
available to the Secretary of the Interior or to a State educational 
agency under this part if the Secretary determines that the Secretary of 
the Interior or the State educational agency cannot use the funds in a 
manner consistent with the requirements of applicable statutes and the 
regulations in this part. Any reallocation is made on the same basis as 
grants are determined under Sec. 304.20.

(Authority: 20 U.S.C. 1406)

[53 FR 6945, Mar. 3, 1988]



Secs. 304.22--304.29    [Reserved]



    Subpart D--How Does an LEA or IEU Apply to an SEA for a Subgrant?



Sec. 304.30  Submission of an application to the SEA.

    In order to receive funds under this part for any fiscal year, an 
LEA or IEU shall submit an application for a subgrant to the appropriate 
SEA.

(Authority: 20 U.S.C. 1406, 3474(a))



Sec. 304.31  LEA and IEU applications.

    An LEA or IEU shall include in its application any information that 
is required by the SEA in order to fulfill its responsibilities under 
this part.

(Authority: 20 U.S.C. 1406, 3474(a))


[[Page 139]]





Secs. 304.32--304.39  [Reserved]



               Subpart E--How Does an SEA Make a Subgrant?



Sec. 304.40  Amount of a subgrant to an LEA or IEU.

    (a) The SEA shall determine the amount of a subgrant to an LEA or 
IEU based on--
    (1) The size, scope, and quality of the proposed project; and
    (2) Any other relevant criteria developed by the SEA and included in 
the SEA application approved by the Secretary.
    (b) The SEA may establish minimum and maximum amounts for subgrants.

(Authority: 20 U.S.C.1406)



Sec. 304.41  Reallocation of excess funds.

    (a) The SEA may reallocate funds provided for subgrants under this 
part if an LEA or IEU cannot use the funds in a manner consistent with 
the requirements of section 607 of the Individuals with Disabilities 
Education Act and the requirements in this part.
    (b) The SEA shall reallocate funds in accordance with the criteria 
and priorities for approving subgrants in its approved application.

(Authority: 20 U.S.C. 1406)

[50 FR 29330, July 18, 1985, as amended at 56 FR 54689, Oct. 22, 1991]



Secs. 304.42--304.49  [Reserved]



     Subpart F--What Conditions Must Be Met by an SEA, LEA, or IEU?



Sec. 304.50  Standards for the removal of architectural barriers.

    The alteration of existing buildings and equipment under this part 
must be done consistently with standards adopted by the General Services 
Administration (GSA) under Pub. L. 90-480, the Architectural Barriers 
Act of 1968. However, the dimensions set out in those standards may be 
modified as appropriate considering the age groups of the individuals 
who will use the buildings or equipment.

    Note: On August 7, 1984, the GSA adopted new standards under the 
Architectural Barriers Act (49 FR 31528) and incorporated them by 
reference at 41 CFR 101-19.603 (49 FR 31625).


(Authority: 20 U.S.C. 1406)



Sec. 304.51  Project priorities.

    (a) An SEA may establish priorities for the use of funds made 
available under this part. The SEA may, for example, give special 
consideration to projects that will meet the special needs of urban or 
rural locations, or that will facilitate the transition of children with 
disabilities and individuals with disabilities from school to work.
    (b) The Secretary encourages States to use their funds for 
activities that will--
    (1) Make available to children with disabilities the variety of 
educational programs and services available to nondisabled children in 
the area served by the LEA or IEU;
    (2) Provide nonacademic and extracurricular services and activities 
in a manner that affords children with disabilities opportunity for 
participation in these services and activities; and
    (3) Provide assessibility to individuals with disabilities involved 
in the education of children with disabilities or eligible to 
participate in programs administered by LEAs and IEUs.

(Authority: 20 U.S.C. 1406)

[50 FR 29330, July 18, 1985, as amended at 56 FR 54689, Oct. 22, 1991]



Sec. 304.52  Project requirements.

    To the extent practicable, funds made available under this part that 
are appropriated under Pub. L. 98-8 must be utilized to create new 
employment opportunities for the unemployed, as required by Pub. L. 98-
8, section 101(c).

(Authority: Pub. L. 98-8, sec. 101(c); 97 Stat. 31-32 (1983))


[[Page 140]]





Secs. 304.53--304.59  [Reserved]



   Subpart G--What Are the Administrative Responsibilities of an SEA?



Sec. 304.60  Amount available for SEA administration.

    An SEA may use up to five percent of its grant for the cost of 
administering funds provided under this part.

(Authority: 20 U.S.C. 1406)



Sec. 304.61  Administrative responsibilities and allowable costs.

    Administrative costs under this part include--
    (a) Planning of programs and projects assisted by funds under this 
part;
    (b) Approval, supervision, monitoring, and evaluation by an SEA of 
the effectiveness of projects assisted by funds made available under 
this part; and
    (c) Technical assistance that an SEA provides to LEAs and IEUs with 
respect to the requirements of this part.

(Authority: 20 U.S.C. 1406)



Secs. 304.62--304.69  [Reserved]



PART 305--REGIONAL RESOURCE AND FEDERAL CENTERS--Table of Contents




                           Subpart A--General

Sec.
305.1  What are the Regional Resource and Federal Centers?
305.2  Who is eligible to apply for an award under this program?
305.3  What regulations apply to this program?
305.4  What definitions apply to this program?
305.5--305.9  [Reserved]

 Subpart B--What Kinds of Projects Does the Secretary Assist Under This 
                                Program?

305.10  What kinds of services are provided by Regional Resource Centers 
          under this part?
305.11  What kinds of services are provided by the Federal Center under 
          this part?
305.12  What is the composition of the regions?
305.13--305.19  [Reserved]

                          Subpart C  [Reserved]

             Subpart D--How Does the Secretary Make a Grant?

305.30  May the Secretary require the Centers to give priority to 
          certain services?
305.31  What are the selection criteria for evaluating applications 
          under this program?
305.32--305.39  [Reserved]

  Subpart E--What Conditions Must Be Met by the Recipient of an Award?

305.40  What additional activities must each Center perform?
305.41--305.49  [Reserved]

    Authority: 20 U.S.C. 1421, unless otherwise noted.

    Source: 49 FR 25997, June 25, 1984, unless otherwise noted.

    Effective Date Note:  At 63 FR 23601, Apr. 29, 1998, part 305 was 
removed, effective Oct. 1, 1998.



                           Subpart A--General



Sec. 305.1  What are the Regional Resource and Federal Centers?

    (a) This program supports the establishment and operation of 
Regional Resource Centers that focus on special education and related 
services and early intervention services. Regional Resource Centers 
shall provide consultation, technical assistance, and training, as 
requested, to State educational agencies and through those State 
educational agencies, to local educational agencies and to other 
appropriate public agencies providing special education and related 
services and early intervention services. The purpose of this assistance 
is to aid these agencies in providing early intervention, special 
education, and related services to infants, toddlers, children, and 
youth with disabilities and their families.
    (b) This program also supports the establishment and operation of a 
Federal Center that provides assistance to the Regional Resource Centers 
in the delivery of technical assistance focusing on national priorities 
established by the Secretary.

(Authority: 20 U.S.C. 1421)

[53 FR 3525, Feb. 5, 1988, as amended at 56 FR 54689, Oct. 22, 1991]

[[Page 141]]



Sec. 305.2  Who is eligible to apply for an award under this program?

    The Secretary may provide assistance under this part through a grant 
to, or cooperative agreement or contract with--
    (a) Institutions of higher education;
    (b) Private nonprofit organizations;
    (c) State educational agencies;
    (d) Public agencies; or
    (e) Combinations of these agencies and institutions, such as 
combinations including one or more local educational agencies within 
particular regions of the United States.

(Authority: 20 U.S.C. 1421)

[53 FR 3525, Feb. 5, 1988]



Sec. 305.3  What regulations apply to this program?

    (a) The following regulations apply to grants and cooperative 
agreements for Regional Resource Centers:
    (1) The regulations in this part 305.
    (2) The Education Department General Administrative Regulations 
(EDGAR) at title 34 of the Code of Federal Regulations in--
    (i) Part 74 (Administration of Grants to Institutions of Higher 
Education, Hospitals, and Nonprofit Organizations);
    (ii) Part 75 (Direct Grant Programs);
    (iii) Part 77 (Definitions that Apply to Department Regulations);
    (iv) Part 79 (Intergovernmental Review of Department of Education 
Programs and Activities);
    (v) Part 80 (Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments);
    (vi) Part 81 (General Education Provisions Act--Enforcement);
    (vii) Part 82 (New Restrictions on Lobbying);
    (viii) Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirement for Drug-Free Workplace 
(Grants)); and
    (ix) Part 86 (Drug-Free Schools and Campuses).
    (b) The Federal Acquisition Regulation (FAR) in 48 CFR chapter 1 and 
the Department of Education Acquisition Regulation (EDAR) in 48 CFR 
chapter 34 apply to contracts for Regional Resource and Federal Centers.

(Authority: 20 U.S.C. 1421)

[53 FR 3525, Feb. 5, 1988, as amended at 56 FR 54690, Oct. 22, 1991]



Sec. 305.4  What definitions apply to this program?

    (a) Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:

    Applicant
    Application
    Award
    Budget period
    Contract
    EDGAR
    Fiscal Year
    Grant
    Grant period
    Local educational agency
    Nonprofit
    Private
    Project
    Project period
    Public
    Secretary
    State
    State educational agency

(Authority: 20 U.S.C. 1421; 20 U.S.C. 3474(a))



Secs. 305.5--305.9  [Reserved]



 Subpart B--What Kinds of Projects Does the Secretary Assist Under This 
                                Program?



Sec. 305.10  What kinds of services are provided by Regional Resource Centers under this part?

    Each Regional Resource Center shall--
    (a) Assist State educational agencies and through such State 
educational agencies, local educational agencies and other appropriate 
public agencies, through services such as consultation, technical 
assistance, and training, to provide more effectively special education, 
related services, and early intervention services to infants, toddlers, 
children, and youth with disabilities, and their families;
    (b) Assist in identifying and solving persistent problems, and in 
identifying emerging issues and trends in providing quality special 
education, related services, and early intervention services to infants, 
toddlers, children, and

[[Page 142]]

youth with disabilities, and their families;
    (c) Assist in developing, identifying, and replicating successful 
programs and practices that will improve special education, related 
services, and early intervention services to infants, toddlers, 
children, and youth with disabilities, and their families;
    (d) Gather and disseminate information to all State educational 
agencies in the region and coordinate activities with other Regional 
Resource Centers and with other relevant programs and projects conducted 
by the Department;
    (e) Assist in the improvement of information dissemination to, and 
training activities for, professionals and parents of infants, toddlers, 
children, and youth with disabilities; and
    (f) Provide information to and training for agencies, institutions, 
and organizations regarding techniques and approaches for submitting 
applications for grants and cooperative agreements under this part and 
parts D through G of the Act.

(Authority: 20 U.S.C. 1421)

[53 FR 3525, Feb. 5, 1988, as amended at 56 FR 54690, Oct. 22, 1991; 58 
FR 9462, Feb. 19, 1993]



Sec. 305.11  What kinds of services are provided by the Federal Center under this part?

    The Federal Center shall--
    (a) Provide a national perspective for establishing technical 
assistance activities within and across regions by identifying and 
synthesizing emerging issues and trends and establishing a panel to 
interpret this information. This panel must be broadly representative of 
the special education constituency, including representatives of State 
and local educational agencies, parent organizations, consumer and 
advocacy organizations, professional organizations, and consumers, with 
particular attention being given to individuals from minority 
backgrounds. This information must be shared with Regional Resource 
Centers and State educational agencies and may serve as a basis for 
multi-State and multi-regional technical assistance activities;
    (b) Assist in linking and coordinating the Regional Resource Centers 
with each other and with other technical assistance providers, including 
health-related entities as well as organizations representing persons 
with disabilities, professional organizations, and parent projects. 
Information from these activities must be shared with the Regional 
Resource Centers as well as the States;
    (c) Provide information to, and training for, agencies, 
institutions, and organizations regarding techniques and approaches for 
submitting applications for grants, contracts, and cooperative 
agreements under parts C through G of the Act, and make that information 
available to the Regional Resource Centers on request;
    (d) Give priority to providing technical assistance concerning the 
education of children with disabilities from minority backgrounds and 
exchanging information with and, if appropriate, cooperating with other 
centers addressing the needs of these children; and
    (e) Provide assistance to State educational agencies, through 
Regional Resource Centers, for the training of hearing officers.

(Authority: 20 U.S.C. 1421)

[58 FR 9462, Feb. 19, 1993]



Sec. 305.12  What is the composition of the regions?

    The Secretary establishes the following regions:
    (a) Region 1: Maine, Vermont, New Hampshire, Massachusetts, 
Connecticut, Rhode Island, New York, and New Jersey.
    (b) Region 2: Maryland, Delaware, Virginia, West Virginia, 
Washington, DC, Kentucky, Tennessee, North Carolina, and South Carolina.
    (c) Region 3: Georgia, Alabama, Florida, Mississippi, Puerto Rico, 
the Virgin Islands, New Mexico, Texas, Oklahoma, Arkansas, and 
Louisiana.
    (d) Region 4: Illinois, Ohio, Indiana, Pennsylvania, Wisconsin, 
Minnesota, and Michigan.
    (e) Region 5: Montana, Wyoming, North Dakota, South Dakota, Utah, 
Colorado, Nebraska, Kansas, Iowa, Missouri, and the Bureau of Indian 
Affairs.
    (f) Region 6: Oregon, Idaho, Washington, Alaska, California, 
Arizona, Nevada, the Republic of Palau, the Republic of the Marhsall 
Islands, the Federated States of Micronesia, Guam,

[[Page 143]]

American Samoa, Hawaii, and the Commonwealth of the Northern Mariana 
Islands.

(Authority: 20 U.S.C. 1421)

[49 25997, June 25, 1984, as amended at 53 FR 3525, Feb. 5, 1988. 
Redesignated at 58 FR 9462, Feb. 19, 1993]



Secs. 305.13--305.19  [Reserved]



                          Subpart C  [Reserved]



             Subpart D--How Does the Secretary Make a Grant?



Sec. 305.30  May the Secretary require the Centers to give priority to certain services?

    For any fiscal year, the Secretary may, in the application notice, 
require the Centers to give priority to one or more of the services 
listed in Sec. 305.10 and Sec. 305.11.

(Authority: 20 U.S.C. 1421)

[49 FR 25997, June 25, 1984, as amended at 58 FR 9463, Feb. 19, 1993]



Sec. 305.31  What are the selection criteria for evaluating applications under this program?

    The Secretary uses the criteria in this section to evaluate 
applications for new grants. The maximum number of points for each 
criterion is stated in parentheses. The maximum score for all of the 
criteria is 100 points.
    (a) Need for the project. (5 points) (1) The Secretary reviews each 
application for a Regional Resource Center for information that shows 
the needs of the States in the region and support for the applicant's 
project by the agencies to be served by the project.
    (2) The Secretary reviews each application for a Federal Center for 
information that identifies potential issues and trends of national 
concern and procedures for obtaining broad based input in validating, 
interpreting, synthesizing, and updating information on emerging issues 
and trends on a regular basis.
    (b) Capability of applicant. (5 points) (1) The Secretary reviews 
each application for information that shows the capability of the 
applicant to fulfill the responsibilities of a Center under this part.
    (2) In making this determination, the Secretary considers evidence 
of relevant experience which demonstrates the capacity to provide 
technical assistance to State educational agencies, commitment to the 
accomplishment of the project, and timely completion of previous 
comparable work.
    (c) Plan of operation. (40 points) (1) The Secretary reviews each 
application for information that shows the quality of the plan of 
operation for the project.
    (2) The Secretary looks for information that shows--
    (i) High quality in the design of the project;
    (ii) An effective plan of management that ensures proper and 
efficient administration of the project;
    (iii) A clear description of how the objectives of the project 
relate to the purpose of the program;
    (iv) The way the applicant plans to use its resources and personnel 
to achieve each objective;
    (v) A clear description of how the applicant will provide equal 
access and treatment for eligible project participants who are members 
of groups that have been traditionally underrepresented, such as--
    (A) Members of racial or ethnic minority groups;
    (B) Women;
    (C) Individuals with disabilities; and
    (D) The elderly.
    (d) Quality of key personnel. (25 points) (1) The Secretary reviews 
each application for information that shows the qualifications of the 
key personnel the applicant plans to use on the project.
    (2) The Secretary looks for information that shows--
    (i) The qualifications of the project director (if one is to be 
used);
    (ii) The qualifications of each of the other key personnel to be 
used in the project;
    (iii) The time that each person referred to in paragraphs (d) (1) 
and (2) of this section will commit to the project; and
    (iv) The extent to which the applicant, as part of its 
nondiscriminatory employment practices, encourages applications for 
employment from persons who are members of groups that

[[Page 144]]

have been traditionally underrepresented, such as--
    (A) Members of racial or ethnic minority groups;
    (B) Women;
    (C) Individuals with disabilities; and
    (D) The elderly.
    (3) To determine personnel qualifications, the Secretary considers 
experience and training, in fields related to the objectives of the 
project, as well as other information that the applicant provides.
    (e) Budget and cost effectiveness. (10 points) (1) The Secretary 
reviews each application for information that shows that the project has 
an adequate budget and is cost effective.
    (2) The Secretary looks for information that shows--
    (i) The budget for the project is adequate to support the project 
activities; and
    (ii) Costs are reasonable in relation to the objectives of the 
project.
    (f) Evaluation plan. (10 points) (1) The Secretary reviews each 
application for information that shows the quality of the evaluation 
plan for the project.

(See 34 CFR 75.590, Evaluation by the grantee.)

    (2) The Secretary looks for information that shows methods of 
evaluation that are appropriate for the project, and, to the extent 
possible, are objective and produce data that are quantifiable. For 
Regional Resource Centers, evaluation methods must include evaluation of 
changes in State capacity to work with local educational agencies to 
improve services for students with disabilities.
    (g) Adequacy of resources. (5 points) (1) The Secretary reviews each 
application for information that shows that the applicant plans to 
devote adequate resources to the project.
    (2) The Secretary looks for information that shows--
    (i) The facilities that the applicant plans to use are adequate; and
    (ii) The equipment and supplies that the applicant plans to use are 
adequate.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1421)

[49 FR 25997, June 25, 1984, as amended at 56 FR 54690, Oct. 22, 1991; 
58 FR 9463, Feb. 19, 1993]



Secs. 305.32--305.39  [Reserved]



  Subpart E--What Conditions Must Be Met by the Recipient of an Award?



Sec. 305.40  What additional activities must each Center perform?

    Each Regional Resource or Federal Center shall--
    (a) Report a summary of materials produced or developed in the 
manner and at the time the Secretary may establish.
    (b) Assist in the evaluation of the effectiveness of Regional 
Resource Center activities through cooperation with other projects under 
this part and with other appropriate projects such as the program 
evaluations under section 610(d) of the Act.
    (c) Assure that the services provided are consistent with the 
priority needs identified by the States served by the Center.
    (d) If appropriate, prepare reports describing their procedures, 
findings, and other relevant information in a form that will maximize 
the dissemination and use of those procedures, findings, and 
information. The Secretary shall require their delivery, as appropriate, 
to the Regional and Federal Resource Centers, the Clearinghouses, and 
the Technical Assistance to Parents Program (TAPP) assisted under parts 
C and D of the Act, as well as the national Diffusion Network, the ERIC 
Clearinghouse on the Handicapped and Gifted, and the Child and 
Adolescent Service Systems Program (CASSP) under the National Institute 
of Mental

[[Page 145]]

Health, appropriate parent and professional organizations, organizations 
representing individuals with disabilities, and such other networks as 
the Secretary may determine to be appropriate.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1409(g); 20 U.S.C. 1421)

[49 FR 25997, June 25, 1984, as amended at 53 FR 3525, Feb. 5, 1988; 56 
FR 54690, Oct. 22, 1991; 58 FR 9463, Feb. 19, 1993]



Secs. 305.41--305.49  [Reserved]



PART 307--SERVICES FOR CHILDREN WITH DEAF-BLINDNESS--Table of Contents




                           Subpart A--General

Sec.
307.1  What is the Services for Children with Deaf-Blindness program?
307.2  Who is eligible to apply for an award under the Services for 
          Children with Deaf-Blindness program?
307.3  What regulations apply to the Services for Children with Deaf-
          Blindness program?
307.4  What definitions apply to the Services for Children with Deaf-
          Blindness program?
307.5--307.9  [Reserved]

 Subpart B--What Kinds of Projects Does the Secretary Assist Under This 
                                Program?

307.10  What types of activities are considered for support under this 
          part?
307.11  What types of services and technical assistance by State and 
          multi-State projects are considered for support under this 
          part?
307.12  What types of technical assistance to grantees under Sec. 307.11 
          are considered for support under this part?
307.13  What types of technical assistance for transitional services are 
          considered for support under this part?
307.14  What types of pilot projects are considered for support to 
          successful Sec. 307.11 applicants under this part?
307.15  What types of activities are supported in a national 
          clearinghouse for children with deaf-blindness?
307.16--307.19  [Reserved]

               Subpart C--How Does One Apply for a Grant?

307.20--307.29  [Reserved]

             Subpart D--How Does the Secretary Make a Grant?

307.30  What priorities are considered for support by the Secretary?
307.31  How does the Secretary determine the amount of an award under 
          Sec. 307.11?
307.32  How does the Secretary evaluate an application?
307.33  What criteria does the Secretary use to evaluate a State or 
          multi-State application under Sec. 307.11?
307.34  What procedures does the Secretary use if more than one 
          application for an award under Sec. 307.11 proposes to serve 
          the same State?
307.35  What criteria are used to evaluate a technical assistance 
          application under Sec. 307.10, Sec. 307.12, or Sec. 307.13?
307.36  What criteria are used to evaluate an application for other than 
          technical assistance under Sec. 307.10, or for an application 
          under Sec. 307.14 or Sec. 307.15?
307.37  What additional consideration will be given by the Secretary in 
          carrying out this part?
307.38--307.39  [Reserved]

 Subpart E--What Conditions Must Be Met by a Grantee Under This Program?

307.40  [Reserved]
307.41  What advisory committees are to be established under this 
          program?
307.42  What other conditions must be met by a grantee under this 
          program?
307.43--307.49  [Reserved]

    Authority: 20 U.S.C. 1422, unless otherwise noted.

    Source: 49 FR 28364, July 11, 1984, unless otherwise noted.

    Effective Date Note:  At 63 FR 23601, Apr. 29, 1998, part 307 was 
removed, effective Oct. 1, 1998.



                           Subpart A--General



Sec. 307.1  What is the Services for Children with Deaf-Blindness program?

    This program supports projects that enhance services to children 
with deaf-blindness, particularly by providing technical assistance to 
State educational agencies, local educational agencies, designated lead 
agencies under part H, and others who are involved in the early 
intervention or education of children with deaf-blindness.

(Authority: 20 U.S.C. 1422)

[49 FR 28364, July 11, 1984, as amended at 56 FR 51585, Oct. 11, 1991]

[[Page 146]]



Sec. 307.2  Who is eligible to apply for an award under the Services for Children with Deaf-Blindness program?

    Public or nonprofit private agencies, institutions, or 
organizations, including an Indian tribe and the Bureau of Indian 
Affairs of the Department of the Interior (if acting on behalf of 
schools operated by the Bureau for children and students on Indian 
reservations) and tribally controlled schools funded by the Department 
of the Interior, may apply for an award under this part.

(Authority: 20 U.S.C. 1422)

[49 FR 28364, July 11, 1984, as amended at 56 FR 51585, Oct. 11, 1991]



Sec. 307.3  What regulations apply to the Services for Children with Deaf-Blindness program?

    The following regulations apply to this program:
    (a) The regulations in this part 307.
    (b) The Education Department General Administrative Regulations 
(EDGAR) established in title 34 of the Code of Federal Regulations in--
    (1) Part 74 (Administration of Grants);
    (2) Part 75 (Direct Grant Programs);
    (3) Part 77 (Definitions);
    (4) Part 78 (Education Appeal Board); and
    (5) Part 79 (Intergovernmental Review of Department of Education 
Programs and Activities).

(Authority: 20 U.S.C. 1422; 20 U.S.C. 3474(a))

[49 FR 28364, July 11, 1984, as amended at 56 FR 51585, Oct. 11, 1991]



Sec. 307.4  What definitions apply to the Services for Children with Deaf-Blindness program?

    (a) Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:

    Applicant
    Application
    EDGAR
    Grant
    Grantee
    Nonprofit
    Private
    Project
    Public
    Secretary
    State

(Authority: 20 U.S.C. 3474(a))

    (b) Definitions in 34 CFR part 300. The following terms used in this 
part are defined in 34 CFR part 300.

    Counseling services (Sec. 300.13(b)(2))
    Evaluation (Sec. 300.500(c))
    Free appropriate public education (Sec. 300.4)
    Parent (Sec. 300.10)
    Parent counseling and training (Sec. 300.13(b)(6))
    Public agency (Sec. 300.11)
    Related services (Sec. 300.13)
    Special education (Sec. 300.14)

(Authority: 20 U.S.C. 1401 (1), (16), (17), and (18), and 20 U.S.C. 
1424)

    (c) Other definitions.
    Children with deaf-blindness. For the purposes of this part, the 
term, children with deaf-blindness, means children and youth having 
auditory and visual impairments, the combination of which creates such 
severe communication and other developmental and learning needs that 
they cannot be appropriately educated without special education and 
related services, beyond those that would be provided solely for 
children with hearing impairments, visual impairments, or severe 
disabilities, to address their educational needs due to these concurrent 
disabilities. This term also means infants and toddlers with deaf-
blindness.
    Children with disabilities. (1) For the purposes of this part, the 
term children with disabilities means children--
    (i) With mental retardation, hearing impairments including deafness, 
speech or language impairments, visual impairments including blindness, 
serious emotional disturbance, orthopedic impairments, autism, traumatic 
brain injury, other health impairments, or specific learning 
disabilities; and
    (ii) Who, for that reason, need special education and related 
services.
    (2) For children aged three to five, inclusive, the term may, at 
State's discretion, include children--
    (i) Who are experiencing developmental delays, as defined by the 
State and as measured by appropriate diagnostic instruments and 
procedures, in one or more of the following areas: physical development, 
cognitive development, communication development, social or emotional 
development, or adaptive development; and
    (ii) Who, for that reason, need special education and related 
services.

[[Page 147]]

    Infants and toddlers with deaf-blindness. For the purposes of this 
part, the term infants and toddlers with deaf-blindness means 
individuals from birth through age 2 who are experiencing developmental 
delays in hearing and vision, have a diagnosed physical or mental 
condition that has a high probability of resulting in developmental 
delays in hearing and vision, or are at risk of having substantial 
developmental delays in hearing and vision if early intervention 
services are not provided.
[49 FR 28364, July 11, 1984, as amended at 54 FR 15310, Apr. 17, 1989; 
56 FR 51585, Oct. 11, 1991; 57 FR 28965, June 29, 1992]



Secs. 307.5--307.9  [Reserved]



 Subpart B--What Kinds of Projects Does the Secretary Assist Under This 
                                Program?



Sec. 307.10  What types of activities are considered for support under this part?

    The Secretary may provide financial assistance under this part to 
support the following activities:
    (a) Technical assistance to agencies, institutions, or organizations 
providing educational or early intervention services to children with 
deaf-blindness;
    (b) Preservice or inservice training to paraprofessionals, 
professionals, or related services personnel preparing to serve, or 
serving, children with deaf-blindness;
    (c) Replication of successful innovative approaches to providing 
educational, early intervention, or related services to children with 
deaf-blindness;
    (d) Pilot projects that are designed to--
    (1) Expand local educational agency capabilities by providing 
services to children with deaf-blindness that supplement services 
already provided to children and youth through State and local 
resources; and
    (2) Encourage eventual assumption of funding responsibility by State 
and local authorities;
    (e) Development, improvement, or demonstration of new or existing 
methods, approaches, or techniques that contribute to the adjustment, 
early intervention, and education of children with deaf-blindness;
    (f) Facilitation of parent involvement in the education of their 
children with deaf-blindness;
    (g) Research to identify and meet the full range of special needs of 
those children;
    (h) Technical assistance for transitional services, as described in 
Sec. 307.13; and
    (i) A national clearinghouse for children with deaf-blindness as 
described in Sec. 307.15.

(Authority: 20 U.S.C. 1422)

[56 FR 51585, Oct. 11, 1991]



Sec. 307.11  What types of services and technical assistance by State and multi-State projects are considered for support under this part?

    (a) The Secretary may provide financial assistance under this part 
to State and multi-State projects to support the following activities--
    (1) Special education, early intervention, and related services, as 
well as vocational and transitional services, to children with deaf-
blindness to whom States are not obligated to make available a free 
appropriate public education under part B of the Individuals with 
Disabilities Education Act and to whom the State is not providing those 
services under some other authority. These services may include the 
following:
    (i) The diagnosis and educational evaluation of children who are 
likely to be diagnosed as having deaf-blindness;
    (ii) Programs of adjustment, education, and orientation for children 
with deaf-blindness; and
    (iii) Consultative, counseling, and training services for the 
families of children with deaf-blindness.
    (iv) Preparation of a coordinated plan for each child with deaf-
blindness served, describing all the services provided under paragraphs 
(a)(1) (i) through (iii) of this section. These services must be in 
accordance with other Federal and State programs.
    (2) Technical assistance to public and private agencies, 
institutions, and organizations providing early intervention, 
educational, transitional, vocational, early identification, and related

[[Page 148]]

services to children with deaf-blindness, to assure that they may more 
effectively--
    (i) Provide special education and related services, as well as 
vocational and transitional services, to those children with deaf-
blindness to whom they are obligated to make available a free 
appropriate public education under part B of the Individuals with 
Disabilities Education Act or some other authority and provide early 
intervention services under part H of IDEA;
    (ii) Provide preservice or inservice training to paraprofessionals, 
professionals or related services personnel preparing to serve, or 
serving, children with deaf-blindness;
    (iii) Replicate successful, innovative approaches to providing early 
intervention, educational or related services to children with deaf-
blindness;
    (iv) Facilitate parental involvement in the education of their 
children with deaf-blindness;
    (v) Provide consultative and counseling services for professionals, 
paraprofessionals, parents, and others who play a direct role in the 
lives of children with deaf-blindness, to enable them to understand the 
special problems of those children, and to assist in the provision of 
appropriate services to those children; and
    (vi) Promote the integration of children with deaf-blindness with 
children with other disabilities and without disabilities.
    (3) The services described in paragraph (a)(1) of this section to 
children with deaf-blindness to whom a State is obligated to make 
available a free appropriate public education under part B of the 
Individuals with Disabilities Education Act and to whom the State is 
providing those services under some other authority.
    (b)(1) Each grantee under this section shall give priority in the 
use of project funds to the provision of services described in paragraph 
(a)(1) of this section and to the provision of technical assistance as 
described in paragraph (a)(2) of this section.
    (i) Give first priority in the use of project funds to the provision 
of services described in paragraph (a)(1) of this section; and
    (ii) Give second priority in the use of project funds to the 
provision of technical assistance to State educational agencies, as 
described in paragraph (a)(2) of this section.
    (2) Any remaining funds may be used by the grantee, upon request of 
the State educational agency, for pilot projects.
    (c) Each grantee under this section shall--
    (1) Develop and implement procedures to evaluate the effectiveness 
of services to children with deaf-blindness which it provides under 
paragraph (a)(1) of this section;
    (2) Provide technical assistance to the public and private agencies, 
institutions, and organizations served under paragraph (a)(2) of this 
section in the development and implementation of procedures for 
evaluating the effectiveness of services they provide to children with 
deaf-blindness; and
    (3) Engage in on-going coordination with the State educational 
agency, the State's lead agency under part H of the IDEA, and other 
State agencies responsible for providing services to children with deaf-
blindness, in the provision of services under this section.
    (d) For the purpose of making awards under Sec. 307.11, the 
Secretary may make awards for single or multi-State projects. Each State 
may be served through only one project.

(Authority: 20 U.S.C. 1422)

[49 FR 28364, July 11, 1984, as amended at 54 FR 15310, Apr. 17, 1989; 
56 FR 51585, Oct. 11, 1991]



Sec. 307.12  What types of technical assistance to grantees under Sec. 307.11 are considered for support under this part?

    (a) The Secretary may provide financial assistance under this part 
for projects that establish and support programs for the provision of 
technical assistance on the activities authorized under Sec. 307.11.
    (b) Technical assistance services made available under this section 
must be requested by a grantee under Sec. 307.11, the lead agency under 
part H, or a State educational agency, and may be extended at the 
request of the Sec. 307.11 grantee, the lead agency under part H, or a 
State educational agency to local

[[Page 149]]

educational agencies and designated lead agencies under part H of IDEA, 
and other agencies, institutions, and organizations providing services 
to children with deaf-blindness, to--
    (1) Enhance personnel training programs by, for example, making 
available the combined expertise of highly trained and experienced 
professionals from the fields of education and early intervention for 
children with deaf-blindness;
    (2) Apply effective and relevant educational and early intervention 
research findings; and
    (3) Replicate effective methodology and curricula in educating 
children with deaf-blindness, and in providing early intervention 
services to children with deaf-blindness.
    (c) Technical assistance services made available under this section 
are to be determined by mutual agreement between the Sec. 307.12 
technical assistance grantee and the Sec. 307.11 grantee, the lead 
agency under part H, or the State education agency.

(Authority: 20 U.S.C. 1422)

[49 FR 28364, July 11, 1984, as amended at 54 FR 15310, Apr. 17, 1989; 
56 FR 51585, 51586, Oct. 11, 1991]



Sec. 307.13  What types of technical assistance for transitional services are considered for support under this part?

    (a) The Secretary may provide financial assistance under this part 
to provide technical assistance to State educational agencies in making 
available to adolescents and young adults with deaf-blindness, programs 
and services to facilitate their transition from education to employment 
and other services such as vocational, independent living, and other 
postsecondary services.
    (b) Each grantee under this section must provide each of the 
following services:
    (1) Technical assistance to agencies institutions, and organizations 
that are preparing adolescents and young adults with deaf-blindness for 
adult placement, or that are preparing to receive adolescents or young 
adults with deaf-blindness into adult living and work environments, or 
that serve, or propose to serve adolescents and young adults with deaf-
blindness.
    (2) Training or inservice training to paraprofessionals or 
professionals serving, or preparing to serve, those adolescents and 
young adults, as well as training to their parents.
    (3) Assistance in the development or replication of successful 
innovative approaches to providing rehabilitative, supervised, semi-
supervised, or independent living programs.
    (c) As used in this section, the term transitional services 
includes--
    (1) Counseling, training, and other services to assist adolescents 
and young adults with deaf-blindness to adjust to work environments and 
employment options;
    (2) Information concerning relevant public services available to 
assist adolescents and young adults with deaf-blindness in transition 
from educational to other services, including, recreational and leisure 
time resources, rehabilitative, supervised, semi-supervised, or 
independent living programs, and the procedures for assessing those 
services; and
    (3) Assistance to relevant agencies in the development of 
individualized work-related plans for adolescents and young adults with 
deaf-blindness.
    (d) Each grantee under this section shall develop and implement 
strategies to promote coordination between State and local agencies, 
institutions, and organizations that are preparing adolescents and young 
adults with deaf-blindness for adult placements, or that are preparing 
to receive adolescents or young adults with deaf-blindness into adult 
living and work environments, or that serve, or propose to serve 
adolescents or young adults with deaf-blindness, including agencies 
providing rehabilitative, vocational, health, career planning and 
development, and social services, and agencies providing a range of 
supervised and unsupervised living options.
    (e) Each grantee under this section shall assess the effectiveness 
of the project in facilitating the transition of adolescents and young 
adults with deaf-blindness from education to employment and other 
services such as

[[Page 150]]

vocational, independent living, and other postsecondary services.

(Authority: 20 U.S.C. 1422)

[49 FR 28364, July 11, 1984, as amended at 56 FR 51586, Oct. 11, 1991]



Sec. 307.14  What types of pilot projects are considered for support to successful Sec. 307.11 applicants under this part?

    The Secretary may provide financial assistance under this part to 
successful applicants under Sec. 307.11, to support pilot projects 
described at Sec. 307.10(d).

(Authority: 20 U.S.C. 1422)

[56 FR 51586, Oct. 11, 1991]



Sec. 307.15  What types of activities are supported in a national clearinghouse for children with deaf-blindness?

    The Secretary may provide financial assistance under this part to 
support the following activities:
    (a) Identification, coordination, and dissemination of information 
on deaf-blindness, emphasizing information concerning practices 
developed through research, development or demonstration activities that 
have produced statistical or narrative data establishing their 
effectiveness in working with children with deaf-blindness, including--
    (1) Special educational and early intervention programs, services, 
and resources;
    (2) Related medical, health, social, and recreational services;
    (3) The nature of deaf-blindness and its early intervention, 
educational, and employment implications;
    (4) Legal issues affecting persons with disabilities; and
    (5) Information on available services and programs in postsecondary 
education for adolescents and young adults with deaf-blindness.
    (b) Interaction with educators, professional groups, and parents to 
identify areas for programming, materials development, training, and 
expansion of specific services.
    (c) Maintenance of a computerized data base on local, regional, and 
national resources.
    (d) Responding to information requests from professionals, parents, 
and members of the public.

(Authority: 20 U.S.C. 1422)

[56 FR 51586, Oct. 11, 1991]



Secs. 307.16--307.19  [Reserved]



               Subpart C--How Does One Apply for a Grant?



Secs. 307.20--307.29  [Reserved]



             Subpart D--How Does the Secretary Make a Grant?



Sec. 307.30  What priorities are considered for support by the Secretary?

    (a) The Secretary may select as annual priorities one or more of the 
types of projects listed in Sec. 307.10.
    (b) The Secretary advises the public of these priorities through an 
application notice published in the Federal Register.

(Authority: 20 U.S.C. 1422)



Sec. 307.31  How does the Secretary determine the amount of an award under Sec. 307.11?

    In determining the funding level for each award under Sec. 307.11 
for a single or multi-State project for children with deaf-blindness, 
the Secretary considers the following factors:
    (a) The number of children in the States the applicant proposes to 
serve.
    (b) The number of children with deaf-blindness in the State 
benefiting from services under Sec. 307.11(a) (1) and (2) in relation to 
the total number of such children in all States.
    (c) The relative cost of providing services authorized under this 
part to children with deaf-blindness in the States the applicant 
proposes to serve.
    (d) The quality of the application submitted under this part 
evaluated on the basis of the criteria in Sec. 307.33.

(Authority: 20 U.S.C. 1422)

[54 FR 15311, Apr. 17, 1989, as amended at 56 FR 51585, 51586, Oct. 11, 
1991]



Sec. 307.32  How does the Secretary evaluate an application?

    (a) The Secretary evaluates an application submitted under 
Sec. 307.11 on the

[[Page 151]]

basis of the criteria in Sec. 307.33. If more than one eligible 
application is received on behalf of any State for an award under 
Sec. 307.11, the Secretary uses the procedures established in 
Sec. 307.34. The Secretary uses the selection criteria in Sec. 307.35 or 
307.36 to evaluate applications submitted for other types of activities 
authorized under this part.
    (b) The Secretary awards up to 100 points for these criteria.
    (c) The maximum possible score for each criterion is indicated in 
parentheses.

(Authority: 20 U.S.C. 1422)

[54 FR 15311, Apr. 17, 1989]



Sec. 307.33  What criteria does the Secretary use to evaluate a State or multi-State application under Sec. 307.11?

    The Secretary uses the following criteria to evaluate the quality of 
an application submitted under Sec. 307.11. Each applicant may receive 
up to a total of 100 points. Each application will be evaluated based 
only on those factors of each criterion that relate to the service needs 
of the States the applicant proposes to serve.
    (a) Justification for the project, extent of need, and expected 
impact. (15 points) The Secretary reviews each application to determine 
the justification for the proposed activities in each State, based on 
the extent of State need for and expected impact from the provision of 
services and technical assistance, including consideration of--
    (1) The age, number, and location of children with deaf-blindness in 
the State to whom the State is not obligated to provide a free 
appropriate public education under part B of the IDEA, to whom the State 
is not providing special educational and related services under some 
other authority, and to whom the applicant proposes to provide services;
    (2) The specific actions needed for the provision of early 
intervention, educational, and related services to children with deaf-
blindness based on the State's plan for delivery of services to students 
with handicaps required under parts B and H of the IDEA;
    (3) The specific actions needed for the provision of technical 
assistance addressed by the project based on the State's plan for 
provision of technical assistance to providers of services to children 
with deaf-blindness;
    (4) The expected benefits to be gained by providing the early 
intervention, educational, and related services to children with deaf-
blindness to be served by the project, their parents and service 
providers; and
    (5) The expected benefits to be gained by meeting the technical 
assistance needs of service providers to be assisted by the project.
    (b) Quality of services and technical assistance. (40 points) The 
Secretary reviews each application to determine the quality of the plan 
to provide services and technical assistance in each State to be served, 
including--
    (1) The quality of the design of the project for providing each of 
the early intervention, educational, and related services described 
under Sec. 307.11(a)(1), and for providing technical assistance as 
described under Sec. 307.11(a)(2);
    (2) The extent to which the applicant's plan for providing services 
and technical assistance implements current research findings and 
exemplary practices including arranging for services that are age-
appropriate for project participants, and providing for the maximum 
integration of children with deaf-blindness in the least restrictive 
environment;
    (3) How well the objectives of the project respond to the needs of 
children with deaf-blindness in the State, their parents, and service 
providers;
    (4) The extent to which the plan of management is effective and 
ensures proper and efficient provision of early intervention, 
educational, and related services, and technical assistance, and 
reflects an analysis of the service needs of children with deaf-
blindness in the State;
    (5) How well the objectives of the project relate to the purpose of 
the program;
    (6) How the project will assist the State in developing and 
implementing the State's Comprehensive Systems of Personnel Development 
required under parts B and H of IDEA;
    (7) How the applicant will ensure that project participants who are 
otherwise eligible to participate are selected without regard to race, 
color,

[[Page 152]]

national origin, gender, age, or disabling condition;
    (8) The quality of the applicant's plan for providing early 
intervention, consultative, and training services for families of 
children with deaf-blindness as described in Sec. 307.11(a)(1)(iii);
    (9) The quality of the applicant's plan to involve parents in the 
development and delivery of appropriate services to their children with 
deaf-blindness; and
    (10) The extent to which services provided for children birth 
through two years of age meet the requirements of part H of the IDEA.
    (c) Quality of key personnel. (10 points) The Secretary reviews each 
application to determine the qualifications of the key personnel the 
applicant plans to use on the project for the provision of services to 
children with deaf-blindness and technical assistance to agencies, 
including--
    (1) The qualifications of the project director;
    (2) The qualifications of each of the other key personnel to be used 
in the project;
    (3) The experience among key personnel referred to in paragraphs 
(c)(1) and (2) of this section, relevant to the provision of quality 
educational services to children with deaf-blindness in less restrictive 
environments.
    (4) The time that each person referred to in paragraphs (c)(1) and 
(2) of this section will commit to the project; and
    (5) How the applicant, as part of its nondiscriminatory employment 
practices, will ensure that its personnel are selected for employment 
without regard to race, color, national origin, gender, age, or 
disabling condition.
    (d) Evaluation plan. (15 points) The Secretary reviews each 
application to determine the quality of the evaluation plan for the 
project including the extent to which the applicant's methods of 
evaluation--
    (1) Are appropriate to the project; and
    (2) To the extent possible, are objective and produce data that are 
quantifiable.
    (Cross-reference: See 34 CFR 75.590 Evaluation by the grantee)
    (e) Budget and cost effectiveness. (10 points) The Secretary reviews 
each application to determine for technical assistance, and direct 
services where appropriate, in each State to be served, the extent to 
which--
    (1) The budgets are adequate to support the activities;
    (2) Costs are reasonable in relation to the objectives of the 
project; and
    (3) Costs reflect--
    (i) The time anticipated to be spent by each staff member for the 
provision of services described under Sec. 307.11(a)(1) and costs for 
contracted and consultative services, travel costs, and other direct 
costs;
    (ii) The time anticipated to be spent by each staff member for the 
provision of technical assistance under Sec. 307.11(a)(2), and costs for 
contracted and consultative services, travel, and other related 
expenditures for technical assistance activities; and
    (iii) The time anticipated to be spent for administrative services.

(Authority: 20 U.S.C. 1422)

    (f) Coordination. (5 points) The Secretary reviews each application 
to determine the adequacy of the applicant's procedures for initiating 
and maintaining coordination in each State to be served with--
    (1) Related activities funded from grants, contracts, and 
cooperative agreements awarded under parts C, D, E, F, and G of the 
IDEA; and
    (2) Relevant agencies, organizations, and institutions having 
responsibility to deliver services to children with deaf-blindness in 
the State, including State education agencies and other service 
providers under parts B and H of the IDEA and section 1221 et seq. of 
title I of the Elementary and Secondary Education Act of 11965.
    (g) Dissemination. (5 points) The Secretary reviews each application 
to determine the adequacy of the applicant's procedures for 
disseminating significant project information within the State(s) to 
providers of services to children with deaf-blindness.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1422)

[54 FR 15311, Apr. 17, 1989, as amended at 56 FR 51585, 51586, Oct. 11, 
1991]

[[Page 153]]



Sec. 307.34  What procedures does the Secretary use if more than one application for an award under Sec. 307.11 proposes to serve the same State?

    If more than one eligible application is received on behalf of any 
State for an award under Sec. 307.11, the Secretary applies the 
selection criteria in Sec. 307.33 and selects the highest ranked 
application for funding.

(Authority: 20 U.S.C. 1422)

[54 FR 15312, Apr. 17, 1989]



Sec. 307.35  What criteria are used to evaluate a technical assistance application under Sec. 307.10, Sec. 307.12, or Sec. 307.13?

    The Secretary uses the following criteria to evaluate an application 
for the provision of technical assistance under Sec. 307.10, 
Sec. 307.12, and Sec. 307.l3. Each application may receive up to a total 
of 100 points:
    (a) Extent of need and expected impact of the project. (25 points) 
The Secretary reviews each application to determine the extent to which 
the project will assist in meeting national needs in the provision of 
services to children with deaf-blindness, including consideration of--
    (1) The extent and importance of the needs addressed by the project;
    (2) The expected benefits to children with deaf-blindness served by 
the project, their parents, and service providers; and
    (3) The national significance of the project in terms of potential 
benefits to children with deaf-blindness who are not directly involved 
in the project.
    (b) Plan of operation. (25 points) The Secretary reviews each 
application to determine the quality of the plan of operation for the 
project, including--
    (1) The quality of the design of the project;
    (2) The extent to which the plan of management is effective and 
ensures proper and efficient administration of the project;
    (3) How well the objectives of the project relate to the purpose of 
the program;
    (4) The quality of the applicant's plan to use its resources and 
personnel to achieve each objective;
    (5) How the applicant will ensure that project participants who are 
otherwise eligible to participate are selected without regard to race, 
color, national origin, gender, age, or disabling condition.
    (c) Quality of key personnel. (15 points) (1) The Secretary reviews 
each application to determine the quality of the key personnel the 
applicant plans to use on the project, including--
    (i) The qualifications of the project director;
    (ii) The qualifications of each of the other key personnel to be 
used in the project;
    (iii) The time that each person referred to in paragraphs (c)(1) (i) 
and (ii) of this section will commit to the project; and
    (iv) How the applicant, as part of its nondiscriminatory employment 
practices, will ensure that its personnel are selected for employment 
without regard to race, color, national origin, gender, age, or 
disabling condition.
    (2) To determine personnel qualifications under paragraphs (c)(1) 
(i) and (ii) of this section, the Secretary considers--
    (i) Experience and training in fields related to the objectives of 
the project; and
    (ii) Any other qualifications that pertain to the quality of the 
project.
    (d) Budget and cost-effectiveness. (10 points) The Secretary reviews 
each application to determine the extent to which--
    (1) The budget is adequate to support the project; and
    (2) Costs are reasonable in relation to the objectives of the 
project.
    (e) Evaluation plan. (15 points) The Secretary reviews each 
application to determine the quality of the evaluation plan for the 
project, including the extent to which the applicant's methods of 
evaluation--
    (1) Are appropriate to the project; and
    (2) To the extent possible, are objective and produce data that are 
quantifiable.
    (Cross-reference: See 34 CFR 75.590 Evaluation by the grantee.)
    (f) Adequacy of resources. (5 points) The Secretary reviews each 
application

[[Page 154]]

to determine the adequacy of the resources that the applicant plans to 
devote to the project, including facilities, equipment, and supplies.
    (g) Dissemination plan. (5 points) The Secretary reviews each 
application to determine the quality of the dissemination plan for the 
project, including the extent to which the applicant's plan--
    (1) Ensures proper and efficient dissemination of project 
information throughout the Nation; and
    (2) Adequately includes the content, intended audiences, and 
timelines for production of all project documents and other products 
that the applicant will disseminate.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1422)

[54 FR 15312, Apr. 17, 1989. Redesignated and amended at 56 FR 51587, 
Oct. 11, 1991]



Sec. 307.36  What criteria are used to evaluate an application for other than technical assistance under Sec. 307.10, or for an application under Sec. 307.14 or 
          Sec. 307.15?

    The Secretary uses the following criteria to evaluate the quality of 
an application submitted under Sec. 307.10 (except for technical 
assistance projects), and under Sec. 307.14 and Sec. 307.15. Each 
applicant may receive up to a total of 100 points.
    (a) Importance and impact. (20 points) (1) The Secretary reviews 
each application to determine the extent to which the proposed project 
addresses concerns in light of the purposes of this part, including--
    (i) The significance of the problem or issues to be addressed;
    (ii) The extent to which the project is based on previous results, 
research and evaluation findings, or other information related to the 
problem or issue;
    (iii) The contribution that project findings or products will make 
to current knowledge and practice; and
    (iv) The extent to which findings, information, or products of the 
project will be designed to promote their adaptation by and usefulness 
to others in conducting related projects.
    (2) In determining the extent of the importance and impact of the 
application, the Secretary also considers the relevance of proposed 
activities in addressing the unique needs of children targeted by the 
project.
    (3) In determining the importance and impact of the application the 
Secretary considers the extent to which the project addresses the unique 
needs of children with disabilities from minority backgrounds.
    (b) Technical soundness. (1) The Secretary reviews each application 
to determine the technical soundness of the project, including--
    (i) The quality of the design of the project;
    (ii) The proposed sample or target population, including the numbers 
of participants involved and methods that will be used by the applicant 
to ensure that participants who are otherwise eligible to participate 
are selected without regard to race, color, national origin, gender, or 
disabling conditions; and
    (iii) The anticipated outcomes.
    (2) In determining the technical soundness of an application, the 
Secretary also considers--
    (i) For pilot projects under Sec. 307.14--
    (A) The correlation with and relevance to the activities under 
Sec. 307.11 for a State or multi-State project; and
    (B) The extent to which practices of the pilot project can be 
adopted in other settings within the State;
    (ii) For the clearinghouse project under Sec. 307.15--
    (A) The extent to which the applicant evidences awareness of the 
magnitude and importance of effective public awareness, the existence of 
already existing materials and resources available to meet general and 
specific educator and consumer needs, and gaps in the bank of resources 
and materials to meet those needs;
    (B) The quality of the information retrieval, assimilation, revision 
and dissemination systems that the applicant will utilize in meeting 
general requests of the public as well as the specific needs of 
educators, administrators, and consumers; and
    (C) The adequacy of project procedures for addressing, through 
products and outreach procedures, the unique needs of users from 
traditionally underrepresented groups;

[[Page 155]]

    (iii) For research projects--
    (A) The comprehensiveness of the review of research to the problem 
or issues to be addressed by the project and to the nature of the 
population to be included in the project;
    (B) The theoretical soundness of the conceptual framework and 
research hypotheses upon which the research is to be conducted;
    (C) The appropriateness of the data analysis, procedures, and 
instrumentation;
    (D) The effectiveness of the research design in testing the research 
hypotheses; and
    (E) How the anticipated research results can be utilized in 
subsequent research or demonstration projects, if applicable;
    (iv) For model development, improvement, or demonstration projects--
    (A) The extent to which the project is focused on the development or 
adaptation of innovative educational practices;
    (B) The nature and extent to which the proposed practices to be 
included in the model demonstration have been identified and validated 
through prior research or related model developmental efforts with the 
same or similar target populations;
    (C) The extent to which the practices to be demonstrated promote the 
integration of children with deaf-blindness with peers who are not 
disabled in least-restrictive environments; and
    (D) The extent to which the project will develop materials and 
procedures that can be used by others to implement the model;
    (v) For replication, outreach, or utilization projects--
    (A) The nature and extent to which the practices to be disseminated 
through outreach strategies have been validated for effectiveness;
    (B) The extent to which the practices to be replicated or utilized 
promote the integration of children with deaf-blindness with peers who 
are not disabled in least-restrictive environments; and
    (C) The extent to which the practices to be replicated or utilized 
are economically feasible for other nonfederally supported replications, 
and lend themselves for adaptations with other relevant populations.
    (vi) For preservice or inservice training projects--
    (A) If appropriate, the degree to which the proposed activities 
relate to and are coordinated with specific training needs identified by 
the State educational agency under part B and State lead agency under 
part H in its Comprehensive System of Personnel Development plan;
    (B) The extent to which the training will result in certification, 
recertification or licensure for participants completing the training;
    (C) The extent to which the curriculum is theoretically sound, 
incorporates validated effective practices, is appropriate in scope and 
sequence, incorporates appropriate practicum experiences, and can be 
used by others to train personnel with similar training needs;
    (D) The quality of the practicum training sites--school, group home, 
supported living, and other settings where children with deaf-blindness 
are found--including evidence that they are sufficiently available, 
apply state-of-the-art services and model teaching practices, materials 
and technology, provide adequate supervision to trainees, and offer 
opportunities for trainees to teach and foster interactions between 
children with disabilities and their peers who are not disabled; and
    (E) The extent to which training addresses the needs of a range of 
children including children with disabilities from minority backgrounds; 
and
    (vii) For parent involvement projects--
    (A) The extent to which the project will address specific needs and 
interests of parents of children with deaf-blindness upon which the 
project is focused;
    (B) The extent to which the project promotes the active involvement 
of parents of children with deaf-blindness in the design, 
implementation, and on-going review of the educational and related 
services to be provided to their children with deaf-blindness for which 
the project is to provide benefit; and
    (C) The extent to which the project is designed to meet the unique 
needs of parents of children with deaf-blindness from minority 
backgrounds.

[[Page 156]]

    (3) The maximum possible score awarded under this criterion is 
indicated in parentheses by the type of project proposed, as follows:
    (i) For pilot projects (15 points).
    (ii) For the clearinghouse project under Sec. 307.15 (10 points).
    (iii) For research projects (30 points).
    (iv) For development, improvement, demonstration, or other projects 
(20 points).
    (v) For replication, outreach, or utilization projects (15 points).
    (vi) For preservice or inservice training projects (15 points).
    (vii) For parent involvement projects (15 points).
    (c) Plan of operation. (1) The Secretary reviews each application to 
determine the quality of the plan of operation for the project, 
including--
    (i) The extent to which the plan of management is effective for the 
type of project proposed and ensures proper and efficient administration 
of the project;
    (ii) The adequacy of the applicant's resources and plan for use of 
resources and personnel to achieve project objectives;
    (iii) How the budget proposed by the applicant is adequate to 
support the activities and that the costs are reasonable in relation to 
the objectives of the project;
    (iv) The adequacy of the applicant's procedures for initiating and 
maintaining coordination with relevant State, local and professional 
organizations and agencies, for the purpose of furthering achievement of 
the project objectives;
    (v) The adequacy of the applicant's plan to involve project 
participants with disabilities and, as appropriate, their family members 
in the development, implementation, and on-going review of project 
outcomes; and
    (vi) The adequacy of the applicant's plan to determine the 
effectiveness and timeliness in completion of the managerial procedures 
and objectives of the project's plan of operation.
    (2) The maximum possible score awarded under this criterion is 
indicated in parentheses by the type of project proposed, as follows:
    (i) For pilot projects (30 points).
    (ii) For the clearinghouse project under Sec. 307.15 (35 points).
    (iii) For research projects (15 points).
    (iv) For development, improvement, demonstration, or other projects 
(25 points).
    (v) For replication, outreach, or utilization projects (30 points).
    (vi) For preservice or inservice training projects (30 points).
    (vii) For parent involvement projects (30 points).
    (d) Key personnel. (20 points) (1) The Secretary reviews each 
application to determine the qualifications of the key personnel the 
applicant plans to use on the project, including--
    (i) The qualifications of the project director or principal 
investigator;
    (ii) The qualifications of each of the other key personnel to be 
used in the project;
    (iii) The time that each person referred to in paragraphs (d)(1) (i) 
and (ii) of this section will commit to the project; and
    (iv) Strategies of the applicant to identify and recruit personnel 
with disabilities or from traditionally underrepresented groups.
    (2) In determining the qualifications of each person referred to in 
paragraphs (d)(1) (i) and (ii) the Secretary also considers--
    (i) Experience and training in conducting, documenting, and applying 
the types of activities to be conducted; and
    (ii) Knowledge of the results and findings of relevant projects and 
potential for application of this information in addressing the unique 
needs of the children with deaf-blindness to be included in the project.
    (e) Evaluation. (15 points) (1) The Secretary reviews each 
application to determine the quality of the plan for evaluating the 
project, including--
    (i) The adequacy of the applicant's plan to determine, to the extent 
relevant, the effectiveness of the project in achieving measurable 
change and positive outcomes for children with deaf-blindness who were 
served by the project and others for whom the project was designed to 
benefit;
    (ii) The adequacy of the applicant's plan to determine the 
effectiveness and

[[Page 157]]

timeliness in completion of the managerial procedures and objectives of 
the project's plan of operation; and
    (iii) The procedures for recording, reviewing, analyzing, and 
interpreting for relevant audiences, data generated through conducting 
project activities.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1422)

[56 FR 51587, Oct. 11, 1991]



Sec. 307.37  What additional consideration will be given by the Secretary in carrying out this part?

    In carrying out this part, the Secretary takes into consideration 
the availability and quality of existing services for children with 
deaf-blindness in the country, and, to the extent practicable, ensures 
that all parts of the country have an opportunity to receive assistance 
under this part.

(Authority: 20 U.S.C. 1422)

[56 FR 51589, Oct. 11, 1991]



Secs. 307.38--307.39  [Reserved]



 Subpart E--What Conditions Must Be Met by a Grantee Under This Program?



Sec. 307.40  [Reserved]



Sec. 307.41  What advisory committees are to be established under this program?

    Each grantee under this part shall establish and maintain an 
advisory committee for the project. Each committee must include at least 
one parent of a child or youth with deaf-blindness, a representative of 
the State educational agency in the State in which the grantee is 
located, a limited number of professionals with training and experience 
in serving children with deaf-blindness, and other individuals 
representing related agencies and organizations. These committees may 
participate in such activities as--
    (a) Planning, development, and operation of the project; and
    (b) Dissemination of information regarding the project's activities.

(Authority: 20 U.S.C. 1422)

[49 FR 28364, July 11, 1984, as amended at 56 FR 51585, 51589, Oct. 11, 
1991]



Sec. 307.42  What other conditions must be met by a grantee under this program?

    (a) The Secretary, if appropriate, requires grantees to prepare 
reports describing their procedures, findings, and other relevant 
information in a form that will maximize the dissemination and use of 
those procedures, findings, and information.
    (b) The Secretary requires delivery of those reports, as 
appropriate, to--
    (1) The regional and Federal resource centers, the clearinghouses, 
and the technical assistance to parents assisted under parts C and D of 
the Act;
    (2) The National Diffusion Network;
    (3) The ERIC Clearinghouse on the Handicapped and Gifted;
    (4) The Child and Adolescent Service Systems Program (CASSP) under 
the National Institute of Mental Health;
    (5) Appropriate parent and professional organizations;
    (6) Organizations representing individuals with disabilities; and
    (7) Such other networks as the Secretary may determine to be 
appropriate.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1410(g))

[56 FR 51589, Oct. 11, 1991]



Secs. 307.43--307.49  [Reserved]



PART 309--EARLY EDUCATION PROGRAM FOR CHILDREN WITH DISABILITIES--Table of Contents




                           Subpart A--General

Sec.
309.1  What is the Early Education Program for Children with 
          Disabilities (EEPCD)?
309.2  Who is eligible for an award?
309.3  What activities may the Secretary fund?
309.4  What regulations apply to this program?
309.5  What definitions apply to this program?

[[Page 158]]

               Subpart B--How Does One Apply for an Award?

309.10  What separate applications must an applicant submit?
309.11  How does the Secretary select and announce funding priorities 
          under this program?

            Subpart C--How Does the Secretary Make an Award?

309.20  How does the Secretary evaluate an application?
309.21  What selection criteria does the Secretary use?
309.22  Are awards for experimental, demonstration, outreach, and 
          statewide data systems projects geographically dispersed?

 Subpart D--What Conditions Must Be Met After an Award by Experimental, 
    Demonstration, Technical Assistance, Statewide Data Systems, and 
                           Outreach Projects?

309.30  What conditions must be met by recipients of experimental, 
          demonstration, and outreach projects?
309.31  What are the matching requirements for experimental, 
          demonstration, and outreach projects?
309.32  What are the requirements for technical assistance projects?
309.33  What conditions must be met by recipients of statewide data 
          systems projects?
309.34  What other conditions must be met by grantees under this 
          program?

    Authority: 20 U.S.C. 1423, unless otherwise noted.

    Source: 52 FR 29817, Aug. 11, 1987, unless otherwise noted.

    Effective Date Note:  At 63 FR 23601, Apr. 29, 1998, part 309 was 
removed, effective Oct. 1, 1998.



                           Subpart A--General



Sec. 309.1  What is the Early Education Program for Children with Disabilities (EEPCD)?

    The EEPCD supports activities that are designed--
    (a) To address the special needs of children with disabilities, 
birth through age eight, and their families; and
    (b) To assist State and local entities in expanding and improving 
programs and services for these children and their families.

(Authority: 20 U.S.C. 1423)

[52 FR 29817, Aug. 11, 1987, as amended at 56 FR 54690, Oct. 22, 1991]



Sec. 309.2  Who is eligible for an award?

    (a)(1) Public agencies and nonprofit private organizations are 
eligible for a grant or cooperative agreement under Sec. 309.3 (a) 
through (h).
    (2) Profit-making organizations are also eligible under Sec. 309.3 
(e) and (f).
    (b) States are eligible for grants or cooperative agreements under 
Sec. 309.3(i).

(Authority: 20 U.S.C. 1423)

[57 FR 28965, June 29, 1992]



Sec. 309.3  What activities may the Secretary fund?

    The Secretary may provide financial assistance in the form of a 
contract grant or cooperative agreement under this part to support the 
following activities:
    (a) Experimental projects. These projects support the design of 
investigative models that compare alternative and innovative practices 
related to early intervention, preschool, and early education services 
for children with disabilities and their families.
    (b) Demonstration projects. These projects assist in developing and 
implementing preschool and early intervention program practices that 
establish specific strategics and products worthy of dissemination and 
replication.
    (c) Outreach projects. These projects support the replication of 
established practices to assist other agencies and organizations in 
expanding and improving services to children with disabilities and their 
families.
    (d) Research institutes. These institutes are designed to carry on 
sustained research to generate and disseminate new information on 
preschool and early intervention programs.
    (e) Research projects. These projects are designed to identify and 
meet the full range of special needs of children covered under this 
part.
    (f) Training projects. These projects support the training of 
personnel for

[[Page 159]]

programs specifically designed for children with disabilities, including 
programs to integrate children with disabilities into regular preschool 
programs.
    (g) Technical assistance development system. This system assists 
entities operating experimental, demonstration, and outreach programs 
and assists State agencies to expand and improve services to children 
with disabilities.
    (h) Synthesis projects. These projects synthesize the knowledge 
developed under this part and organize, integrate, and present the 
knowledge so it can be incorporated and imparted to parents, 
professionals, and others providing or preparing to provide preschool or 
early intervention services and to persons designing preschool or early 
intervention programs.
    (i) Statewide data systems projects. These projects establish an 
inter-agency, multi-disciplinary, and coordinated statewide system for 
the identification, tracking, and referral to appropriate services of 
all categories of children who are biologically or environmentally at 
risk of having developmental delays.

(Authority: 20 U.S.C. 1423)

[52 FR 29817, Aug. 11, 1987, as amended at 56 FR 54690, Oct. 22, 1991; 
57 FR 28965, June 29, 1992]



Sec. 309.4  What regulations apply to this program?

    The following regulations apply to grants and cooperative agreements 
under this program:
    (a) The Education Department General Administrative Regulations 
(EDGAR) established in title 34 of the Code of Federal Regulations in--
    (1) Part 74 (Administration of Grants to Institutions of Higher 
Education, Hospitals, and Nonprofit Organizations);
    (2) Part 75 (Direct Grant Programs);
    (3) Part 77 (Definitions that Apply to Department Regulations);
    (4) Part 79 (Intergovernmental Review of Department of Education 
Programs and Activities);
    (5) Part 80 (Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments);
    (6) Part 81 (General Education Provisions Act--Enforcement);
    (7) Part 82 (New Restrictions on Lobbying);
    (8) Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace 
(Grants)); and
    (9) Part 86 (Drug-Free Schools and Campuses)
    (b) The regulations in this part 309.

(Authority: 20 U.S.C. 1423)

[52 FR 29817, Aug. 11, 1987, as amended at 56 FR 54690, Oct. 22, 1991]



Sec. 309.5  What definitions apply to this program?

    (a) Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:

    Applicant
    Application
    Award
    Contract
    Department
    EDGAR
    Fiscal year
    Grant
    Local educational agency
    Nonprofit
    Nonpublic
    Private
    Project
    Public
    Secretary
    State
    State educational agency

    (b) Definitions in 34 CFR part 300. The following terms used in this 
part are defined in 34 CFR part 300. The section of part 300 that 
contains the definition is given in parentheses:

    Include (Sec. 300.6)
    Parent (Sec. 300.10)
    Related services (Sec. 300.13)
    Special education (Sec. 300.14)

    (c) Other definitions. The following definitions also apply to this 
part.
    Act. As used in this part, Act means the Individuals with 
Disabilities Education Act.
    Children with disabilities. (1) As used in this part, children with 
disabilities means those children from birth through age eight--
    (i) With mental retardation, hearing impairments including deafness, 
speech

[[Page 160]]

or language impairments, visual impairments including blindness, serious 
emotional disturbance, orthopedic impairments, autism, traumatic brain 
injury, other health impairments, or specific learning disabilities; and
    (ii) Who, because of those impairments, need special education and 
related services.
    (2) The term includes infants and toddlers, birth through age two, 
who need early intervention services because they--
    (i) Are experiencing developmental delays, as measured by 
appropriate diagnostic instruments and procedures, in one or more of the 
following areas: Cognitive development, physical development including 
vision and hearing, language and speech development, psychosocial 
development, or self-help skills, or
    (ii) Have a diagnosed physical or mental condition that has a high 
probability of resulting in developmental delay.
    (3) The term also includes individuals from birth through age two 
who are at risk of having substantial developmental delays if early 
intervention services are not provided.
    (4) For children aged three to five, inclusive, the term may, at a 
State's discretion, include children--
    (i) Who are experiencing developmental delays, as defined by the 
State and as measured by appropriate diagnostic instruments and 
procedures, in one or more of the following areas; Physical development, 
cognitive development, communication development, social or emotional 
development, or adaptive development; and
    (ii) Who, for that reason, need special education and related 
services.

(Authority: 20 U.S.C. 1401(a)(1); 20 U.S.C. 1423(a)(1); 20 U.S.C. 
1472(1))

[52 FR 29817, Aug. 11, 1987, as amended at 56 FR 54691, Oct. 22, 1991; 
57 FR 28965, June 29, 1992]



               Supart B--How Does One Apply for an Award?



Sec. 309.10  What separate applications must an applicant submit?

    Applicants for assistance under this part must submit a separate 
application for each activity in Sec. 309.3 that is announced for 
competition.

(Authority: 20 U.S.C. 1423)



Sec. 309.11  How does the Secretary select and announce funding priorities under the program?

    The Secretary may establish as a priority any activity in 
Sec. 309.3.

(Authority: 20 U.S.C. 1423)



            Subpart C--How Does the Secretary Make an Award?



Sec. 309.20  How does the Secretary evaluate an application?

    (a) The Secretary evaluates an application under this part on the 
basis of the criteria in Sec. 309.21.
    (b) The Secretary awards up 100 points for these criteria.
    (c) The maximum possible score for each criterion is indicated in 
parentheses.

(Authority: 20 U.S.C. 1423)



Sec. 309.21  What selection criteria does the Secretary use?

    The Secretary uses the following criteria to evaluate applications 
unless, with regard to training projects, he determines that the 
selection criteria in 34 CFR part 318 are more appropriate:
    (a) Importance. (15 points) (1) The Secretary reviews each 
application to determine the extent to which the proposed project 
addresses concerns in light of the purposes of this part.
    (2) The Secretary considers--
    (i) The significance of the problem or issue to be addressed;
    (ii) The extent to which the project is based on previous research 
findings related to the problem or issue;
    (iii) The numbers of individuals who will benefit; and
    (iv) How the project wil address the identified problem or issue.
    (b) Impact. (15 points) (1) The Secretary reviews each application 
to determine the probable impact of the proposed project in meeting the 
needs of children with disabilities, birth through age eight, and their 
families.
    (2) The Secretary considers--
    (i) The contribution that project findings or products will make to 
current knowledge and practice;

[[Page 161]]

    (ii) The methods used for dissemination of project findings or 
products to appropriate target audiences; and
    (iii) The extent to which findings or products are replicable, if 
appropriate.
    (c) Technical soundness. (35 points) (1) The Secretary reviews each 
application to determine the technical soundness of the project plan.
    (2) In reviewing applications under this part, the Secretary 
considers--
    (i) The quality of the design of the project;
    (ii) The proposed sample or target population, including the numbers 
of participants involved and methods that will be used by the applicant 
to ensure that participants who are otherwise eligible to participate 
are selected without regard to race, color, national origin, gender, 
age, or disability;
    (iii) The methods and procedures used to implement the design, 
including instrumentation and data analysis; and
    (iv) The anticipated outcomes.
    (3) With respect to training projects in applying the criterion in 
paragraph (c)(2)(iii) of this section, the Secretary considers--
    (i) The curriculum, course sequence, and practice leading to 
specific competencies; and
    (ii) The relationship of the project to the comprehensive system of 
personnel development plans required by parts B and H of the Act, and 
State licensure or certification standards.
    (4) In addition to the criteria in paragraph (c)(2) of this section, 
the Secretary, in reviewing outreach projects, also considers--
    (i) The agencies to be served through outreach activities;
    (ii) The current services, their location, and anticipated impact of 
outreach assistance for each of those agencies;
    (iii) The model demonstration project upon which the outreach 
project is based, including the effectiveness of the model program with 
children, families, or other recipients of project services; and
    (iv) The likelihood that the demonstration project will be continued 
and supported by funds other that those available through this part.
    (d) Plan of operation. (10 points) (1) The Secretary reviews each 
application to determine the quality of the plan of operation for the 
project.
    (2) The Secretary considers--
    (i) The extent to which the management plan will ensure proper and 
efficient administration of the project:
    (ii) Clarity in the goals and objectives of the project;
    (iii) The quality of the activities proposed to accomplish the goals 
and objectives;
    (iv) The adequacy of proposed timeliness for accomplishing those 
activities; and
    (v) Effectiveness in the ways in which the applicant plans to use 
the resources and personnel to accomplish the goals and objectives.
    (e) Evaluation plan. (5 points) (1) The Secretary reviews each 
application to determine the quality of the plan for evaluating project 
goals, objectives, and activities.
    (2) The Secretary considers the extent to which the methods of 
evaluation are appropriate and produce objectives and quantifiable data.
    (f) Quality of key personnel. (10 points) (1) The Secretary reviews 
each application to determine the qualifications of the key personnel 
the applicant plans to use.
    (2) The Secretary considers--
    (i) The qualifications of the project director and project 
coordinator (if one is used);
    (ii) The qualifications of each of the other key project personnel;
    (iii) The time that each person referred to in paragraphs (f)(2) (i) 
and (ii) of this section will commit to the project; and
    (iv) How the applicant will ensure that personnel are selected for 
employment without regard to race, color, national origin, gender, age, 
or disability.
    (3) The Secretary considers experience and training in areas related 
to project goals to determine qualifications of key personnel.
    (g) Adequacy of resources. (5 points) (1) The Secretary reviews each 
application to determine adequacy of resources allocated to the project.

[[Page 162]]

    (2) The Secretary considers the adequacy of the facilities and the 
equipment and supplies that the applicant plans to use.
    (h) Budget and cost-effectiveness. (5 points) (1) The Secretary 
reviews each application to determine if the project has an adequate 
budget.
    (2) The Secretary considers the extent to which--
    (i) The budget for the project is adequate to undertake project 
activities; and
    (ii) Costs are reasonable in relation to objectives of the project.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1423)

[52 FR 29817, Aug. 11, 1987, as amended at 53 FR 49145, Dec. 6, 1988; 56 
FR 54691, Oct. 22, 1991]



Sec. 309.22  Are awards for experimental, demonstration, outreach, and statewide data systems projects geographically dispersed?

    To the extent feasible, the Secretary, in addition to using the 
selection criteria in Sec. 309.21, geographically disperses awards for 
experimental, demonstration, outreach, and statewide data systems 
projects throughout the Nation in urban and rural areas.

(Authority: 20 U.S.C. 1423(a)(3))

[57 FR 28965, June 29, 1992]



 Subpart D--What Conditions Must Be Met After an Award by Experimental, 
    Demonstration, Technical Assistance, Statewide Data Systems, and 
                           Outreach Projects?



Sec. 309.30  What conditions must be met by recipients of experimental, demonstration, and outreach projects?

    (a) Experimental, demonstration, and outreach projects must include 
services and activities that are designed to--
    (1) Facilitate the intellectual, emotional, physical, mental, 
social, speech or other communication mode, language development, and 
self-help skills of children with disabilities;
    (2) Provide family education and include a parent or their 
representative, as well as encourage the participation of parents of 
children with disabilities, in the development and operation of projects 
under this section;
    (3) Acquaint the community in which the project is located with the 
special needs and potentialities of children with disabilities;
    (4) Offer training about exemplary models and practices, including 
interdisciplinary models and practices, to State and local personnel who 
provide services to children with disabilities, and to the parents of 
these children;
    (5) Support the adoption of exemplary models and practices in States 
and local communities, including the involvement of adult role models 
with disabilities at all levels of the program;
    (6) Facilitate and improve the early identification of infants and 
toddlers with disabilities or those infants and toddlers at risk of 
having developmental disabilities;
    (7) Facilitate the transition of infants with disabilities or 
infants at risk of having developmental delays, from medical care to 
early intervention services, and the transition from early intervention 
services to preschool special education or regular education services 
(especially where the lead agency for early intervention services under 
part H of the Act is not the State educational agency);
    (8) Promote the use of assistive technology devices and assistive 
technology services, if appropriate, to enhance the development of 
infants and toddlers with disabilities;
    (9) Increase the understanding of, and address, the early 
intervention and preschool needs of children exposed prenatally to 
maternal substance abuse;
    (10) Facilitate and improve outreach to low-income, minority, rural, 
and other underserved populations eligible for assistance under parts B 
and H of the Act; and
    (11) Support statewide projects, in conjunction with a State's 
application under part H of the Act and a State's plan under part B or 
the Act, to change the delivery of early intervention services to 
infants and toddlers with disabilities, and to change the delivery of 
special education and related services to preschool children with 
disabilities, from segregated to integrated environments.

[[Page 163]]

    (b) Experimental, demonstration, and outreach projects must be 
coordinated with State and local educational agencies, and appropriate 
public and private health and social service agencies, in order to--
    (1) Inform those agencies of the nature and purposes of the assisted 
project's activities or services; and
    (2) Provide opportunities for the project staff to coordinate their 
activities with staff of other agencies.

(Authority: 20 U.S.C. 1423(a) (1), (2))

[52 FR 29817, Aug. 11, 1987, as amended at 56 FR 54691, Oct. 22, 1991; 
57 FR 28966, June 29, 1992]



Sec. 309.31  What are the matching requirements for experimental, demonstration, and outreach projects?

    (a) Federal financial participation for an experimental, 
demonstration, or outreach project may not exceed 90 percent of the 
total annual costs of development, operation, and evaluation of the 
project.
    (b) The Secretary may waive the matching requirement in paragraph 
(a) of this section in the case of an arrangement entered into with 
governing bodies of Indian tribes located on Federal or State 
reservations and with consortia of those bodies if they are able to 
demonstrate that insufficient resources are available.

(Authority: 20 U.S.C. 1423(a)(4))



Sec. 309.32  What are the requirements for technical assistance projects?

    (a) The technical assistance development system shall provide 
assistance to parents of and advocates for infants, toddlers, and 
children with disabilities, as well as direct service and administrative 
personnel involved with these children, including assistance to part H 
State agencies on procedures for use by primary referral sources in 
referring a child to the appropriate agency within the system for 
evaluation, assessment, or service.
    (b) Information from the system should be aggressively disseminated 
through established information networks and other mechanisms to ensure 
both an impact and benefits at the community level.

(Authority: 20 U.S.C. 1423(b))

[56 FR 54691, Oct. 22, 1991]



Sec. 309.33  What conditions must be met by recipients of statewide data systems projects?

    Recipients of statewide data systems projects shall--
    (a) Create a data system within the first year to document the 
numbers and types of at-risk children in the State and to develop 
linkages with all appropriate existing child data and tracking systems 
that assist in providing information;
    (b) Coordinate activities with the child find component required 
under parts B and H of the Act;
    (c) Demonstrate the involvement of the lead agency and the State 
interagency coordinating council under part H of the Act as well as the 
State educational agency under part B of the Act;
    (d) Coordinate with other relevant prevention activities across 
appropriate service agencies, organizations, councils, and commissions;
    (e) Define an appropriate service delivery system based on children 
with various types of at-risk factors; and
    (f) Document the need for additional services as well as barriers.

(Authority: 20 U.S.C. 1423(b))

[57 FR 28966, June 29, 1992]



Sec. 309.34  What other conditions must be met by grantees under this program?

    Grantees shall, if appropriate, prepare reports describing their 
procedures, findings, and other relevant information in a form that will 
maximize the dissemination and use of such procedures, findings, and 
information. The Secretary shall require their delivery, as appropriate, 
to the Regional and Federal Resource Centers, the Clearinghouses, and 
the Technical Assistance to Parents Program (TAPP) assisted under parts 
C and D of the Act, as well as the National Diffusion Network, the ERIC 
Clearinghouse on the Handicapped and Gifted, and the Child

[[Page 164]]

and Adolescent Service Systems Program (CASSP) under the National 
Institute of Mental Health, appropriate parent and professional 
organizations, organizations representing individuals with disabilities, 
and such other networks as the Secretary may determine to be 
appropriate.

(Authority: 20 U.S.C. 1409(g))


(Approved by the Office of Management and Budget under control number 
1820-0028)

[56 FR 54691, Oct. 22, 1991, as amended at 57 FR 14314, Apr. 17, 1992. 
Redesignated at 57 FR 28966, June 29, 1992]



PART 315--PROGRAM FOR CHILDREN WITH SEVERE DISABILITIES--Table of Contents




                           Subpart A--General

Sec.
315.1  What is the Program for Children with Severe Disabilities?
315.2  Who is eligible to apply for a grant under this program?
315.3  What regulations apply to this program?
315.4  What definitions apply to this program?
315.5--315.9  [Reserved]

 Subpart B--What Kinds of Projects Does the Secretary Assist Under This 
                                Program?

315.10  What types of activities are considered for support by the 
          Secretary under this part?
315.11  What types of research activities are considered for support by 
          the Secretary under this part?
315.12  What types of development or demonstration activities are 
          considered for support by the Secretary under this part?
315.13  What types of training activities are considered for support by 
          the Secretary under this part?
315.14  What types of dissemination activities are considered for 
          support by the Secretary under this part?
315.15--315.19  [Reserved]

                          Subpart C  [Reserved]

             Subpart D--How Does the Secretary Make a Grant?

315.30  How does the Secretary select and announce funding priorities 
          under this program?
315.31  How does the Secretary evaluate an application?
315.32  What are the selection criteria used to award a research grant?
315.33  What are the selection criteria used to award a grant for a 
          demonstration, training, or dissemination project?
315.34  What other factors are considered by the Secretary in making a 
          grant?
315.35--315.39  [Reserved]

 Subpart E--What Conditions Must Be Met by a Grantee Under This Program?

315.40  What coordination requirement(s) must be met by a grantee?
315.41  What other conditions must be met by grantees under this 
          program?
315.42--305.49  [Reserved]

    Authority: 20 U.S.C. 1424, unless otherwise noted.

    Source: 49 FR 28021, July 9, 1984, unless otherwise noted.

    Effective Date Note:  At 63 FR 23601, Apr. 29, 1998, part 315 was 
removed, effective Oct. 1, 1998.



                           Subpart A--General



Sec. 315.1  What is the Program for Children with Severe Disabilities?

    This program supports research, development or demonstration, 
training, and dissemination activities that, consistent with the purpose 
of part C of the Individuals with Disabilities Education Act, meet the 
unique educational needs of infants, toddlers, children, and youth with 
severe disabilities.

(Authority: 20 U.S.C. 1424)

[56 FR 54692, Oct. 22, 1991]



Sec. 315.2  Who is eligible to apply for a grant under this program?

    Any public or private, profit or nonprofit, organization or 
institution may apply for a grant under this program.

(Authority: 20 U.S.C. 1424)



Sec. 315.3  What regulations apply to this program?

    The following regulations apply to this program:
    (a) The regulations in this part 315.
    (b) The Education Department General Administrative Regulations 
(EDGAR) established in title 34 of the Code of Federal Regulations in--
    (1) Part 74 (Administration of Grants to Institutions of Higher 
Education, Hospitals and Nonprofit Organizations);

[[Page 165]]

    (2) Part 75 (Direct Grant Programs);
    (3) Part 77 (Definitions that Apply to Department Regulations);
    (4) Part 79 (Intergovernmental Review of Department of Education 
Programs and Activities);
    (5) Part 80 (Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments);
    (6) Part 81 (General Education Provisions Act--Enforcement);
    (7) Part 82 (New Restrictions on Lobbying);
    (8) Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace 
(Grants)); and
    (9) Part 86 (Drug-Free Schools and Campuses).

(Authority: 20 U.S.C. 1424; 20 U.S.C. 3474(a))

[49 FR 28021, July 9, 1984, as amended at 55 FR 21714, May 25, 1990; 56 
FR 54692, Oct. 22, 1991]



Sec. 315.4  What definitions apply to this program?

    (a) Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:

    Applicant
    Application
    Award
    EDGAR
    Fiscal year
    Grant
    Grantee
    Nonprofit
    Preschool
    Private
    Project
    Public
    Recipient
    Secretary
    State

(Authority: 20 U.S.C. 1424; 20 U.S.C. 3474(a))

    (b) Definition in 34 CFR part 300. The term parent as used in this 
part is defined in 34 CFR 300.10.
    (c) Children with disabilities. (1) The term children with 
disabilities as used in this part means those children--
    (i) With mental retardation, hearing impairments including deafness, 
speech or language impairments, visual impairments including blindness, 
serious emotional disturbance, orthopedic impairments, autism, traumatic 
brain injury, other health impairments, or specific learning 
disabilities; and
    (ii) Who, for that reason, need special education and related 
services.
    (2) The term includes infants and toddlers, birth through age two, 
who need early intervention services because they--
    (i) Are experiencing developmental delays, as measured by 
appropriate diagnostic instruments and procedures, in one or more of the 
following areas: Cognitive development, physical development including 
vision and hearing, language and speech development, psychosocial 
development, or self-help skills; or
    (ii) Have a diagnosed physical or mental condition that has a high 
probability of resulting in developmental delay.
    (3) The term includes, at a State's discretion, individuals from 
birth through age two who are at risk of having substantial 
developmental delays if early intervention services are not provided.
    (4) For children aged three to five, inclusive, the term may, at a 
State's discretion, include children--
    (i) Who are experiencing developmental delays, as defined by the 
State and as measured by appropriate diagnostic instruments and 
procedures, in one or more of the following areas: physical development, 
cognitive development, communication development, social or emotional 
development, or adaptive development; and
    (ii) Who, for that reason, need special education and related 
services.
    (d) Children with severe disabilities. (1) As used in this part, the 
term children with severe disabilities refers to children with 
disabilities who, because of the intensity of their physical, mental, or 
emotional problems, need highly specialized education, social, 
psychological, and medical services in order to maximize their full 
potential for useful and meaningful participation in society and for 
self-fulfillment.
    (2) The term includes those children with disabilities with severe 
emotional disturbance (including schizophrenia), autism, severe and 
profound mental retardation, and those who have two or more serious 
disabilities such as deaf-blindness, mental retardation and

[[Page 166]]

blindness, and cerebral-palsy and deafness.
    (3) Children with severe disabilities--
    (i) May experience severe speech, language, and/or perceptual-
cognitive deprivations, and evidence abnormal behaviors such as--
    (A) Failure to respond to pronounced social stimuli;
    (B) Self-multilation;
    (C) Self-stimulation;
    (D) Manifestation of intense and prolonged temper tantrums; and
    (E) The absence of rudimentary forms of verbal control; and
    (ii) May also have extremely fragile physiological conditions.

(Authority: 20 U.S.C. 1424)

[49 FR 28021, July 9, 1984, as amended at 56 FR 54692, Oct. 22, 1991; 57 
FR 28966, June 29, 1992]



Secs. 315.5--315.9  [Reserved]



 Subpart B--What Kinds of Projects Does the Secretary Assist Under This 
                                Program?



Sec. 315.10  What types of activities are considered for support by the Secretary under this part?

    The Secretary may provide financial assistance under this part to 
support the following activities:
    (a) Research to identify and meet the full range of special 
education, related services and early intervention needs (including 
transportation to and from school) of children with severe disabilities, 
described in Sec. 315.11.
    (b) The development or demonstration of new, or improvements in 
existing, methods, approaches, or techniques which would contribute to 
the adjustment and education of children with severe disabilities, as 
described in Sec. 315.12.
    (c) Training of special and regular education, related services, and 
early intervention personnel engaged or preparing to engage in programs 
specifically designed for children with severe disabilities, including 
training of regular teachers, instructors, and administrators in 
strategies for serving children with disabilities that include 
integrated settings for educating children with severe disabilities 
along with their nondisabled peers, as described in Sec. 315.13.
    (d) Dissemination of materials and information about practices found 
effective in working with children with severe disabilities, as 
described in Sec. 315.14.

(Authority: 20 U.S.C. 1424)

    (e) Statewide projects in conjunction with the State's plan under 
part B, to improve the quality of special education and related services 
for children with severe disabilities, and to change the delivery of 
those services from segregated to integrated environments.
    (f) Development and operation of extended school year demonstration 
projects for children with severe disabilities.
[49 FR 28021, July 9, 1984, as amended at 52 FR 31958, Aug. 24, 1987; 56 
FR 54691, 54692, Oct. 22, 1991]



Sec. 315.11  What types of research activities are considered for support by the Secretary under this part?

    (a) The Secretary may provide financial assistance under this part 
for the following research activities:
    (1) Research to identify and meet the full range of special 
education, related services and early intervention needs (including 
transportation to and from school) of children with severe disabilities.
    (2) Research to identify and meet the instructional or counseling 
needs of parents, professionals, and others involved in the provision of 
services to children with severe disabilities, for the purpose of 
facilitating the delivery and improving the quality of these services.
    (b) Each application for assistance under this part must--
    (1) Specifically describe and justify the research activities which 
the applicant proposes to undertake;
    (2) Fully describe how the applicant will develop and validate the 
effectiveness of procedures for applying the project's research findings 
to the provision of improved direct services to children with severe 
disabilities.

(Authority: 20 U.S.C. 1424)

[49 FR 28021, July 9, 1984, as amended at 52 FR 31958, Aug. 24, 1987; 56 
FR 54691, 54692, Oct. 22, 1991]

[[Page 167]]



Sec. 315.12  What types of development or demonstration activities are considered for support by the Secretary under this part?

    (a) The Secretary may provide financial assistance under this part 
for one or more of the following development and demonstration 
activities to meet the needs of children with severe disabilities.
    (1) Review, analysis, and evaluation of current educational 
practices and research findings.
    (2) Diagnosis and evaluation of the learning capacities and 
limitations of children with severe disabilities and the identification 
of their specific learning needs and problems.
    (3) Design and demonstration of innovative procedures for addressing 
the identified needs of children with severe disabilities in a variety 
of settings.
    (4) Evaluation of the progress and achievement of children with 
severe disabilities who participate in project activities.
    (b) Each application for assistance under this part must--
    (1) Justify the need for the development or demonstration activities 
which the applicant proposes to undertake, particularly in consideration 
of related development or demonstration activities in the nation where 
applicable;
    (2) Describe the nature and extent of the impact which the proposed 
activities are expected to have on children with severe disabilities who 
will be served by the project; and
    (3) Describe the impact, in terms of replicability, that the 
activities are expected to have upon children and youth not served by 
the project.

(Authority: 20 U.S.C. 1424)

[49 FR 28021, July 9, 1984, as amended at 52 FR 31958, Aug. 24, 1987; 56 
FR 54691, Oct. 22, 1991]



Sec. 315.13  What types of training activities are considered for support by the Secretary under this part?

    The Secretary may provide financial assistance under this part to 
support training activities that meet the following requirements:
    (a) Training. Training of professional and allied personnel may 
include staff meetings, seminars, workshops, demonstrations, and related 
activities.
    (b) Participants. Participants in training activities may include 
present and potential project personnel and other special and regular 
education teachers, administrators, child care workers, parents, related 
service personnel, early intervention personnel and teacher aides.
    (c) Stipends. The Secretary, on a case-by-case basis, may authorize 
the payment of stipends for inservice training in an amount the 
Secretary determines appropriate for a particular training activity.
    (d) Each application for assistance under this part must--
    (1) Justify the need for the training activities that the applicant 
proposes to undertake; and
    (2) Describe the nature and extent of the impact that the proposed 
activities are expected to have on children with severe disabilities who 
will ultimately be served by the individuals who receive the training.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1424)

[49 FR 28021, July 9, 1984, as amended at 52 FR 31958, Aug. 24, 1987; 56 
FR 54691, 54692, Oct. 22, 1991]



Sec. 315.14  What types of dissemination activities are considered for support by the Secretary under this part?

    The Secretary may provide assistance under this part for 
dissemination activities including distribution of materials and 
information to educational institutions, parents, the general public, 
and members of professions engaged in the field of the education of 
children with severe disabilities.

(Authority: 20 U.S.C. 1424)

[49 FR 28021, July 9, 1984, as amended at 52 FR 31959, Aug. 24, 1987; 56 
FR 54692, Oct. 22, 1991]



Secs. 315.15--315.19  [Reserved]

                          Subpart C  [Reserved]

[[Page 168]]



             Subpart D--How Does the Secretary Make a Grant?



Sec. 315.30  How does the Secretary select and announce funding priorities under this program?

    (a) For any fiscal year, the Secretary may give priority to one or 
more of the activities listed in Secs. 315.10--315.14.
    (b) The Secretary advises the public of these priorities through a 
notice published in the Federal Register.
    (c) The Secretary may establish other priorities through publication 
of one or more notices in the Federal Register in accordance with 34 CFR 
75.105, Annual priorities.

(Authority: 20 U.S.C. 1424)

[49 FR 28021, July 9, 1984, as amended at 52 FR 31959, Aug. 24, 1987]



Sec. 315.31  How does the Secretary evaluate an application?

    (a) The Secretary evaluates an application on the basis of the 
criteria in Secs. 315.32 or 315.33.
    (b) The Secretary awards up to 100 points for these criteria.
    (c) The maximum possible score for each criterion is indicated in 
parentheses.

(Authority: 20 U.S.C. 1424)

[52 FR 31959, Aug. 24, 1987]



Sec. 315.32  What are the selection criteria used to award a research grant?

    The Secretary uses the following criteria to evaluate an application 
for a research project described in Sec. 315.11:
    (a) Importance and expected impact of the research. (20 points) The 
Secretary reviews each application to determine the extent to which the 
project will develop new knowledge in understanding and effectively 
meeting the needs of children with severe disabilities, including the 
extent to which--
    (1) The programmatic research areas proposed by the applicant 
represent critical areas of investigation, or problems whose solution 
would have greatest impact on improving services to children with severe 
disabilities; and
    (2) The specific questions to be addressed in the project are likely 
to generate knowledge needed for bringing about a major change in 
understanding of the topical area.
    (b) Technical soundness of the project. (15 points) (1) The 
Secretary reviews each application to determine the technical soundness 
of the research plan, including--
    (i) The design;
    (ii) The proposed sample;
    (iii) Instrumentation; and
    (iv) Data analysis procedures.
    (2) The Secretary also reviews each application for the relevance of 
its proposed training efforts, including--
    (i) Strategies for provision of training; and
    (ii) Relationships between the applicant, other organizations or 
agencies providing training in coordination with the applicant, and 
trainees receiving training from the applicant.
    (c) Plan of operation. (15 points) The Secretary reviews each 
application to determine the quality of the plan of operation for the 
project, including--
    (1) The extent to which the plan of management is effective and 
ensures proper and efficient administration of the project;
    (2) How the objectives of the project relate to the purpose of the 
program;
    (3) The quality of the applicant's plans to use its resources and 
personnel to achieve each objective; and
    (4) How the applicant will ensure that project participants who are 
otherwise eligible to participate are selected without regard to race, 
color, national origin, gender, age, or disabling condition.
    (d) Quality of key personnel. (20 points) (1) The Secretary reviews 
each application to determine the quality of key personnel the applicant 
plans to use on the project, including--
    (i) The qualifications of the project director or principal 
investigator;
    (ii) The qualifications of each of the other key personnel to be 
used in the project;
    (iii) The time that each person referred to in paragraphs (d)(1) (i) 
and (ii) of this section will commit to the project; and
    (iv) How the applicant, as part of its nondiscriminatory employment 
practices, will ensure that its personnel are selected for employment 
without regard to race, color, national origin, gender, age, or 
disabling condition.

[[Page 169]]

    (2) To determine personnel qualifications under paragraphs (d)(1) 
(i) and (ii) of this section, the Secretary considers--
    (i) Experience and training in conducting, documenting, and applying 
research pertaining to children with severe disabilities;
    (ii) Awareness of relevant research findings and demonstration 
project results pertaining to other children with disabilities and the 
potential for use of the findings and results with children with severe 
disabilities; and
    (iii) Experience in communicating research findings to service 
providers of children with severe disabilities and in assisting these 
providers with effective application of the findings.
    (e) Budget and cost-effectiveness. (10 points) The Secretary reviews 
each application to determine the extent to which--
    (1) The budget is adequate to support the project; and
    (2) Costs are reasonable in relation to the objectives of the 
project.
    (f) Evaluation plan. (10 points) The Secretary reviews each 
application to determine the quality of the evaluation plan for the 
project, including the extent to which the applicant's methods of 
evaluation--
    (1) Are appropriate to the project; and
    (2) To the extent possible, are objective and produce data that are 
quantifiable.

    (Cross-reference: See 34 CFR 75.590 Evaluation by the grantee.)
    (g) Adequacy of resources. (5 points) The Secretary reviews each 
application to determine the adequacy of the resources that the 
applicant plans to devote to the project, including facilities, 
equipment, and supplies.
    (h) Dissemination plan. (5 points) The Secretary reviews each 
application to determine the quality of the dissemination plan for the 
project, including the extent to which the applicant's plan--
    (1) Ensures proper and efficient dissemination of project 
information within the State in which the project is located and 
throughout the Nation; and
    (2) Provides a clear description of the content, intended audiences, 
and timelines for production of all project documents and other products 
that the applicant will disseminate.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1424)

[49 FR 28021, July 9, 1984, as amended at 53 FR 49145, Dec. 6, 1988; 56 
FR 54691, 54692, Oct. 22, 1991]



Sec. 315.33  What are the selection criteria used to award a grant for a demonstration, training, or dissemination project?

    The Secretary uses the following criteria to evaluate an application 
for a demonstration project under Sec. 315.12 and a training project 
under Sec. 315.13. The Secretary also uses these criteria to evaluate a 
dissemination project under Sec. 315.14, except that a maximum of 30 
points may be given for criterion (b) (plan of operation) and no points 
are provided for criterion (g) (dissemination plan).
    (a) Extent of need and expected impact of the project. (25 points) 
The Secretary reviews each application to determine the extent to which 
the project is consistent with national needs in the provision of 
innovative services to children with severe disabilities, including 
consideration of--
    (1) The needs addressed by the project;
    (2) The impact and benefits to be gained by meeting the educational 
and related service needs of children with severe disabilities served by 
the project, their parents and service providers; and
    (3) The national significance of the project in terms of potential 
benefits to children with severe disabilities who are not directly 
involved in the project.
    (b) Plan of operation. (25 points) The Secretary reviews each 
application to determine the quality of the plan of operation for the 
project, including--
    (1) The quality of the design of the project;
    (2) The extent to which the plan of management is effective and 
ensures proper and efficient administration of the project;
    (3) How well the objectives of the project relate to the purpose of 
the program;

[[Page 170]]

    (4) The quality of the applicant's plan to use its resources and 
personnel to achieve each objective;
    (5) How the applicant will ensure that project participants who are 
otherwise eligible to participate are selected without regard to race, 
color, national origin, gender, age, or disabling condition.
    (c) Quality of key personnel. (15 points). (1) The Secretary reviews 
each application to determine the quality of the key personnel the 
applicant plans to use on the project, including--
    (i) The qualifications of the project director;
    (ii) The qualifications of each of the other key personnel to be 
used in the project;
    (iii) The time that each person referred to in paragraphs (c)(1) (i) 
and (ii) of this section will commit to the project; and
    (iv) How the applicant, as part of its non-discriminatory employment 
practices, will ensure that its personnel are selected for employment 
without regard to race, color, national origin, gender, age, or 
disabling condition.
    (2) To determine personnel qualifications under paragraph (c)(1) (i) 
and (ii) of this section, the Secretary considers--
    (i) Experience and training in fields related to the objectives of 
the project; and
    (ii) Any other qualifications that pertain to the quality of the 
project.
    (d) Budget and cost-effectiveness. (10 points) The Secretary reviews 
each application to determine the extent to which--
    (1) The budget is adequate to support the project; and
    (2) Costs are reasonable in relation to the objectives of the 
project.
    (e) Evaluation plan. (15 points) The Secretary reviews each 
application to determine the quality of the evaluation plan for the 
project, including the extent to which the applicant's methods of 
evaluation--
    (1) Are appropriate to the project; and
    (2) To the extent possible, are objective and produce data that are 
quantifiable.

    (Cross-reference: See 34 CFR 75.590 Evaluation by the grantee)
    (f) Adequacy of resources. (5 points) The Secretary reviews each 
application to determine the adequacy of the resources that the 
applicant plans to devote to the project, including facilities, 
equipment, and supplies.
    (g) Dissemination plan. (5 points) The Secretary reviews each 
application to determine the quality of the dissemination plan for the 
project, including the extent to which the applicant's plan--
    (1) Ensures proper and efficient dissemination of project 
information within the State in which the project is located and 
throughout the Nation; and
    (2) Adequately includes the content, intended audiences, and 
timeliness for production of all project documents and other products 
which the applicant will disseminate.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1424)

[49 FR 28021, July 9, 1984, as amended at 53 FR 49145, Dec. 6, 1988; 56 
FR 54691, 54692, Oct. 22, 1991]



Sec. 315.34  What other factors are considered by the Secretary in making a grant?

    To the extent feasible, the Secretary supports activities that are 
geographically dispersed throughout the Nation in urban and rural areas.

(Authority: 20 U.S.C. 1424)

[52 FR 31960, Aug. 24, 1987]



Secs. 315.35--315.39  [Reserved]



 Subpart E--What Conditions Must Be Met by a Grantee Under This Program?



Sec. 315.40  What coordination require- ment(s) must be met by a grantee?

    Each recipient shall coordinate the activities assisted under this 
part with similar activities assisted under other sections of the Act.

(Authority: 20 U.S.C. 1424)


[[Page 171]]





Sec. 315.41  What other conditions must be met by grantees under this program?

    Grantees shall, if appropriate, prepare reports describing their 
procedures, findings, and other relevant information in a form that will 
maximize the dissemination and use of such procedures, findings, and 
information. The Secretary shall require their delivery, as appropriate, 
to the Regional and Federal Resource Centers, the Clearinghouses, and 
the Technical Assistance to Parents Program (TAPP) assisted under parts 
C and D of the Act, as well as the National Diffusion Network, the ERIC 
Clearinghouse on the Handicapped and Gifted, and the Child and 
Adolescent Service Systems Program (CASSP) under the National Institute 
of Mental Health, appropriate parent and professional organizations, 
organizations representing individuals with disabilities, and such other 
networks as the Secretary may determine to be appropriate.

(Authority: 20 U.S.C. 1409(g))


[Approved by the Office of Management and Budget under control number 
1820-0028)

[56 FR 54692, Oct. 22, 1991, as amended at 57 FR 14314, Apr. 17, 1992]



Secs. 315.42--315.49  [Reserved]



PART 316--TRAINING PERSONNEL FOR THE EDUCATION OF INDIVIDUALS WITH DISABILITIES--PARENT TRAINING AND INFORMATION CENTERS--Table of Contents




                           Subpart A--General

Sec.
316.1  What is the Training Personnel for the Education of Individuals 
          with Disabilities--Parent Training and Information Centers 
          program?
316.2  Who is eligible for an award?
316.3  What kinds of projects may the Secretary fund?
316.4  What regulations apply to this program?
316.5  What definitions apply to this program?

Subpart B--What Activities Does the Secretary Assist Under This Program?

316.10  What activities may the Secretary fund?

            Subpart C--How Does the Secretary Make an Award?

316.20  What are the requirements for applicants?
316.21  How does the Secretary evaluate an application?
316.22  What selection criteria does the Secretary use to evaluate 
          applications for parent centers and experimental centers?
316.23  What selection criteria does the Secretary use to evaluate 
          applications for technical assistance activities?
316.24  What additional factors does the Secretary consider?

             Subpart D--What Conditions Must a Grantee Meet?

316.30  What types of services are required?
316.31  What are the duties of the board of directors or special 
          governing committee of a parent organization?
316.32  What are the reporting requirements under this program?
316.33  What other conditions must be met by grantees under this 
          program?

    Authority:  20 U.S.C. 1431(d) and 1434, unless otherwise noted.

    Source:  57 FR 62096, Dec. 29, 1992, unless otherwise noted.

    Effective Date Note:  At 63 FR 23601, Apr. 29, 1998, part 316 was 
removed, effective Oct. 1, 1998.



                           Subpart A--General



Sec. 316.1  What is the Training Personnel for the Education of Individuals with Disabilities--Parent Training and Information Centers program?

    (a) This program provides training and information to parents of 
children (infants, toddlers, children, and youth) with disabilities, and 
to persons who work with parents to enable parents to participate more 
fully and effectively with professionals in meeting the educational 
needs of their children with disabilities.
    (b) Parent training and information programs may, at a grantee's 
discretion, include participation of State or local educational agency 
personnel if that participation will further an objective of the program 
assisted by the grant.

(Authority: 20 U.S.C. 1431(d))


[[Page 172]]





Sec. 316.2  Who is eligible for an award?

    Only parent organizations are eligible to receive awards under this 
program.

(Authority: 20 U.S.C. 1431(d))



Sec. 316.3  What kinds of projects may the Secretary fund?

    The Secretary funds three kinds of projects under this program:
    (a) Parent training and information centers.
    (b) Experimental urban and rural parent training and information 
centers.
    (c) Technical assistance for establishing, developing, and 
coordinating parent training and information programs.

(Authority: 20 U.S.C. 1431(d))



Sec. 316.4  What regulations apply to this program?

    The following regulations apply to this program:
    (a) The Education Department General Administrative Regulations 
(EDGAR) in the following parts of title 34 of the Code of Federal 
Regulations:
    (1) Part 74 (Administration of Grants to Institutions of Higher 
Education, Hospitals, and Nonprofit Organizations).
    (2) Part 75 (Direct Grant Programs).
    (3) Part 77 (Definitions That Apply to Department Regulations).
    (4) Part 79 (Intergovernmental Review of Department of Education 
Programs and Activities).
    (5) Part 81 (General Education Provisions Act--Enforcement).
    (6) Part 82 (New Restrictions on Lobbying).
    (7) Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for a Drug-Free 
Workplace (Grants)).
    (b) The regulations in this part 316.

(Authority: 20 U.S.C. 1431(d); 3474(a))



Sec. 316.5  What definitions apply to this program?

    (a) Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:
    Applicant
    Application
    Award
    Department
    EDGAR
    Fiscal year
    Local educational agency
    Nonprofit
    Private
    Project
    Secretary
    State
    State educational agency
    (b) Definitions in 34 CFR part 300. The following terms used in this 
part are defined in 34 CFR part 300:
    Individualized education program
    Parent
    Related services
    Special education
    (c) Other definitions specific to 34 CFR part 316. The following 
terms used in this part are defined as follows:
    Act means the Individuals With Disabilities Education Act (IDEA).
    Parent organization means a private nonprofit organization that is 
governed by a board of directors of which a majority of the members are 
parents of children with disabilities--particularly minority parents--
and that includes members who are professionals--especially minority 
professionals--in the fields of special education, early intervention, 
and related services, and individuals with disabilities. If the private 
nonprofit organization does not have such a board, the organization must 
have a membership that represents the interests of individuals with 
disabilities, and must establish a special governing committee of which 
a majority of the members are parents of children with disabilities--
particularly parents of minority children--and that includes members who 
are professionals--especially minority professionals--in the fields of 
special education, early intervention, and related services. Parent and 
professional membership of these boards or special governing committees 
must be broadly representative of minority and other individuals and 
groups having an interest in special education, early intervention, and 
related services.

(Authority: 20 U.S.C. 1431(d))


[[Page 173]]





Subpart B--What Activities Does the Secretary Assist Under This Program?



Sec. 316.10  What activities may the Secretary fund?

    (a) Parent training and information centers assisted under 
Sec. 316.3(a) must assist parents to--
    (1) Better understand the nature and needs of the disabling 
conditions of their children with disabilities;
    (2) Provide follow-up support for the educational programs of their 
children with disabilities;
    (3) Communicate more effectively with special and regular educators, 
administrators, related services personnel, and other relevant 
professionals;
    (4) Participate fully in educational decisionmaking processes, 
including the development of the individualized education program, for a 
child with a disability;
    (5) Obtain information about the range of options, programs, 
services, and resources available at the national, State, and local 
levels to children with disabilities and their families; and
    (6) Understand the provisions for educating children with 
disabilities under the Act.
    (b) Experimental urban centers under Sec. 316.3(b) must serve large 
numbers of parents of children with disabilities located in high density 
areas, and experimental rural centers under Sec. 316.3(b) must serve 
large numbers of parents of children with disabilities located in rural 
areas. The centers may focus on particular aspects of parent training 
and information services, including but not limited to those activities 
required under Sec. 316.10(a). Experimental projects may include a 
planning and development phase.
    (1) Experimental urban centers may concentrate on neighborhoods 
within a city or focus on specific unserved groups. They may serve an 
entire city or concentrate on a specific area or ethnic group within a 
city.
    (2) Experimental rural centers may serve a large, sparsely populated 
area. Projects may identify specific methods, including use of 
technology and telecommunications, to reach these parents.
    (c) The technical assistance to parent programs under Sec. 316.3(c) 
includes technical assistance for establishing, developing, and 
coordinating parent training and information programs. Activities must 
include, but are not limited to, the following:
    (1) Determining national needs and identifying unserved regions and 
populations.
    (2) Identifying the specific technical assistance needs of 
individual centers.
    (3) Developing programs in unserved areas.
    (4) Conducting annual meetings at national and regional levels.
    (5) Identifying and coordinating national activities to serve 
parents of children with disabilities. This may include conferences, 
publications, and maintenance of documents and data relevant to parent 
programs.
    (6) Dissemination of information through media, newsletters, 
computers, and written documentation.
    (7) Cooperative activities with other projects and organizations on 
common goals.
    (8) Evaluation, including determination of the impact of technical 
assistance activities, and evaluation assistance to centers.
    (9) Management assistance to centers.
    (10) Involvement of parent programs and the Department in 
identifying one or more substantive specialization areas.
    (11) Acting as a resource to parent training programs in identified 
specialization areas such as transition, supported employment, early 
childhood, integration, and technology.

(Authority: 20 U.S.C. 1431(d))



            Subpart C--How Does the Secretary Make an Award?



Sec. 316.20  What are the requirements for applicants?

    (a) Applicants for awards for parent centers and experimental 
centers under Sec. 316.3 (a) and (b) shall demonstrate the capacity and 
expertise to conduct the authorized training and information activities 
effectively, and to network with clearinghouses, including those 
authorized under section 633 of the Act, other organizations and 
agencies, and

[[Page 174]]

other established national, State, and local parent groups representing 
the full range of parents of children with disabilities--especially 
parents of minority children.
    (b) In order to assure that awards for parent centers under 
Sec. 316.3(a) serve parents of minority children with disabilities 
(including parents served pursuant to Sec. 316.33) representative to the 
proportion of the minority population in the areas being served, 
applicants for awards shall identify with specificity the special 
efforts that will be undertaken to involve those parents, including 
efforts to work with community-based and cultural organizations and the 
specification of supplementary aids, services, and supports that will be 
made available. Applicants shall also specify budgetary items earmarked 
to accomplish these efforts.
    (c) Applicants for awards for experimental urban centers shall 
provide a rationale for their project and demonstrate a capability to 
serve the parents they have identified and targeted for services.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1431(d))



Sec. 316.21  How does the Secretary evaluate an application?

    (a) The Secretary evaluates an application on the basis of the 
criteria in Secs. 316.22 and 316.23.
    (b) The Secretary awards up to 100 points for these criteria.
    (c) The maximum possible score for each criterion is indicated in 
parentheses.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1431(d))



Sec. 316.22  What selection criteria does the Secretary use to evaluate applications for parent centers and experimental centers?

    The Secretary uses the following criteria to evaluate applications 
for parent centers and experimental centers:
    (a) Extent of present and projected need. (15 points) The Secretary 
reviews each application to determine the extent to which the project 
makes an impact on parent training and information needs, consistent 
with the purposes of the Act, including consideration of the impact on--
    (1) The present and projected needs in the applicant's geographic 
area for trained parents;
    (2) The present and projected training and information needs for 
personnel to work with parents of children with disabilities; and
    (3) Parents of minority infants, toddlers, children, and youth with 
disabilities.
    (b) Anticipated project results. (25 points) The Secretary reviews 
each application to determine the extent to which the project will 
assist parents to--
    (1) Better understand the nature and needs of the disabling 
conditions of their children with disabilities;
    (2) Provide follow-up support for the educational programs of their 
children with disabilities;
    (3) Communicate more effectively with special and regular educators, 
administrators, related services personnel, and other relevant 
professionals;
    (4) Participate fully in educational decision-making processes, 
including the development of the individualized educational program, for 
a child with a disability;
    (5) Obtain information about the range of options, programs, 
services, and resources available at the national, State, and local 
levels to children with disabilities and their families; and
    (6) Understand the provisions for educating children with 
disabilities under the Act.
    (c) Plan of operation. (20 points) The Secretary reviews each 
application to determine the quality of the plan of operation for the 
project, including--
    (1) High quality in the design of the project;
    (2) An effective management plan that ensures proper and efficient 
administration of the project;
    (3) How the objectives of the project relate to the purpose of the 
program;
    (4) The way the applicant plans to use its resources and personnel 
to achieve each objective; and
    (5) How the applicant addresses the needs of parents of minority 
infants,

[[Page 175]]

toddlers, children, and youth with disabilities.
    (d) Evaluation plan. (15 points) The Secretary reviews each 
application to determine the quality of the evaluation plan for the 
project, including the extent to which the applicant's methods of 
evaluation--
    (1) Are appropriate for the project;
    (2) To the extent possible, are objective and produce data that are 
quantifiable (See 34 CFR 75.590, Evaluation by the grantee.); and
    (3) Provide the data required for the annual report to Congress. 
(See 20 U.S.C. 1434 (a)(3) and (b))
    (e) Quality of key personnel. (15 points) The Secretary reviews each 
application to determine the quality of the key personnel the applicant 
plans to use in the project, including--
    (1) The qualifications of the project director;
    (2) The qualifications of each of the other key personnel to be used 
on the project;
    (3) The time each of the key personnel plans to commit to the 
project;
    (4) How the applicant, as a part of its nondiscriminatory practices, 
will ensure that its personnel are selected for employment without 
regard to race, color, national origin, gender, age, or disability; and
    (5) Evidence of the applicant's past experience in the fields 
relating to the objectives of the project.
    (f) Budget and cost-effectiveness. (10 points) The Secretary reviews 
each application to determine the extent to which--
    (1) The budget for the project is adequate to support the project 
activities; and
    (2) Costs are reasonable in relation to the objectives of the 
project.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1431(d))



Sec. 316.23  What selection criteria does the Secretary use to evaluate applications for technical assistance activities?

    The Secretary uses the following criteria to evaluate applications 
for technical assistance activities:
    (a) Plan of operation. (25 points) The Secretary reviews each 
application to determine the quality of the plan of operation for the 
project, including--
    (1) High quality in the design of the project;
    (2) An effective plan of management that ensures proper and 
efficient administration of the project;
    (3) A clear description of how the objectives of the project relate 
to the purpose of the program; and
    (4) The way the applicant plans to use its resources and personnel 
to achieve each objective.
    (b) Project content. (20 points) The Secretary reviews each 
application to determine--
    (1) The project's potential for national significance, its potential 
for effectiveness, and the quality of its plan for dissemination of the 
results of the project;
    (2) The extent to which substantive content and organization of the 
project--
    (i) Are appropriate for the attainment of knowledge that is 
necessary for the provision of quality educational and early 
intervention services to infants, toddlers, children, and youth with 
disabilities; and
    (ii) Demonstrate an awareness of relevant methods, procedures, 
techniques, technology, and instructional media or materials that can be 
used in the development of a model to assist parents of infants, 
toddlers, children, and youth with disabilities; and
    (3) The extent to which project philosophy, objectives, and 
activities are related to the educational or early intervention needs of 
infants, toddlers, children, and youth with disabilities.
    (c) Applicant experience and ability. (15 points) The Secretary 
looks for information that shows the applicant's--
    (1) Experience and training in fields related to the objectives of 
the project;
    (2) National experience relevant to performance of the functions 
supported by the project;
    (3) Ability to conduct the proposed project;
    (4) Ability to communicate with intended consumers of information; 
and
    (5) Ability to maintain necessary communication and coordination 
with

[[Page 176]]

other relevant projects, agencies, and organizations.
    (d) Quality of key personnel. (10 points) The Secretary reviews each 
application to determine the quality of the key personnel the applicant 
plans to use in the project, including--
    (1) The qualifications of the project director;
    (2) The qualifications of each of the other key personnel to be used 
in the project;
    (3) The time that each of the key personnel plans to commit to the 
project;
    (4) How the applicant, as a part of its nondiscriminatory employment 
practices, will ensure that its personnel are selected for employment 
without regard to race, color, national origin, gender, age, or 
disability; and
    (5) Evidence of the key personnel's past experience and training in 
fields related to the objectives of the project.
    (e) Evaluation plan. (15 points) The Secretary reviews each 
application to determine the quality of the evaluation plan for the 
project, including the extent to which the applicant's methods of 
evaluation--
    (1) Are appropriate for the project; and
    (2) To the extent possible, are objective and produce data that are 
quantifiable. (See 34 CFR 75.590, Evaluation by the grantee.)
    (f) Adequacy of resources. (5 points) The Secretary reviews each 
application to determine the adequacy of the resources that the 
applicant plans to devote to the project, including facilities, 
equipment, and supplies.
    (g) Budget and cost effectiveness. (10 points) The Secretary reviews 
each application to determine the extent to which--
    (1) The budget is adequate to support the project; and
    (2) Costs are reasonable in relation to the objectives of the 
project.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1431(d))



Sec. 316.24  What additional factors does the Secretary consider?

    In addition to the criteria in Sec. 316.22, the Secretary considers 
the following factors in making an award:
    (a) Geographic distribution. In selecting projects for awards for 
parent centers under Sec. 316.3(a), the Secretary ensures that, to the 
greatest extent possible, awards are distributed geographically, on a 
State or regional basis, throughout all the States and serve parents of 
children with disabilities in both urban and rural areas.
    (b) Unserved areas. In selecting projects for parent centers under 
Sec. 316.3(a) and experimental centers under Sec. 316.3(b), the 
Secretary gives priority to applications that propose to serve unserved 
areas.

(Authority: 20 U.S.C. 1431(d))



             Subpart D--What Conditions Must a Grantee Meet?



Sec. 316.30  What types of services are required?

    (a) Parent centers and experimental centers must be designed to meet 
the unique training and information needs of parents of children with 
disabilities who live in the areas to be served by the project, 
particularly those who are members of groups that have been 
traditionally underrepresented.
    (b) Parent centers and experimental centers must consult and network 
with appropriate national, State, regional, and local agencies and 
organizations that serve or assist children with disabilities and their 
families in the geographic areas served by the project.

(Authority: 20 U.S.C. 1431(d))



Sec. 316.31  What are the duties of the board of directors or special governing committee of a parent organization?

    A recipient's board of directors or special governing committee as 
described in Sec. 316.5 must meet at least once in each calendar quarter 
to review the parent training and information activities under the 
award. Whenever a private nonprofit organization requests a renewal of 
an award under this part, the board of directors or special governing 
committee shall submit to the Secretary a written review of the parent 
training and information program

[[Page 177]]

conducted by that private nonprofit organization during the preceding 
fiscal year.


(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1431(d))



Sec. 316.32  What are the reporting requirements under this program?

    (a) Recipients shall, if appropriate, prepare reports describing 
their procedures, findings, and other relevant information in a form 
that will maximize the dissemination and use of these procedures, 
findings, and information. The Secretary requires their delivery, as 
appropriate, to the Regional and Federal Reserve Centers, the 
Clearinghouses, and the Technical Assistance to Parents Program (TAPP) 
assisted under parts C and D of the Act, as well as the National 
Diffusion Network, the ERIC Clearinghouse on the Handicapped and Gifted, 
and the Child and Adolescent Service Systems Program (CASSP) under the 
National Institute of Mental Health, appropriate parent and professional 
organizations, organizations representing individuals with disabilities, 
and other networks the Secretary may determine to be appropriate.
    (b) The recipient shall provide data for every year of the project 
on--
    (1) The number of parents provided information and training by 
disability category of their children;
    (2) The types and modes of information or training provided;
    (3) Strategies used to reach and serve parents of minority children 
with disabilities;
    (4) The number of parents served as a result of activities described 
under paragraph (b)(3) of this section;
    (5) Activities to network with other information clearinghouses and 
parent groups as required by Sec. 316.20(a);
    (6) The number of agencies and organizations consulted with at the 
national, State, regional, and local levels; and
    (7) The number of parents served who are parents of children with 
disabilities birth through age five.


(Approved by the Office of Management and Budget under control number 
1820-0530)


(Authority: 20 U.S.C. 1409(g); 1434(a)(3))



Sec. 316.33  What other conditions must be met by grantees under this program?

    (a) In the case of a grant for parent centers under Sec. 316.3(a) 
and experimental centers under Sec. 316.3(b) to a private nonprofit 
organization for fiscal year 1993 or 1994, the organization, in 
expending the amounts described in paragraph (b) of this section, shall 
give priority to providing services to parents of children with 
disabilities birth through age five.
    (b) With respect to a grant for a parent center or an experimental 
center to a private nonprofit organization for fiscal year 1993 or 1994, 
the amounts referred to in paragraph (a) of this section are any amounts 
provided in the grant in excess of the amount of any grant under this 
program provided to the organization for fiscal year 1992.
    (c) Recipients of awards for parent centers and experimental centers 
shall serve parents of children representing the full range of disabling 
conditions.

(Authority: 20 U.S.C. 1431(d))



PART 318--TRAINING PERSONNEL FOR THE EDUCATION OF INDIVIDUALS WITH DISABILITIES--GRANTS FOR PERSONNEL TRAINING--Table of Contents




                           Subpart A--General

Sec.
318.1  What is the purpose of the Training Personnel for the Education 
          of Individuals with Disabilities--Grants for Personnel 
          Training program?
318.2  Who is eligible for an award?
318.3  What regulations apply to this program?
318.4  What definitions apply to this program?

[[Page 178]]

 Subpart B--What Kinds of Projects Does the Secretary Assist Under This 
                                Program?

318.10  What activities may the Secretary fund?
318.11  What priorities may the Secretary establish?

            Subpart C--How Does the Secretary Make an Award?

318.20  What are the requirements for applicants?
318.21  How does the Secretary evaluate an application?
318.22  What selection criteria does the Secretary use to evaluate 
          applications for preservice training, leadership training, 
          professional development programs, regional model 
          demonstration training programs on deafness and secondary 
          disabilities, training educational interpreters, and training 
          regular educators to serve students with deafness?
318.23  What selection criteria does the Secretary use to evaluate 
          applications for special projects?
318.24  What selection criteria does the Secretary use to evaluate 
          applications for technical assistance activities?
318.25  What additional factors does the Secretary consider?

             Subpart D--What Conditions Must a Grantee Meet?

318.30  What are the priorities for award of student fellowships and 
          traineeships?
318.31  Is student financial assistance authorized?
318.32  What are the student financial assistance criteria?
318.33  May the grantee use funds if a financially assisted student 
          withdraws or is dismissed?
318.34  What are the reporting requirements under this program?

    Authority:  20 U.S.C. 1431(a)-(d) and 1434, unless otherwise noted.

    Source:  57 FR 62099, Dec. 29, 1992, unless otherwise noted.

    Effective Date Note:  At 63 FR 23601, Apr. 29, 1998, part 318 was 
removed, effective Oct. 1, 1998.



                           Subpart A--General



Sec. 318.1  What is the purpose of the Training Personnel for the Education of Individuals with Disabilities--Grants for Personnel Training program?

    This program serves to increase the quantity and improve the quality 
of personnel available to serve infants, toddlers, children, and youth 
with disabilities.

(Authority: 20 U.S.C. 1431(a)-(c))



Sec. 318.2  Who is eligible for an award?

    The following are eligible for assistance under this part:
    (a) Institutions of higher education and appropriate nonprofit 
agencies are eligible under Sec. 318.10 (a)(1), (a)(2), (a)(7), and 
(a)(8).
    (b) Institutions of higher education, State agencies, and other 
appropriate nonprofit agencies are eligible under Sec. 318.10(a)(3).
    (c) States or other entities are eligible under Sec. 318.10(a) (4) 
and (5). An entity may not receive financial assistance for a 
professional development partnership project and a technical assistance 
project during the same period.
    (d) Institutions of higher education in partnership with local 
education agencies and center schools for students who are deaf are 
eligible under Sec. 318.10(a)(6).

(Authority: 20 U.S.C. 1431(a)-(c))

[57 FR 62099, Dec. 29, 1992, as amended at 58 FR 27441, May 7, 1993]



Sec. 318.3  What regulations apply to this program?

    The following regulations apply to this program:
    (a) The Education Department General Administrative Regulations 
(EDGAR) in the following parts of title 34 of the Code of Federal 
Regulations:
    (1) Part 74 (Administration of Grants to Institutions of Higher 
Education, Hospitals, and Nonprofit Organizations).
    (2) Part 75 (Direct Grant Programs).
    (3) Part 77 (Definitions that Apply to Department Regulations).
    (4) Part 79 (Intergovernmental Review of Department of Education 
Programs and Activities).
    (5) Part 80 (Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments).
    (6) Part 81 (General Education Provisions Act--Enforcement).
    (7) Part 82 (New Restrictions on Lobbying).

[[Page 179]]

    (8) Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace 
(Grants)).
    (9) Part 86 (Drug-Free Schools and Campuses).
    (b) The regulations in this part 318.

(Authority: 20 U.S.C. 1431(a)-(c); 3474(a))



Sec. 318.4  What definitions apply to this program?

    (a) Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:
    Applicant
    Application
    Award
    Department
    EDGAR
    Fiscal year
    Grant period
    Local educational agency
    Nonprofit
    Preschool
    Private
    Project
    Public
    Secretary
    State
    State educational agency
    (b) Definitions in 34 CFR part 300. The following terms used in this 
part are defined in 34 CFR part 300:
    Deafness
    Deaf-blindness
    Other health impairments
    Related services
    Special education
    (c) Definitions specific to 34 CFR part 318. The following terms 
used in this part are defined as follows:
    Act means the Individuals with Disabilities Education Act (IDEA).
    Infants and toddlers with disabilities. (1) The term means 
individuals from birth through age two who need early intervention 
services because they--
    (i) Are experiencing developmental delays, as measured by 
appropriate diagnostic instruments and procedures, in one or more of the 
following areas: Cognitive development, physical development, including 
vision and hearing, language and speech development, psychosocial 
development, or self-help skills; or
    (ii) Have a diagnosed physical or mental condition that has a high 
probability of resulting in developmental delay.
    (2) The term also includes children from birth through age two who 
are at risk of having substantial developmental delays if early 
intervention services are not provided.
    National Education Goals means the following goals to be achieved by 
the year 2000:
    (1) All children will start school ready to learn.
    (2) The high school graduation rate will increase to at least 90 
percent.
    (3) Students will leave grades four, eight, and twelve having 
demonstrated competency in challenging subject matter, including 
English, mathematics, science, history, and geography, and every school 
will ensure that all students learn to use their minds well, so that 
they may be prepared for responsible citizenship, further learning, and 
productive employment in our modern economy.
    (4) Students will be first in the world in science and mathematics 
achievement.
    (5) Every adult will be literate and will possess the knowledge and 
skills necessary to compete in a global economy and exercise the rights 
and responsibilities of citizenship.
    (6) Every school will be free of drugs and violence and will offer a 
disciplined environment conducive to learning.

(Authority: 20 U.S.C. 1401; 1431(a)-(c); 1472)



 Subpart B--What Kinds of Projects Does the Secretary Assist Under This 
                                Program?



Sec. 318.10  What activities may the Secretary fund?

    (a) The Secretary supports training programs in the following eight 
areas:
    (1) Preservice training of personnel for careers in special 
education, related services, and early intervention, including careers 
in--
    (i) Special education teaching, including speech-language pathology, 
audiology, adapted physical education, and instructional and assistive 
technology;
    (ii) Related services for children with disabilities in educational 
and other settings; and

[[Page 180]]

    (iii) Early intervention and preschool services.
    (2) Leadership training, including--
    (i) Supervision and administration at the advanced graduate, 
doctoral, and post-doctoral levels;
    (ii) Research; and
    (iii) Personnel preparation at the doctoral and post-doctoral 
levels.
    (3) Special projects designed to include--
    (i) Development, evaluation, and distribution of innovative 
approaches, curricula, and materials for personnel development; and
    (ii) Other projects of national significance related to the 
preparation of personnel needed to serve infants, toddlers, children, 
and youth with disabilities.
    (4) The formation of professional development programs consisting of 
consortia or partnerships of public and private entities.
    (5) Technical assistance to the entities in paragraph (a)(4) of this 
section.
    (6) Regional model demonstration training programs on deafness and 
secondary disabilities.
    (7) Training educational interpreters.
    (8) Training regular educators who serve students with deafness.
    (b) Projects for preservice training, leadership training, and 
professional development programs must--
    (1) Develop new programs to establish expanded capacity for quality 
preservice training; or
    (2) Improve existing programs designed to increase the capacity and 
quality of preservice training.
    (c) Projects supported under this program may provide training for 
degree, nondegree, certified, and noncertified personnel at associate 
degree through post-doctoral levels of preparation.

(Authority: 20 U.S.C. 1431(a)-(c))

[57 FR 62099, Dec. 29, 1992, as amended at 58 FR 27441, May 7, 1993]



Sec. 318.11  What priorities may the Secretary establish?

    (a) The Secretary may, through a notice published in the Federal 
Register, select annually one or more of the following priority areas 
for funding:
    (1) Preparation of personnel for careers in special education. This 
priority supports preservice preparation of personnel for careers in 
special education. Preservice training includes additional training for 
currently employed teachers seeking additional degrees, certifications, 
or endorsements. Training at the baccalaureate, masters, or specialist 
level is appropriate. Under this priority, ``personnel'' includes 
special education teachers, speech-language pathologists, audiologists, 
adapted physical education teachers, vocational educators, and 
instructive and assistive technology specialists.
    (2) Preparation of related services personnel. This priority 
supports preservice preparation of individuals to provide developmental, 
corrective, and other supportive services that assist children and youth 
with disabilities to benefit from special education. These include 
paraprofessional personnel, therapeutic recreation specialists, school 
social workers, health service providers, physical therapists, 
occupational therapists, school psychologists, counselors (including 
rehabilitation counselors), interpreters, orientation and mobility 
specialists, respite care providers, art therapists, volunteers, 
physicians, and other related services personnel.
    (i) Projects to train personnel identified as special education 
personnel in the regulations in this part are not appropriate, even if 
those personnel may be considered related services personnel in other 
settings.
    (ii) This priority is not designed for general training. Projects 
must include inducements and preparation to increase the probability 
that graduates will direct their efforts toward supportive services to 
special education. For example, a project in occupational therapy (OT) 
might support a special component on pediatric or juvenile psychiatric 
OT, support those students whose career goal is OT in the schools, or 
provide for practica and internships in school settings.
    (3) Training early intervention and preschool personnel. This 
priority supports projects that are designed to provide preservice 
preparation of personnel who serve infants, toddlers, and preschool 
children with disabilities, and their families. Personnel may be 
prepared to provide short-term services or

[[Page 181]]

long-term services that extend into a child's school program. The 
proposed training program must have a clear and limited focus on the 
special needs of children within the age range from birth through five, 
and must include consideration of family involvement in early 
intervention and preschool services. Training programs under this 
priority must have a significant interdisciplinary focus.
    (4) Preparation of leadership personnel. This priority supports 
projects that are designed to provide preservice professional 
preparation of leadership personnel in special education, related 
services, and early intervention. Leadership training is considered to 
be preparation in--
    (i) Supervision and administration at the advanced graduate, 
doctoral, and post-doctoral levels;
    (ii) Research; and
    (iii) Personnel preparation at the doctoral and post-doctoral 
levels.
    (5) Special projects. This priority supports projects that include 
development, evaluation, and distribution of innovative approaches to 
personnel preparation; development of curriculum materials to prepare 
personnel to educate or provide early intervention services; and other 
projects of national significance related to the preparation of 
personnel needed to serve infants, toddlers, children, and youth with 
disabilities.
    (i) Appropriate areas of interest include--
    (A) Preservice training programs to prepare regular educators to 
work with children and youth with disabilities and their families;
    (B) Training teachers to work in community and school settings with 
children and youth with disabilities and their families;
    (C) Inservice and preservice training of personnel to work with 
infants, toddlers, children, and youth with disabilities and their 
families;
    (D) Inservice and preservice training of personnel to work with 
minority infants, toddlers, children, and youth with disabilities, and 
their families;
    (E) Preservice and inservice training of special education and 
related services personnel in instructive and assistive technology to 
benefit infants, toddlers, children, and youth with disabilities; and
    (F) Recruitment and retention of special education, related 
services, and early intervention personnel.
    (ii) Both inservice and preservice training must include a component 
that addresses the coordination among all service providers, including 
regular educators.
    (6) Professional development partnerships. This priority, listed in 
Sec. 318.10(a)(4), supports the formation of consortia or partnerships 
of public and private entities for the purpose of providing 
opportunities for career advancement or competency-based training, 
including but not limited to certificate- or degree-granting programs in 
special education, related services, and early intervention for current 
workers at public and private agencies that provide services to infants, 
toddlers, children, and youth with disabilities. Activities authorized 
under this priority include, but are not limited to, the following:
    (i) Establishing a program with colleges and universities to develop 
creative new programs and coursework options or to expand existing 
programs in the field of special education, related services, or early 
intervention. Funds may be used to provide release time for faculty and 
staff for curriculum development, instructional costs, and modest start-
up and other program development costs.
    (ii) Establishing a career development mentoring program using 
faculty and professional staff members of participating agencies as role 
models, career sponsors, and academic advisors for experienced State, 
city, county, and voluntary sector workers who have demonstrated a 
commitment to working in these fields and who are enrolled in higher 
education institution programs relating to these fields.
    (iii) Supporting a wide range of programmatic and research 
activities aimed at increasing opportunities for career advancement and 
competency-based training in these fields.
    (iv) Identifying existing public agency, private agency, and labor 
union personnel policies and benefit programs that may facilitate the 
ability of workers to take advantage of higher

[[Page 182]]

education opportunities such as leave time and tuition reimbursement.
    (7) Technical assistance to professional development partnerships. 
This priority, listed in Sec. 318.10(a)(5), supports technical 
assistance to States or entities receiving awards under professional 
development partnership projects. Activities must include, but are not 
limited to, the following:
    (i) Identifying the specific technical assistance needs of 
individual projects.
    (ii) Conducting annual meetings at the national level.
    (iii) Identifying other projects under the Act related to 
professional development for the purpose of coordinating professional 
development projects. Coordination activities may include conferences, 
publications, and maintenance of documents and data relevant to the 
activities of the professional development projects.
    (iv) Cooperating with other projects and organizations on common 
goals.
    (v) Disseminating information through media, newsletters, computers, 
and written documentation.
    (vi) Evaluating center activities, including impact determination, 
and evaluation assistance to centers.
    (8) Utilizing innovative recruitment and retention strategies. This 
priority supports projects to develop emerging and creative sources of 
supply of personnel with degrees and certification in appropriate 
disciplines, and innovative strategies related to recruitment and 
retention of personnel.
    (9) Promoting full qualifications for personnel serving infants, 
toddlers, children, and youth with disabilities. This priority supports 
projects designed specifically to train personnel who are working with 
less than full certification or outside their field of specialization, 
to assist them in becoming fully qualified. The following are 
appropriate under this priority: student incentives; extension, summer, 
and evening programs; internships; alternative certification plans; and 
other innovative practices.
    (10) Training personnel to serve low incidence disabilities. This 
priority supports projects to train teachers of children with visual 
impairments including blindness, hearing impairments including deafness, 
orthopedic impairments, other health impairments, autism, traumatic 
brain injury, and severe and multiple disabilities.
    (11) Training personnel to work in rural areas. This priority 
supports projects to train personnel to serve infants, toddlers, 
children, and youth with disabilities in rural areas. Projects, 
including curricula, procedures, practica, and innovative use of 
technology, must be designed to provide training to assist personnel to 
work with parents, teachers, and administrators in these special 
environments. Special strategies must be designed to recruit personnel 
from rural areas who will most likely return to those areas.
    (12) Training personnel to provide transition assistance from school 
to adult roles. This priority supports projects for preparation of 
personnel who assist youth with disabilities in their transition from 
school to adult roles. Personnel may be prepared to provide short-term 
transition services, long-term structured employment services, or 
instruction in community and school settings with secondary school 
students. It is especially important that preparation of transition 
personnel include training in instructional and assistive technology.
    (13) Preparation of paraprofessionals. This priority supports 
projects for the preparation of paraprofessionals. This includes 
programs to train teacher aids, job coaches, interpreters, therapy 
assistants, and other personnel who provide support to professional 
staff in delivery of services to infants, toddlers, children, and youth 
with disabilities.
    (14) Improving services for minorities. This priority supports 
projects to prepare personnel to serve infants, toddlers, children, and 
youth with disabilities who, because of minority status, require that 
personnel obtain professional competencies in addition to those needed 
to teach other children with similar disabilities. Projects funded under 
this priority must focus on specific minority populations, determine the 
additional competencies that are needed by professionals serving those 
populations, and develop those competencies.
    (15) Training minorities and individuals with disabilities. This 
priority supports projects to recruit and prepare minority individuals 
and individuals with

[[Page 183]]

disabilities for careers in special education, related services, and 
early intervention.
    (16) Minority institutions. This priority supports awards to 
Historically Black Colleges and Universities and other institutions of 
higher education whose minority student enrollment is at least 25 
percent. Awards may provide training of personnel in all areas noted in 
Sec. 318.10(a) (1) and (2), and must be designed to increase the 
capabilities of the institution in appropriate training areas.
    (17) Preparing personnel to meet the National Education Goals. This 
priority supports projects that develop or expand innovative preservice 
and inservice training programs that are designed to provide personnel 
serving children with disabilities with skills that are needed to help 
schools meet the National Education Goals. These programs must promote 
the following:
    (i) Increased collaboration among providers of special education, 
regular education, bilingual education, migrant education, and 
vocational education, and among public and private agencies and 
institutions.
    (ii) Improved coordination of services among health and social 
services agencies and within communities regarding services for children 
with disabilities and their families.
    (iii) Increased systematic parental involvement in the education of 
their children with disabilities.
    (iv) Inclusion of children with disabilities in all aspects of 
education and society.
    (v) Training that is designed to enable special education teachers 
to teach, as appropriate, to world class standards (such as those 
developed by the National Council on Teachers of Mathematics) as those 
standards are developed.
    (18) Training educational interpreters. This priority supports 
projects for the establishment or continuation of educational 
interpreter training programs to train personnel to effectively meet the 
various communication needs of elementary and secondary students who are 
deaf or deaf-blind. These programs may also provide for the training or 
retraining (including short-term and inservice training) of regular 
education teachers who are involved in providing instruction to 
individuals who are deaf, but who are not certified as teachers of such 
individuals, and other personnel who work with such individuals, on the 
role of educational interpreters.
    (19) Attention deficit disorders. This priority supports projects to 
devise new inservice and preservice training strategies for special 
education and regular classroom teachers and administrators to address 
the needs of children with attention deficit disorders (ADD). The 
purpose is not to develop distinct categorical programs for training 
personnel to teach children with ADD, but rather to enhance the skills 
of general and special education teachers and administrators to better 
serve this population of students. These strategies must be infused into 
personnel preparation programs of national organizations serving regular 
and special education personnel.
    (20) Regional model demonstration training programs on deafness and 
secondary disabilities. This priority supports regional model 
demonstration training programs on deafness and secondary disabilities. 
These programs shall provide preservice and inservice training to 
teachers, school administrators, leadership personnel, and related 
services personnel in the education of students with deafness.
    (21) Training regular educators who serve students with deafness. 
This priority supports projects to provide for the training or 
retraining of regular education teachers who are involved in providing 
instruction to individuals who are deaf, but who are not certified as 
teachers of such individuals, to meet the communication needs of such 
individuals.
    (b) Under paragraph (a) of this section, the Secretary may identify 
an amount of funds to be set aside for projects to address the needs of 
children with particular disabilities and in particular States or 
geographic areas. Decisions to implement this paragraph would be based 
on review of each State's comprehensive systems of personnel 
development, special studies, and other information.

(Authority: 20 U.S.C. 1431(a)-(c))

[57 FR 62099, Dec. 29, 1992, as amended at 58 FR 27441, May 7, 1993]

[[Page 184]]



            Subpart C--How Does the Secretary Make an Award?



Sec. 318.20  What are the requirements for applicants?

    (a) An applicant under Sec. 318.10 (a)(1), (a)(2), (a)(6), or (a)(8) 
shall demonstrate that the proposed project is consistent with the needs 
for personnel, including personnel to provide special education services 
to children with limited English proficiency, identified by the 
comprehensive systems of personnel development of the State or States 
typically employing program graduates.
    (b) A project under Sec. 318.10 (a)(1), (a)(2), (a)(6), or (a)(8) 
must include--
    (1) Training techniques and procedures designed to foster 
collaboration among special education teachers, regular teachers, 
administrators, related service personnel, early intervention personnel, 
and parents;
    (2) Training techniques, procedures, and practica designed to 
demonstrate the delivery of services in an array of regular, special 
education, and community settings; and
    (3) Interdisciplinary preparation of trainees.
    (c) An applicant shall demonstrate how it will address, in whole or 
in part, the needs of infants, toddlers, children, and youth with 
disabilities from minority backgrounds.
    (d) An applicant under Sec. 318.10 (a)(1), (a)(2), (a)(6), or (a)(8) 
shall present a detailed description of strategies for recruitment and 
training of members of minority groups and persons with disabilities.
    (e) For technical assistance under Sec. 318.10(a)(5), to 
professional development partnership projects, an applicant shall 
demonstrate capacity and expertise in the education, training, and 
retention of workers to serve children and youth with disabilities 
through the use of consortia or partnerships established for the purpose 
of retaining the existing workforce and providing opportunities for 
career enhancements.
    (f) An applicant under Sec. 318.10 ((a)(1), (a)(2), (a)(6), or 
(a)(8) shall demonstrate that it meets State and professionally 
recognized standards for the training of personnel, as evidenced by 
appropriate State and professional accreditation, unless the award is 
for the purpose of assisting the applicant to meet those standards.
    (g) An applicant under Sec. 318.10(a)(7) must provide an assurance 
that all interpreters receiving training under the grant will be 
provided training designed to develop skills necessary for facilitating 
effective communication for students who are deaf or deaf-blind.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1410; 1431(a)-(c))

[57 FR 62099, Dec. 29, 1992, as amended at 58 FR 27441, May 7, 1993]



Sec. 318.21  How does the Secretary evaluate an application?

    (a) The Secretary evaluates an application on the basis of the 
criteria in Secs. 318.22, 318.23, and 318.24.
    (b) The Secretary awards up to 100 points for these criteria.
    (c) The maximum possible score for each criterion is indicated in 
parentheses.

(Authority: 20 U.S.C. 1431(a)-(c))



Sec. 318.22  What selection criteria does the Secretary use to evaluate applications for preservice training, leadership training, professional development 

          programs, regional model demonstration training programs on 
          deafness and secondary disabilities, training educational 
          interpreters, and training regular educators to serve students 
          with deafness?

    The Secretary uses the following criteria to evaluate all 
applications for preservice training under Sec. 318.10(a)(1), leadership 
training under Sec. 318.10(a)(2), professional development projects 
under Sec. 318.10(a)(4), regional model demonstration training programs 
on deafness and secondary disabilities under Sec. 318.10(a)(6), training 
educational interpreters under Sec. 318.10(a)(7), and training regular 
educators to serve students with deafness under Sec. 318.10(a)(8).
    (a) Impact on critical present and projected needs. (30 points) The 
Secretary reviews each application to determine the extent to which the 
training will have a significant impact on critical present and 
projected State, regional,

[[Page 185]]

or national needs in the quality or the quantity of personnel serving 
infants, toddlers, children, and youth with disabilities. The Secretary 
considers--
    (1) The significance of the personnel needs to be addressed to the 
provisions of special education, related services, and early 
intervention. Significance of needs identified by the applicant may be 
shown by--
    (i) Evidence of critical shortages of personnel to serve infants, 
toddlers, children, and youth with disabilities, including those with 
limited English proficiency, in targeted specialty or geographic areas, 
as demonstrated by data from the State comprehensive systems of 
personnel development; reports from the Clearinghouse on Careers and 
Employment of Personnel serving children and youth with disabilities; or 
other indicators of need that the applicant demonstrates are relevant, 
reliable, and accurate; or
    (ii) Evidence showing significant need for improvement in the 
quality of personnel providing special education, related services, and 
early intervention services, as shown by comparisons of actual and 
needed skills of personnel in targeted speciality or geographic areas; 
and
    (2) The impact the proposed project will have on the targeted need. 
Evidence that the project results will have an impact on the targeted 
needs may include--
    (i) The projected number of graduates from the project each year who 
will have necessary competencies and certification to affect the need;
    (ii) For ongoing programs, the extent to which the applicant's 
projections are supported by the number of previous program graduates 
that have entered the field for which they received training, and the 
professional contributions of those graduates; and
    (iii) For new programs, the extent to which program features address 
the projected needs, the applicant's plan for helping graduates locate 
appropriate employment in the area of need, and the program features 
that ensure that graduates will have competencies needed to address 
identified qualitative needs.
    (b) Capacity of the applicant. (25 points) The Secretary reviews 
each application to determine the capacity of the applicant to train 
qualified personnel, including consideration of--
    (1) The qualifications and accomplishments of the project director 
and other key personnel directly involved in the proposed training 
program, including prior training, publications, and other professional 
contributions;
    (2) The amount of time each key person plans to commit to the 
project;
    (3) How the applicant, as a part of its nondiscriminatory employment 
practices, will ensure that its personnel are selected for employment 
without regard to race, color, national origin, gender, age, or 
disability;
    (4) The adequacy of resources, facilities, supplies, and equipment 
that the applicant plans to commit to the project;
    (5) The quality of the practicum training settings, including 
evidence that they are sufficiently available; apply state-of-the-art 
services and model teaching practices, materials, and technology; 
provide adequate supervision to trainees; offer opportunities for 
trainees to teach; and foster interaction between students with 
disabilities and their nondisabled peers;
    (6) The capacity of the applicant to recruit well-qualified 
students;
    (7) The experience and capacity of the applicant to assist local 
public schools and early intervention service agencies in providing 
training to these personnel, including the development of model 
practicum sites; and
    (8) The extent to which the applicant cooperates with the State 
educational agency, the State-designated lead agency under part H of the 
Act, other institutions of higher education, and other appropriate 
public and private agencies in the region served by the applicant in 
identifying personnel needs and plans to address those needs.
    (c) Plan of operation. (25 points) The Secretary reviews each 
application to determine the quality of the plan of operation for the 
project, including--
    (1) High quality in the design of the project;
    (2) The extent to which the plan of management ensures effective, 
proper, and efficient administration of the project;

[[Page 186]]

    (3) How well the objectives of the project relate to the purpose of 
the program;
    (4) The way the applicant plans to use its resources and personnel 
to achieve each objective;
    (5) The extent to which the application includes a delineation of 
competencies that program graduates will acquire and how the 
competencies will be evaluated;
    (6) The extent to which substantive content and organization of the 
program--
    (i) Are appropriate for the students' attainment of professional 
knowledge and competencies deemed necessary for the provision of quality 
educational and early intervention services for infants, toddlers, 
children, and youth with disabilities; and
    (ii) Demonstrate an awareness of methods, procedures, techniques, 
technology, and instructional media or materials that are relevant to 
the preparation of personnel who serve infants, toddlers, children, and 
youth with disabilities; and
    (7) The extent to which program philosophy, objectives, and 
activities implement current research and demonstration results in 
meeting the educational or early intervention needs of infants, 
toddlers, children, and youth with disabilities.
    (d) Evaluation plan. (10 points) The Secretary reviews each 
application to determine the quality of the evaluation plan for the 
project, including the extent to which the applicant's methods of 
evaluation--
    (1) Are appropriate for the project;
    (2) To the extent possible, are objective and produce data that are 
quantifiable, including, but not limited to, the number of trainees 
graduated and hired; and;
    (3) Provide evidence that evaluation data and student follow-up data 
are systematically collected and used to modify and improve the program. 
(See 34 CFR 75.590, Evaluation by the grantee.)
    (e) Budget and cost-effectiveness. (10 points) The Secretary reviews 
each application to determine the extent to which--
    (1) The budget for the project is adequate to support the project 
activities;
    (2) Costs are reasonable in relation to the objectives of the 
project; and
    (3) The applicant presents appropriate plans for the 
institutionalization of federally supported activities into basic 
program operations.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1431(a)-(c))

[57 FR 62099, Dec. 29, 1992, as amended at 58 FR 27441, May 7, 1993]



Sec. 318.23  What selection criteria does the Secretary use to evaluate applications for special projects?

    The Secretary uses the following criteria to evaluate special 
projects under Sec. 318.10(a)(3):
    (a) Anticipated project results. (20 points) The Secretary reviews 
each application to determine the extent to which the project will meet 
present and projected needs under parts B and H of the Act in special 
education, related services, or early intervention services personnel 
development.
    (b) Program content. (20 points) The Secretary reviews each 
application to determine--
    (1) The project's potential for national significance, its potential 
for replication and effectiveness, and the quality of its plan for 
dissemination of the results of the project;
    (2) The extent to which substantive content and organization of the 
project--
    (i) Are appropriate for the attainment of knowledge that is 
necessary for the provision of quality educational and early 
intervention services to infants, toddlers, children, and youth with 
disabilities; and
    (ii) Demonstrate an awareness of relevant methods, procedures, 
techniques, technology, and instructional media or materials that can be 
used in the development of a model to prepare personnel to serve 
infants, toddlers, children, and youth with disabilities; and
    (3) The extent to which program philosophy, objectives, and 
activities are related to the educational or early intervention needs of 
infants, toddlers, children, and youth with disabilities.
    (c) Plan of operation. (15 points) The Secretary reviews each 
application to

[[Page 187]]

determine the quality of the plan of operation for the project, 
including--
    (1) High quality in the design of the project;
    (2) An effective plan of management that ensures proper and 
efficient administration of the project;
    (3) How the objectives of the project relate to the purpose of the 
program; and
    (4) The way the applicant plans to use its resources and personnel 
to achieve each objective.
    (d) Evaluation plan. (15 points) The Secretary reviews each 
application to determine the quality of the evaluation plan for the 
project, including the extent to which the applicant's methods of 
evaluation--
    (1) Are appropriate for the project; and
    (2) To the extent possible, are objective and produce data that are 
quantifiable. (See 34 CFR 75.590, Evaluation by the grantee.)
    (e) Quality of key personnel. (15 points) The Secretary reviews each 
application to determine the quality of the key personnel the applicant 
plans to use in the project, including--
    (1) The qualifications of the project director;
    (2) The qualifications of each of the other key personnel to be used 
in the project;
    (3) The time that each of the key personnel plans to commit to the 
project;
    (4) How the applicant, as a part of its nondiscriminatory employment 
practices, will ensure that its personnel are selected for employment 
without regard to race, color, national origin, gender, age, or 
disability; and
    (5) Evidence of the key personnel's past experience and training in 
fields related to the objectives of the project.
    (f) Adequacy of resources. (5 points) The Secretary reviews each 
application to determine the adequacy of the resources that the 
applicant plans to devote to the project, including facilities, 
equipment, and supplies.
    (g) Budget and cost effectiveness. (10 points) The Secretary reviews 
each application to determine the extent to which--
    (1) The budget is adequate to support the project; and
    (2) Costs are reasonable in relation to the objectives of the 
project.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1431(a)-(c))



Sec. 318.24  What selection criteria does the Secretary use to evaluate applications for technical assistance activities?

    The Secretary uses the following criteria to evaluate applications 
for technical assistance activities under Sec. 318.10(a)(5):
    (a) Plan of operation. (25 points) The Secretary reviews each 
application to determine the quality of the plan to operation for the 
project, including--
    (1) The quality of the project design;
    (2) The effectiveness of the management plan in ensuring proper and 
efficient administration of the project;
    (3) How the objectives of the project relate to the purpose of the 
program; and
    (4) The way the applicant plans to use its resources and personnel 
to achieve each objective.
    (b) Program content. (20 points) The Secretary reviews each 
application to determine--
    (1) The project's potential for national significance, its potential 
for effectiveness, and the quality of its plan for dissemination of the 
results of the project;
    (2) The extent to which substantive content and organization of the 
program--
    (i) Are appropriate for the attainment of knowledge that is 
necessary for the provision of quality educational and early 
intervention services to infants, toddlers, children, and youth with 
disabilities; and
    (ii) Demonstrate an awareness of relevant methods, procedures, 
techniques, technology, and instructional media or materials that can be 
used in the development of a model to prepare personnel to serve 
infants, toddlers, children, and youth with disabilities; and
    (3) The extent to which program philosophy, objectives, and 
activities are related to the educational or early intervention needs of 
infants, toddlers, children, and youth with disabilities.

[[Page 188]]

    (c) Applicant experience and ability. (15 points) The Secretary 
looks for information that shows the applicant's--
    (1) Experience and training in fields related to the objectives of 
the project;
    (2) National experience relevant to performance of the functions 
supported by this program;
    (3) Ability to conduct the proposed project;
    (4) Ability to communicate with intended consumers of information;
    (5) Ability to maintain necessary communication and coordination 
with other relevant projects, agencies, and organizations; and
    (6) Capacity and expertise in the education, training, and retention 
of workers to serve children and youth with disabilities through the use 
of consortia or partnerships established for the purpose of retaining 
the existing workforce and providing opportunities for career 
enhancements.
    (d) Quality of key personnel. (10 points) The Secretary reviews each 
application to determine the quality of the key personnel the applicant 
plans to use in the project, including--
    (1) The qualifications of the project director;
    (2) The qualifications of each of the other key personnel to be used 
in the project;
    (3) The time that each of the key personnel plans to commit to the 
project; and
    (4) How the applicant, as a part of its nondiscriminatory employment 
practices, will ensure that its personnel are selected for employment 
without regard to race, color, national origin, gender, age, or 
disability.
    (e) Evaluation plan. (15 points) The Secretary reviews each 
application to determine the quality of the evaluation plan for the 
project, including the extent to which the applicant's methods of 
evaluation--
    (1) Are appropriate for the project; and
    (2) To the extent possible, are objective and produce data that are 
quantifiable. (See 34 CFR 75.590, Evaluation by the grantee.)
    (f) Adequacy of resources. (5 points) The Secretary reviews each 
application to determine the adequacy of the resources that the 
applicant plans to devote to the project, including facilities, 
equipment, and supplies.
    (g) Budget and cost effectiveness. (10 points) The Secretary reviews 
each application to determine the extent to which--
    (1) The budget is adequate to support the project; and
    (2) Costs are reasonable in relation to the objectives of the 
project.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1431(a)-(c))



Sec. 318.25  What additional factors does the Secretary consider?

    To the extent feasible, the Secretary ensures that projects for 
professional development partnerships under Sec. 318.10(a)(4) and 
training educational interpreters under Sec. 318.10(a)(7) are 
geographically dispersed throughout the Nation in urban and rural areas.

(Authority: 20 U.S.C. 1431(a)-(c))

[58 FR 27441, May 7, 1993]



             Subpart D--What Conditions Must a Grantee Meet?



Sec. 318.30  What are the priorities for award of student fellowships and traineeships?

    A grantee shall give priority consideration in the selection of 
qualified recipients of fellowships and traineeships to individuals from 
disadvantaged backgrounds, including minorities and individuals with 
disabilities who are underrepresented in the teaching profession or in 
the specializations in which they are being trained.

(Authority: 20 U.S.C. 1431(a)-(c))



Sec. 318.31  Is student financial assistance authorized?

    The sum of the assistance provided to a student under this part and 
any other assistance provided the student may not exceed the student's 
cost of attendance as follows:
    (a) Cost of attendance means--
    (1) Tuition and fees normally assessed a student carrying the same 
academic workload (as determined by the institution) including costs for 
rental

[[Page 189]]

or purchase of any equipment, materials, or supplies required of all 
students in the same course of study;
    (2) An allowance (as determined by the institution) for books, 
supplies, transportation, and miscellaneous personal expenses for a 
student attending the institution on at least a half-time basis;
    (3) An allowance (as determined by the institution) for room and 
board costs incurred by the student that--
    (i) Is not less than $1,500 for students without dependents residing 
at home with parents;
    (ii) Is the standard amount that the institution normally assesses 
its residents for room and board for students without dependents 
residing in institutionally owned or operated housing; and
    (iii) Is based for all other students on the expenses reasonably 
incurred for room and board outside the institution, except that the 
amount may not be less than $2,500;
    (4) For less than half-time students (as determined by the 
institution), tuition and fees and an allowance for books, supplies, and 
transportation (as determined by the institution) and dependent care 
expenses (in accordance with paragraph (a)(7) of this section);
    (5) For a student engaged in a program of study by correspondence, 
only tuition and fees; and, if required, books and supplies, travel, and 
room and board costs incurred specifically in fulfilling a required 
period of residential training;
    (6) For a student enrolled in an academic program that normally 
includes a formal program of study abroad, reasonable costs associated 
with the study as determined by the institution;
    (7) For a student with one or more dependents, an allowance, as 
determined by the institution, based on the expenses reasonably incurred 
for dependent care based on the number and age of the dependents; and
    (8) For a student with a disability, an allowance, as determined by 
the institution, for those expenses related to his or her disability, 
including special services, transportation, equipment, and supplies that 
are reasonably incurred and not provided for by other assisting 
agencies.
    (b) For a student receiving all or part of his or her instruction by 
means of telecommunications technology, no distinction may be made with 
respect to the mode of instruction in determining costs, but this 
paragraph may not be construed to permit including the cost of rental or 
purchase of equipment.

(Authority: 20 U.S.C. 1087ll)



Sec. 318.32  What are the student financial assistance criteria?

    Direct financial assistance may only be paid to a student in a 
preservice program, and only if the student--
    (a) Is qualified for admission to the program of study;
    (b) Maintains satisfactory progress in a course of study as defined 
in 34 CFR 668.7; and
    (c)(1) Is a citizen or national of the United States;
    (2) Provides evidence from the U.S. Immigration and Naturalization 
Service that he or she--
    (i) Is a permanent resident of the United States; or
    (ii) Is in the United States for other than a temporary purpose with 
the intention of becoming a citizen or permanent resident; or
    (3) Has a permanent or lasting--as distinguished from temporary--
principal, actual dwelling place in fact, without regard to intent, in 
Palau or the Commonwealth of the Northern Mariana Islands.

(Authority: 20 U.S.C. 1091)



Sec. 318.33  May the grantee use funds if a financially assisted student withdraws or is dismissed?

    Financial assistance awarded to a student that is unexpended because 
the student withdraws or is dismissed from the training program may be 
used for financial assistance to other eligible students during the 
grant period.

(Authority: 20 U.S.C. 1087ll)



Sec. 318.34  What are the reporting requirements under this program?

    Recipients shall, if appropriate, prepare reports describing their 
procedures, findings, and other relevant information in a form that will 
maximize

[[Page 190]]

the dissemination and use of those procedures, findings, and 
information. The Secretary requires their delivery, as appropriate, to 
the Regional and Federal Resource Centers, the Clearinghouses, and the 
Technical Assistance to Parents Program (TAPP) assisted under parts C 
and D of the Act, as well as the National Diffusion Network, the ERIC 
Clearinghouse on the Handicapped and Gifted, and the Child and 
Adolescent Service Systems Program (CASSP) under the National Institute 
of Mental Health, appropriate parent and professional organizations, 
organizations representing individuals with disabilities, and other 
networks the Secretary may determine to be appropriate.

(Approved by the Office of Management and Budget under control number 
1820-0530)


(Authority: 20 U.S.C. 1409(g))



PART 319--TRAINING PERSONNEL FOR THE EDUCATION OF INDIVIDUALS WITH DISABILITIES--GRANTS TO STATE EDUCATIONAL AGENCIES AND INSTITUTIONS OF HIGHER EDUCATION--Table of Contents




                           Subpart A--General

Sec.
319.1  What is the Training Personnel for the Education of Individuals 
          with Disabilities--Grants to State Educational Agencies and 
          Institutions of Higher Education program?
319.2  Who is eligible for an award?
319.3  What activities may the Secretary fund?
319.4  What regulations apply to this program?
319.5  What definitions apply to this program?

               Subpart B--How Does One Apply for an Award?

319.10  What are the application requirements under this program?

            Subpart C--How Does the Secretary Make an Award?

319.20  How does the Secretary evaluate an application?
319.21  How does the Secretary determine the amount of a basic State 
          award?
319.22  How does the Secretary determine the amount available for the 
          competitive award program?
319.23  What selection criteria does the Secretary use in the basic 
          State award and competitive award programs?
319.24  What selection criteria does the Secretary use to evaluate 
          applications for technical assistance activities?

         Subpart D--What Conditions Must Be Met After an Award?

319.30  Is student financial assistance authorized?
319.31  What are the student financial assistance criteria?
319.32  May the grantee use funds if a financially assisted student 
          withdraws or is dismissed?
319.33  What are the reporting requirements under this program?

    Authority:  20 U.S.C. 1432, unless otherwise noted.

    Source:  57 FR 62106, Dec. 29, 1992, unless otherwise noted.

    Effective Date Note:  At 63 FR 23601, Apr. 29, 1998, part 319 was 
removed, effective Oct. 1, 1998.



                           Subpart A--General



Sec. 319.1  What is the Training Personnel for the Education of Individuals with Disabilities--Grants to State Educational Agencies and Institutions of Higher 
          Education program?

    This program assists States in establishing and maintaining 
preservice and inservice programs to prepare special and regular 
education, related services, and early intervention personnel and their 
supervisors to meet the needs of infants, toddlers, children, and youth 
with disabilities. These programs must be consistent with the personnel 
needs identified in the State's comprehensive systems of personnel 
development under sections 613 and 676(b)(8) of the Individuals With 
Disabilities Education Act (IDEA). The program also assists States in 
developing and maintaining their comprehensive systems of personnel 
development, including conducting recruitment and retention activities.

(Authority: 20 U.S.C. 1432)



Sec. 319.2  Who is eligible for an award?

    (a) Each State educational agency (SEA) is eligible to receive an 
award

[[Page 191]]

under the basic State award program described in Sec. 319.3(a). If an 
SEA does not apply for an award, institutions of higher education (IHEs) 
within the State may apply for the award for that State. If an SEA 
chooses not to apply for basic State award, the SEA shall notify all 
IHEs within the State at least 30 days prior to the Department's closing 
date for applications.
    (b) Only State educational agencies are eligible for a competitive 
award described in Sec. 319.3(b).
    (c) Profit and nonprofit organizations and agencies are eligible for 
technical assistance awards described in Sec. 319.3(c).

(Authority: 20 U.S.C. 1432)



Sec. 319.3  What activities may the Secretary fund?

    The Secretary funds basic State awards and may fund competitive 
grant awards and provide technical assistance to States in developing 
and maintaining their comprehensive systems of personnel development and 
in recruitment and retention strategies.
    (a) Basic State awards. The Secretary makes an award to each State 
for the purposes described in Sec. 319.1.
    (b) Competitive award program. The Secretary may make competitive 
awards for the purposes described in Sec. 319.1. These awards must 
address particularly high priority issues in a State that also have high 
potential for generalizability to needs in other States.
    (c) Technical assistance. (1) The Secretary may provide technical 
assistance to State educational agencies on matters pertaining to the 
effective implementation of section 613(a)(3) of the IDEA.
    (2) This activity includes, but is not limited to, technical 
assistance to the States relating to the following--
    (i) Monitoring personnel needs in the State including identification 
of alternative approaches for determining current and projected needs;
    (ii) Analyzing strategies to determine needs for professional 
preparation to meet the needs of children with disabilities;
    (iii) Identifying, designing, adapting, testing, and disseminating 
new professional preparation strategies; and
    (iv) Providing technical assistance in the personnel development, 
recruitment, and retention areas.
    (3) Operational activities must include, but are not limited to, the 
following:
    (i) Determining national needs and identifying unserved regions and 
populations.
    (ii) Identifying the specific technical assistance needs of 
individual States related to professional preparation.
    (iii) Conducting annual meetings at national and regional levels.
    (iv) Dissemination of information through media, newsletters, 
computers, and written documentation.
    (v) Cooperative activities with other personnel development projects 
and organizations on common goals.
    (vi) Evaluation, including impact determination, and evaluation 
assistance to personnel development projects funded under section 632 of 
the IDEA as well as evaluation of comprehensive system of personnel 
development activities.

(Authority: 20 U.S.C. 1432)

[57 FR 62106, Dec. 29, 1992; 59 FR 1651, Jan. 12, 1994]



Sec. 319.4  What regulations apply to this program?

    The following regulations apply to this program:
    (a) The Education Department General Administrative Regulations 
(EDGAR) in the following parts of title 34 of the Code of Federal 
Regulations:
    (1) Part 74 (Administration of Grants to Institutions of Higher 
Education, Hospitals, and Nonprofit Organizations).
    (2) Part 75 (Direct Grant Programs).
    (3) Part 77 (Definitions that Apply to Department Regulations).
    (4) Part 79 (Intergovernmental Review of Department of Education 
Programs and Activities).
    (5) Part 80 (Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments).
    (6) Part 81 (General Education Provisions Act--Enforcement).
    (7) Part 82 (New Restrictions on Lobbying).

[[Page 192]]

    (8) Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace 
(Grants)).
    (9) Part 86 (Drug-Free Schools and Campuses).
    (b) The regulations in this part 319.

(Authority: 20 U.S.C. 1432; 3474(a))



Sec. 319.5  What definitions apply to this program?

    The following terms used in this part are defined in 34 CFR 77.1:
    Applicant
    Application
    Award
    Department
    EDGAR
    Fiscal year
    Grant period
    Preschool
    Project
    Public
    Secretary
    State
    State educational agency

(Authority: 20 U.S.C. 1432)



               Subpart B--How Does One Apply for an Award?



Sec. 319.10  What are the application requirements under this program?

    An institution of higher education that applies for an award under 
Sec. 319.3(a) shall demonstrate that it meets State and professionally 
recognized standards for the training of special education and related 
services personnel, as evidenced by appropriate State and professional 
accreditation, unless--as indicated in a published priority of the 
Secretary--the award is for the purpose of assisting the applicant to 
meet those standards.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1432)



            Subpart C--How Does the Secretary Make an Award?



Sec. 319.20  How does the Secretary evaluate an application?

    (a) The Secretary evaluates an application on the basis of the 
criteria in Secs. 319.23 and 319.24.
    (b) The Secretary awards up to 100 points for these criteria.
    (c) The maximum possible score for each criterion is indicated in 
parentheses.

(Authority: 20 U.S.C. 1432)



Sec. 319.21  How does the Secretary determine the amount of a basic State award?

    The Secretary determines the amount of an award under Sec. 319.3(a) 
as follows:
    (a) The Secretary distributes no less than 80 percent of the funds 
available for these awards as follows:
    (1) Each State receives a base amount to be determined by the 
Secretary, but not less than $85,000.
    (2) From the funds remaining, the Secretary provides an additional 
amount to each State based on the State's proportion of the national 
child count provided under part B of the IDEA and subpart 2 of part D of 
chapter 1 of title I of the Elementary and Secondary Education Act of 
1965, as amended.
    (b) After determining a State's award under paragraph (a) of this 
section, the Secretary determines annually the additional amount of 
funds to be awarded for the quality of the application based on the 
criteria set forth in Sec. 319.23.

(Authority: 20 U.S.C. 1432)



Sec. 319.22  How does the Secretary determine the amount available for the competitive award program?

    In any fiscal year, the Secretary may not expend for the competitive 
program under Sec. 319.3(b) an amount more

[[Page 193]]

than 10 percent of the amount expended under section 632 of the IDEA in 
the preceding fiscal year.

(Authority: 20 U.S.C. 1432)



Sec. 319.23  What selection criteria does the Secretary use in the basic State award and competitive award programs?

    The Secretary uses the following criteria to evaluate an application 
for a basic State award (SEA or IHE applicant) and for a competitive 
award:
    (a) Extent of need for the project. (30 points) The Secretary 
reviews each application to determine--
    (1) The extent to which the project identifies and selects priority 
needs from the range of personnel needs identified in the State 
comprehensive systems of personnel development;
    (2) The extent to which the project addresses the personnel needs 
selected by the applicant under paragraph (a)(1) of this section; and
    (3) If appropriate, how the project relates to actual and projected 
personnel needs for certified teachers in the State as identified by the 
State educational agency in its annual data report required under 
section 618 of the IDEA.
    (b) Program content. (20 points) The Secretary reviews each 
application to determine the extent to which--
    (1) Competencies that will be acquired by each trainee and how the 
competencies will be evaluated are identified;
    (2) Substantive content of the training to be provided is 
appropriate for the attainment of professional knowledge and 
competencies that are necessary for the provision of quality educational 
or early intervention services to infants, toddlers, children, and youth 
with disabilities;
    (3) Benefits to be gained by the number of trainees expected to be 
graduated or otherwise to complete training and employed over the next 
five years are described;
    (4) Appropriate methods, procedures, techniques, and instructional 
media or materials will be used in the preparation of trainees who serve 
infants, toddlers, children, and youth with disabilities;
    (5) If relevant, appropriate practicum facilities are accessible to 
the applicant agency and trainees and will be used for such activities 
as observation, participation, practice teaching, laboratory or clinical 
experience, internships, and other supervised experiences of adequate 
scope and length;
    (6) If relevant, practicum facilities for model programs will 
provide state-of-the-art educational services, including use of current 
and innovative curriculum materials, instructional procedures, and 
equipment; and
    (7) Program philosophy, program objectives, and activities to be 
implemented to attain program objectives are related to the educational 
or early intervention needs of infants, toddlers, children, and youth 
with disabilities.
    (c) Plan of operation. (15 points) The Secretary reviews each 
application to determine the quality of the plan of operation for the 
project, including--
    (1) The quality of the project design;
    (2) The effectiveness of the management plan in ensuring proper and 
efficient administration of the project;
    (3) How the objectives of the project relate to the purpose of the 
program;
    (4) The way the applicant plans to use its resources and personnel 
to achieve each objective; and
    (5) How the applicant will ensure that project participants who are 
otherwise eligible to participate are selected without regard to race, 
color, national origin, gender, age, or disability.
    (d) Evaluation plan. (15 points) The Secretary reviews each 
application to determine the quality of the evaluation plan for the 
project, including the extent to which the applicant's methods of 
evaluation--
    (1) Are appropriate for the project; and
    (2) To the extent possible, are objective and produce data that are 
quantifiable, including, but not limited to, the number of trainees 
graduated and hired, and the number of trainees who complete short-term 
in-service or pre-service training programs. (See 34 CFR 75.590, 
Evaluation by the grantee).
    (e) Quality of key personnel. (10 points) The Secretary reviews each 
application to determine the quality of the key

[[Page 194]]

personnel the applicant plans to use on the project, including--
    (1) The qualifications of the project director;
    (2) The qualifications of each of the other key personnel to be used 
in the project;
    (3) The time that each of the key personnel plans to commit to the 
project;
    (4) How the applicant, as a part of its nondiscriminatory employment 
practices, will ensure that its personnel are selected for employment 
without regard to race, color, national origin, gender, age, or 
disability; and
    (5) Experience and training in fields related to the objectives of 
the project.
    (f) Adequacy of resources. (5 points) The Secretary reviews each 
application to determine the adequacy of the resources that the 
applicant plans to devote to the project, including facilities, 
equipment, and supplies.
    (g) Budget and cost-effectiveness. (5 points) The Secretary reviews 
each application to determine the extent to which--
    (1) The budget is adequate to support the project; and
    (2) Costs are reasonable in relation to the objectives of the 
project.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1432)



Sec. 319.24  What selection criteria does the Secretary use to evaluate applications for technical assistance activities?

    The Secretary uses the following criteria to evaluate applications 
for technical assistance activities:
    (a) Plan of operation. (25 points) The Secretary reviews each 
application to determine the quality of the plan of operation for the 
project, including--
    (1) The quality of the project design;
    (2) The effectiveness of the management plan in ensuring proper and 
efficient administration of the project;
    (3) How the objectives of the project relate to the purpose of the 
program; and
    (4) The way the applicant plans to use its resources and personnel 
to achieve each objective.
    (b) Program content. (20 points) The Secretary reviews each 
application to determine--
    (1) The project's potential for national significance, its potential 
effectiveness, and the quality of its plan for dissemination of the 
results of the project;
    (2) The extent to which substantive content and organization of the 
program--
    (i) Are appropriate for the attainment of knowledge that is 
necessary for the provision of quality educational and early 
intervention services to infants, toddlers, children, and youth with 
disabilities; and
    (ii) Demonstrate an awareness of relevant methods, procedures, 
techniques, technology, and instructional media or materials that can be 
used in the development of a model to prepare personnel to serve 
infants, toddlers, children, and youth with disabilities; and
    (3) The extent to which program philosophy, objectives, and 
activities are related to the educational or early intervention needs of 
infants, toddlers, children, and youth with disabilities.
    (c) Applicant experience and ability. (15 points) The Secretary 
looks for information that shows the applicant's--
    (1) Experience and training in fields related to the objectives of 
the project;
    (2) National experience relevant to performance of the functions 
supported by this program;
    (3) Ability to conduct the proposed project;
    (4) Ability to communicate with intended consumers of information; 
and
    (5) Ability to maintain necessary communication and coordination 
with other relevant projects, agencies, and organizations.
    (d) Quality of key personnel. (10 points) The Secretary reviews each 
application to determine the quality of the key personnel the applicant 
plans to use in the project, including--
    (1) The qualifications of the project director;
    (2) The qualifications of each of the other key personnel to be used 
in the project;
    (3) The time that each of the key personnel plans to commit to the 
project; and

[[Page 195]]

    (4) How the applicant, as a part of its nondiscriminatory employment 
practices, will ensure that its personnel are selected for employment 
without regard to race, color, national origin, gender, age, or 
disability.
    (e) Evaluation plan. (15 points) The Secretary reviews each 
application to determine the quality of the evaluation plan for the 
project, including the extent to which the applicant's methods of 
evaluation--
    (1) Are appropriate for the project; and
    (2) To the extent possible, are objective and produce data that are 
quantifiable. (See 34 CFR 75.590, Evaluation by the grantee.)
    (f) Adequacy of resources. (5 points) The Secretary reviews each 
application to determine the adequacy of the resources that the 
applicant plans to devote to the project, including facilities, 
equipment, and supplies.
    (g) Budget and cost effectiveness. (10 points) The Secretary reviews 
each application to determine the extent to which--
    (1) The budget is adequate to support the project; and
    (2) Costs are reasonable in relation to the objectives of the 
project.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1432)



         Subpart D--What Conditions Must Be Met After an Award?



Sec. 319.30  Is student financial assistance authorized?

    A grantee may use grant funds under Sec. 319.2 (a) and (b) to 
provide traineeships or stipends. The sum of the assistance provided to 
a student through this part and any other assistance provided the 
student may not exceed the student's cost of attendance as follows:
    (a) Cost of attendance means--
    (1) Tuition and fees normally assessed a student carrying the same 
academic workload (as determined by the institution) including costs for 
rental or purchase of any equipment, materials, or supplies required of 
all students in the same course of study;
    (2) An allowance (as determined by the institution) for books, 
supplies, transportation, miscellaneous and personal expenses for a 
student attending the institution on at least a half-time basis;
    (3) An allowance (as determined by the institution) for room and 
board costs incurred by the student that--
    (i) Is not less than $1,500 for students without dependents residing 
at home with parents;
    (ii) Is the standard amount that the institution normally assesses 
its residents for room and board for students without dependents 
residing in institutionally owned or operated housing; and
    (iii) Is based for all other students on the expenses reasonably 
incurred for room and board outside the institution, except that the 
amount may not be less than $2,500;
    (4) For less than half-time students (as determined by the 
institution), tuition and fees and an allowance for books, supplies, and 
transportation (as determined by the institution) and dependent care 
expenses (in accordance with paragraph (a)(7) of this section);
    (5) For a student engaged in a program of study by correspondence, 
only tuition and fees; and, if required, books and supplies, travel, and 
room and board costs incurred specifically in fulfilling a required 
period of residential training;
    (6) For a student enrolled in an academic program that normally 
includes a formal program of study abroad, reasonable costs associated 
with the study as determined by the institution;
    (7) For a student with one or more dependents, an allowance, as 
determined by the institution, based on the expenses reasonably incurred 
for dependent care based on the number and age of the dependents; and
    (8) For a student with a disability, an allowance, as determined by 
the institution, for those expenses related to his or her disability, 
including special services, transportation, equipment, and supplies that 
are reasonably incurred and not provided for by other assisting 
agencies.
    (b) For a student receiving all or part of his or her instruction by 
means of

[[Page 196]]

telecommunication technology, no distinction may be made with respect to 
the mode of instruction in determining costs. This paragraph may not be 
construed to permit including the cost of rental or purchase of 
equipment.

(Authority: 20 U.S.C. 1087ll)



Sec. 319.31  What are the student financial assistance criteria?

    Direct financial assistance under Sec. 319.2 (a) and (b) may only be 
paid to students in preservice programs and only if the student--
    (a) Is qualified for admission to the program of study;
    (b) Maintains satisfactory progress in a course of study as provided 
in 34 CFR 668.16(e); and
    (c)(1) Is a citizen or national of the United States;
    (2) Provides evidence from the U.S. Immigration and Naturalization 
Service that he or she--
    (i) Is a permanent resident of the United States; or
    (ii) Is in the United States for other than a temporary purpose with 
the intention of becoming a citizen or permanent resident; or
    (3) Has a permanent or lasting--as distinguished from temporary--
principal, actual dwelling place in fact, without regard to intent, in 
Palau or the Commonwealth of the Northern Mariana Islands.

(Authority: 20 U.S.C. 1091)



Sec. 319.32  May the grantee use funds if a financially assisted student withdraws or is dismissed?

    Financial assistance awarded to a student that is unexpended because 
the student withdraws or is dismissed from the training program may be 
used for financial assistance to other eligible students during the 
grant period.

(Authority: 20 U.S.C. 1087ll)



Sec. 319.33  What are the reporting requirements under this program?

    Recipients shall, if appropriate, prepare reports describing their 
procedures, findings, and other relevant information in a form that will 
maximize the dissemination and use of those procedures, findings, and 
information. The Secretary requires their delivery, as appropriate, to 
the Regional and Federal Resource Centers, the Clearinghouses, and the 
Technical Assistance to Parents Program (TAPP) assisted under parts C 
and D of the IDEA, as well as the National Diffusion Network, the ERIC 
Clearinghouse on the Handicapped and Gifted, and the Child and 
Adolescent Service Systems Program (CASSP) under the National Institute 
of Mental Health, appropriate, parent and professional organizations, 
organizations representing individuals with disabilities, and other 
networks the Secretary may determine to be appropriate.

(Approved by the Office of Management and Budget under control number 
1820-0530)


(Authority: 20 U.S.C. 1409(g))



PART 320--CLEARINGHOUSES--Table of Contents




                           Subpart A--General

Sec.
320.1  What is the Clearinghouse program?
320.2  Who is eligible to apply for assistance under this program?
320.3  What activities are required of clearinghouses?
320.4  What regulations apply to this program?
320.5  What definitions apply to this program?
320.6--320.9  [Reserved]

 Subpart B--What Kinds of Projects Does the Secretary Assist Under This 
                                Program?

320.10  What kinds of activities may be supported under this part?
320.11--320.19  [Reserved]

                          Subpart C  [Reserved]

             Subpart D--How Does the Secretary Make a Grant?

320.30  What are the selection criteria used to award a grant?
320.31  What are the priorities for funding under this program?
320.32  What additional factors does the Secretary consider?
320.33--320.39  [Reserved]

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

320.40  What evaluation and coordination requirements must be met by a 
          grantee?
320.41  What other conditions must be met by grantees under this 
          program?

[[Page 197]]

320.42--320.49  [Reserved]

    Authority:  20 U.S.C. 1433, unless otherwise noted.

    Source:  49 FR 25986, June 25, 1984, unless otherwise noted.

    Effective Date Note:  At 63 FR 23601, Apr. 29, 1998, part 320 was 
removed, effective Oct. 1, 1998.



                           Subpart A--General



Sec. 320.1  What is the Clearinghouse program?

    The Clearinghouses program provides financial assistance for--
    (a) A national clearinghouse on the education of children and youth 
with disabilities that disseminates information and provides technical 
assistance to parents, professionals, and other interested parties;
    (b) A national clearinghouse on postsecondary education for 
individuals with disabilities; and
    (c) A national clearinghouse designed to encourage students to seek 
careers and professional personnel to seek employment in the various 
fields relating to the education of children and youth with 
disabilities.

(Authority: 20 U.S.C. 1433)

[56 FR 54695, Oct. 22, 1991]



Sec. 320.2  Who is eligible to apply for assistance under this program?

    Parties eligible to apply for assistance under this part are public 
agencies or nonprofit private organizations or institutions.

(Authority: 20 U.S.C. 1433)

[49 FR 25986, June 25, 1984, as amended at 56 FR 54695, Oct. 22, 1991]



Sec. 320.3  What activities are required of clearinghouses?

    The clearinghouses are required to--
    (a) Collect, develop, and disseminate information;
    (b) Provide technical assistance;
    (c) Conduct coordinated outreach activities;
    (d) Provide for the coordination and networking with other relevant 
national, State, and local organizations and information and referral 
resources;
    (e) Respond to individuals and organizations seeking information; 
and
    (f) Provide for the synthesis of information for its effective 
utilization by parents, professionals, individuals with disabilities, 
and other interested parties.

(Authority: 20 U.S.C. 1433)

[56 FR 54695, Oct. 22, 1991]



Sec. 320.4  What regulations apply to this program?

    The following regulations apply to grants awarded under this 
program:
    (a) The regulations in this part 320.
    (b) The Education Department General Administrative Regulations 
(EDGAR) in title 34 of the Code of Federal Regulations in--
    (1) Part 74 (Administration of Grants to Institutions of Higher 
Education, Hospitals, and Nonprofit Organizations);
    (2) Part 75 (Direct Grant Programs);
    (3) Part 77 (Definitions);
    (4) Part 79 (Intergovernmental Review of Department of Education 
Programs and Activities);
    (5) Part 80 (Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments);
    (6) Part 81 (General Education Provisions Act--Enforcement);
    (7) Part 82 (New Restrictions on Lobbying);
    (8) Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace 
(Grants)); and
    (9) Part 86 (Drug-Free Schools and Campuses).

(Authority: 20 U.S.C. 1433; 20 U.S.C. 3474(a))

[49 FR 25986, June 25, 1984. Redesignated and amended at 56 FR 54695, 
54696, Oct. 22, 1991]



Sec. 320.5  What definitions apply to this program?

    (a) Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:

    Contract
    EDGAR
    Grant
    Nonprofit
    Private
    Project
    Public
    Secretary

[[Page 198]]

    State

(Authority: 20 U.S.C. 3474(a))

    (b) Definitions in 34 CFR part 300. The term parent as used in this 
part is defined in 34 CFR 300.10.

(Authority: 20 U.S.C. 1433)

[49 FR 25986, June 25, 1984. Redesignated at 56 FR 54695, Oct. 22, 1991]



Secs. 320.6--320.9  [Reserved]



 Subpart B--What Kinds of Projects Does the Secretary Assist Under This 
                                Program?



Sec. 320.10  What kinds of activities may be supported under this part?

    The Secretary may provide funds under this part to--
    (a) Establish and operate a national clearinghouse for children and 
youth with disabilities that will do the following:
    (1) Collect and disseminate information (including the development 
of materials) on characteristics of infants, toddlers, children, and 
youth with disabilities and on programs, legislation, and services 
relating to their education under this Act and other Federal laws.
    (2) Participate in programs and services related to disability 
issues for providing outreach, technical assistance; collection, and 
dissemination of information; and promoting networking of individuals 
with appropriate national, State, and local agencies and organizations.
    (3) Establish a coordinated network and conduct outreach activities 
with relevant Federal, State, and local organizations and other sources 
for promoting public awareness of disability issues and the availability 
of information, programs, and services.
    (4) Collect, disseminate, and develop information on current and 
future national, Federal, regional, and State needs for providing 
information to parents, professionals, individuals with disabilities, 
and other interested parties relating to the education and related 
services of individuals with disabilities.
    (5) Provide technical assistance to national, Federal, regional, 
State and local agencies and organizations seeking to establish 
information and referral services for individuals with disabilities and 
their families.
    (6) Include strategies to disseminate information to 
underrepresented groups such as those with limited English proficiency, 
in carrying out the activities in this section.
    (b) Establish and operate a national clearinghouse on postsecondary 
education for individuals with disabilities that will do the following:
    (1) Collect and disseminate information nationally on 
characteristics of individuals entering and participating in education 
and training programs after high school; legislation affecting such 
individuals and such programs; policies; procedures, and support 
services, as well as adaptations, and other resources available or 
recommended to facilitate the education of individuals with 
disabilities; available programs and services that include, or can be 
adapted to include, individuals with disabilities; and sources of 
financial aid for the education and training of individuals with 
disabilities.
    (2) Identify areas of need for additional information.
    (3) Develop new materials (in both print and nonprint form), 
especially by synthesizing information from a variety of fields 
affecting disability issues and the education, rehabilitation, and 
retraining of individuals with disabilities.
    (4) Develop a coordinated network of professionals, related 
organizations and associations, mass media, other clearinghouses, and 
governmental agencies at the Federal, regional, State, and local level 
for the purposes of disseminating information and promoting awareness of 
issues relevant to the education of individual with disabilities after 
high school and referring individuals who request information to local 
resources.
    (5) Respond to requests from individuals with disabilities, their 
parents, and professionals who work with them, for information that will 
enable them to make appropriate decisions about postsecondary education 
and training.
    (c) Establish and operate a national clearinghouse designed to 
encourage students to seek careers and professional personnel to seek 
employment

[[Page 199]]

in the various fields related to the education of children and youth 
with disabilities that will do the following:
    (1) Collect and disseminate information on current and future 
national, regional, and State needs for special education and related 
services personnel.
    (2) Disseminate information to high school counselors and others 
concerning current career opportunities in special education, location 
of programs, and various forms of financial assistance (such as 
scholarships, stipends, and allowances).
    (3) Identify training programs available around the country.
    (4) Establish a network among local and State educational agencies 
and institutions of higher education concerning the supply of graduates 
and available openings.
    (5) Provide technical assistance to institutions seeking to meet 
State and professionally recognized standards.

(Authority: 20 U.S.C. 1433)

[56 FR 54696, Oct. 22, 1991]



Secs. 320.11--320.19  [Reserved]



                          Subpart C  [Reserved]



             Subpart D--How Does the Secretary Make a Grant?



Sec. 320.30  What are the selection criteria used to award a grant?

    The Secretary uses the criteria in this section to evaluate 
applications for new grants. The maximum score for all the criteria is 
100 points. The maximum score for each complete criterion is indicated 
in parentheses.
    (a) Plan of operation. (40 points) (1) The Secretary reviews each 
application for information that shows the quality of the plan of 
operation for the project.
    (2) The Secretary looks for information that shows--
    (i) High quality in the design of the project;
    (ii) An effective plan of management that insures proper and 
efficient administration of the project;
    (iii) A clear description of how the objectives of the project 
relate to the purpose of the program;
    (iv) The way the applicant plans to use its resources and personnel 
to achieve each objective; and
    (v) A clear description of how the applicant will provide equal 
access and treatment for eligible project participants who are members 
of groups that have been traditionally underrepresented such as--
    (A) Members of racial or ethnic minority groups;
    (B) Women;
    (C) Individuals with disabilities; and
    (D) The elderly.
    (b) Quality of key personnel. (15 points) (1) The Secretary reviews 
each application for information that shows the qualifications of key 
personnel the applicant plans to use on the project.
    (2) The Secretary looks for information that shows--
    (i) The qualifications of the project director (if one is to be 
used);
    (ii) The qualifications of each of the other key personnel to be 
used in the project;
    (iii) The time that each person referred to in paragraphs (b)(2) (i) 
and (ii) of this section will commit to the project; and
    (iv) The extent to which the applicant, as part of its 
nondiscriminatory employment practices, encourages applications for 
employment from persons who are members of groups that have been 
traditionally underrepresented, such as--
    (A) Members of racial or ethnic minority groups;
    (B) Women;
    (C) Individuals with disabilities; and
    (D) The elderly.
    (3) To determine personnel qualifications, the Secretary considers 
experience and training, in fields related to the objectives of the 
project, as well as other information that the applicant provides.
    (c) Budget and cost effectiveness. (10 points) (1) The Secretary 
reviews each application for information that shows that the project has 
an adequate budget and is cost effective.
    (2) The Secretary looks for information that shows--
    (i) The budget for the project is adequate to support the project 
activities; and

[[Page 200]]

    (ii) Costs are reasonable in relation to the objectives of the 
project.
    (d) Evaluation plan. (10 points) (1) The Secretary reviews each 
application for information that shows the quality of the evaluation 
plan for the project. (See 34 CFR 75.590.) Evaluation by the grantee.)
    (2) The Secretary looks for information that shows methods of 
evaluation that are appropriate for the project, and to the extent 
possible, are objective and produce data that are quantifiable.
    (e) Adequacy of resources. (5 points) (1) The Secretary reviews each 
application for information that shows that the applicant plans to 
devote adequate resources to the project.
    (2) The Secretary looks for information that shows--
    (i) The facilities that the applicant plans to use are adequate; and
    (ii) The equipment and supplies that the applicant plans to use are 
adequate.
    (f) Experience and ability. (10 points) The Secretary looks for 
information that shows the applicant's--
    (1) National experience relevant to performance of the functions 
supported by this program;
    (2) Ability to conduct its proposed project;
    (3) Ability to communicate with the intended consumers of 
information; and
    (4) Ability to maintain the necessary communication with other 
agencies and organizations.
    (g) Cooperation and coordination with other agencies. (10 points) 
(1) The Secretary reviews each application for information that shows 
the activities funded under this section will be coordinated with--
    (i) Similar activities funded from grants and contracts awarded 
under this part and under part C of the Act; and
    (ii) Other agencies and organizations conducting or eligible to 
conduct activities essential to the effective implementation of the 
proposed project.
    (2) The Secretary looks for information that shows the nature and 
extent of, and timeline for, coordination which the applicant has had 
and proposes to have to facilitate implementation and continuation of 
the project activities after termination of Federal funding.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1433)

[49 FR 25986, June 25, 1984, as amended at 52 FR 26657, July 15, 1987; 
56 FR 54696, Oct. 22, 1991]



Sec. 320.31  What are the priorities for funding under this program?

    The Secretary may select as annual priorities any of the activities 
listed in Sec. 320.10 by publishing a notice in the Federal Register.

(Authority: 20 U.S.C. 1433)



Sec. 320.32  What additional factors does the Secretary consider?

    In awarding grants, contracts, and cooperative agreements under this 
part, the Secretary gives priority to any applicant with:
    (a) Demonstrated, proven effectiveness at the national level in 
performing the functions established in this part; and with the ability 
to conduct such projects, communicate with intended consumers of 
information, and maintain the necessary communication with national, 
regional, State and local agencies and organizations.
    (b) Demonstrated, proven effectiveness at the national level in 
provding informational services to minorities and minority 
organizations.

(Approved by the Office of Management and Budget under control number 
1820-0028)

[56 FR 54696, Oct. 22, 1991, as amended at 57 FR 14314, Apr. 17, 1992]



Secs. 320.33--320.39  [Reserved]



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



Sec. 320.40  What evaluation and coordination requirements must be met by a grantee?

    (a) Each grantee under this part shall ensure that any printed 
materials it produces or disseminates have been evaluated by individuals 
with disabilities, parents of children and youth with disabilities, and 
by appropriate

[[Page 201]]

professionals with respect to the quality, currency, and appropriateness 
of, and the need to develop or disseminate, the materials.
    (b) Recipients of awards under Sec. 320.10 (a), (b), and (c) shall 
coordinate the dissemination of materials and information activities 
supported under this part.

(Authority: 20 U.S.C. 1433)

[49 FR 25986, June 25, 1984, as amended at 52 FR 26657, July 15, 1987; 
56 FR 54696, Oct. 22, 1991]



Sec. 320.41  What other conditions must be met by grantees under this program?

    (a) Grantees shall, if appropriate, prepare reports describing their 
procedures, findings, and other relevant information in a form that will 
maximize the dissemination and use of such procedures, findings, and 
information. The Secretary shall require their delivery, as appropriate, 
to the Regional and Federal Resource Centers, the Clearinghouse, and the 
Technical Assistance to Parents Program (TAPP) assisted under parts C 
and D of the Act, as well as the National Diffusion Network, the ERIC 
Clearinghouse on the Handicapped and Gifted, and the Child and 
Adolescent Service Systems Programs (CASSP) under the National Institute 
of Mental health, appropriate parent and professional organizations, 
organizations representing individuals with disabilities, and such other 
networks as the Secretary may determine to be appropriate.
    (b) Beginning in fiscal year 1991, and for each year thereafter, 
each project assisted under this part provide information required by 
the Secretary, including--
    (1) The number of individuals served by disability category, as 
appropriate, including parents, professionals, students, and individuals 
with disabilities;
    (2) A description of responses utilized;
    (3) A listing of new products developed and disseminated; and
    (4) A description of strategies and activities utilized for outreach 
to urban and rural areas with populations of minorities and 
underrepresented groups.
(Authority: 20 U.S.C. 1409; 20 U.S.C. 1433)

(Approved by the Office of Management and Budget under control number 
1820-0028)

[56 FR 54696, Oct. 22, 1991, as amended at 57 FR 14314, Apr. 17, 1992]



Secs. 320.42--320.49  [Reserved]



PART 324--RESEARCH IN EDUCATION OF INDIVIDUALS WITH DISABILITIES PROGRAM--Table of Contents




                           Subpart A--General

Sec.
324.1  What is the Research in Education of Individuals with 
          Disabilities programs?
324.2  Who is eligible to apply for an award under this program?
324.3  What regulations apply to this program?
324.4  What definitions apply to this program?
324.5--324.9  [Reserved]

Subpart B--What Priorities Does the Secretary Consider for Support Under 
                              This Program?

324.10  What kinds of priorities are authorized under this part?
324.11  What kinds of research and model projects are supported under 
          this part?
324.12--324.19  [Reserved]

                          Subpart C  [Reserved]

            Subpart D--How Does the Secretary Make an Award?

324.30  How does the Secretary select and announce funding priorities 
          under this program?
324.31  What are the selection criteria for evaluating applications for 
          research projects?
324.32  What are the selection criteria for evaluating applications for 
          model projects?
324.33  What are the selection criteria for evaluating research-related 
          activities other than research and model projects?
324.34--324.39  [Reserved]

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

324.40  What conditions must be met by a recipient?
324.41  What other conditions must be met by grantees under this 
          program?
324.42--324.49  [Reserved]

    Authority:  20 U.S.C. 1441-1443, unless otherwise noted.

[[Page 202]]


    Source:  50 FR 34639, Aug. 26, 1985, unless otherwise noted.

    Effective Date Note:  At 63 FR 23601, Apr. 29, 1998, part 324 was 
removed, effective Oct. 1, 1998.



                           Subpart A--General



Sec. 324.1  What is the Research in Education of Individuals with Disabilities programs?

    The Research in Education of Individuals with Disabilities program 
provides support to--
    (a) Advance and improve the knowledge base and improve the practice 
of professionals, parents, and others providing early intervention, 
special education, and related services, including professionals who 
work with children with disabilities in regular education environments, 
to provide such children effective instruction and enable them to 
successfully learn; and
    (b) Research and related activities, surveys, or demonstrations 
relating to physical education or recreation, including therapeutic 
recreation, for children with disabilities.

(Authority: 20 U.S.C. 1441(a); 20 U.S.C 1442))

[56 FR 54697, Oct. 22, 1991]



Sec. 324.2  Who is eligible to apply for an award under this program?

    (a) The Secretary may make grants to, or enter into contracts and 
cooperative agreements with, State and local educational agencies, 
institutions of higher education, and other public agencies and 
nonprofit private organizations for the research and related activities 
authorized under section 641(a) of the Individuals with Disabilities 
Education Act.
    (b) The Secretary may award grants to States, State or local 
educational agencies, institutions of higher education, and other public 
or nonprofit private educational or research agencies and organizations, 
and may make contracts with States, State and local educational 
agencies, institutions of higher education, and other public or private 
educational or research agencies and organizations for research and 
related purposes authorized under section 642 of the Individuals with 
Disabilities Education Act, relating to physical education or recreation 
for children with disabilities, and to conduct research, surveys, or 
demonstrations relating to physical education or recreation for children 
with disabilities.

(Authority: 20 U.S.C. 1441(a), 1442)

[50 FR 34639, Aug. 26, 1985, as amended at 50 FR 43702, Oct. 29, 1985; 
56 FR 54697, Oct. 22, 1991]



Sec. 324.3  What regulations apply to this program?

    The following regulations apply to this program:
    (a) The regulations in this part 324.
    (b) The Education Department General Administrative Regulations 
(EDGAR) in the following parts of title 34 of the Code of Federal 
Regulations--
    (1) Part 74 (Administration of Grants to Institutions of Higher 
Education, Hospitals, and Nonprofit Organizations);
    (2) Part 75 (Direct Grant Programs);
    (3) Part 77 (Definitions that Apply to Department Regulations);
    (4) Part 80 (Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments);
    (5) Part 81 (General Education Provisions Act--Enforcement);
    (6) Part 82 (New Restrictions on Lobbying);
    (7) Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace 
(Grants)); and
    (8) Part 86 (Drug-Free Schools and Campuses).

(Authority: 20 U.S.C. 1441-1444)

[50 FR 34639, Aug. 26, 1985, as amended at 56 FR 54697, Oct. 22, 1991]



Sec. 324.4  What definitions apply to this program?

    (a) Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:

    Applicant
    Application
    Award
    EDGAR
    Fiscal year
    Grant
    Grantee
    Local educational agency
    Nonprofit

[[Page 203]]

    Private
    Project
    Project period
    Secretary
    State educational agency
(Authority: 20 U.S.C. 1441-1444)
    (b) Definitions in 34 CFR part 300. The following terms used in this 
part are defined in 34 CFR 300.5, 300.13, and 300.14:

Children with disabilities
    Related services
    Special education

(Authority: 20 U.S.C. 1401(a)(1), (16), (17))

    (c) Other definitions. In addition to the definitions referred to in 
paragraphs (a) and (b) of this section, the following definition applies 
to this part: Youth with disabilities means any child with disabilities 
who--
    (1) Is twelve years of age or older; or
    (2) Is enrolled in the seventh or higher grade in school.

(Authority: 20 U.S.C. 1401(b))

[50 FR 34639, Aug. 26, 1985, as amended at 56 FR 54697, Oct. 22, 1991]



Secs. 324.5--324.9  [Reserved]



Subpart B--What Priorities Does the Secretary Consider for Support Under 
                              This Program?



Sec. 324.10  What kinds of priorities are authorized under this part?

    (a) The priorities under Sec. 324.1(a) must support innovation, 
development, exchange, and use of advancements in knowledge and practice 
designed to contribute to the improvement of instruction and learning of 
infants, toddlers, children, and youth with disabilities.
    (b) Under this part, the Secretary may support a wide range of 
research and related activities designed to--
    (1) Advance knowledge regarding the provision of instruction and 
other interventions to infants, toddlers, children, and youth with 
disabilities including the--
    (i) Organization, synthesis, and interpretation of current knowledge 
and the identification of knowledge gaps;
    (ii) Identification of knowledge and skill competencies needed by 
personnel providing special education, related services, and early 
intervention services;
    (iii) Improvement of knowledge regarding the developmental and 
learning characteristics of infants, toddlers, children, and youth with 
disabilities in order to improve the design and effectiveness of 
interventions and instruction;
    (iv) Evaluation of approaches and interventions;
    (v) Development of instructional strategies, techniques, and 
activities;
    (vi) Improvement of curricula and instructional tools such as 
textbooks, media, materials, and technology;
    (vii) Development of assessment techniques, instruments (including 
tests, inventories, and scales), and strategies for measurement of 
progress and the identification, location, and evaluation of infants, 
toddlers, children, and youth with disabilities for the purpose of 
determining eligibility, program planning, and placement for special 
education, related services, and early intervention services;
    (viii) Testing of research findings in practice settings to 
determine the application, usability, effectiveness, and 
generalizability of such research findings;
    (ix) Improvement of knowledge regarding families, minorities, 
limited English proficiency, and disabling conditions; and
    (x) Identification of environmental organizational, resource, and 
other conditions necessary for effective professional practice; and
    (2) Advance the use of knowledge by personnel providing special 
education, related services, and early intervention services including 
the--
    (i) Improvement of knowledge regarding how such individuals learn 
new knowledge and skills, and strategies for effectively facilitating 
such learning in preservice, inservice, and continuing education;
    (ii) Organization, integration, and presentation of knowledge so 
that such knowledge can be incorporated and imparted in personnel 
preparation, continuing education programs, and other relevant training 
and communication vehicles; and

[[Page 204]]

    (iii) Expansion and improvement of networks that exchange knowledge 
and practice information;
    (3) Disseminate information on research and related activities 
conducted under this part to regional resource centers, interested 
individuals, and organizations;
    (4) Conduct research and related activities, surveys, or 
demonstrations relating to physical education or recreation, including 
therapeutic recreation, for children with disabilities.

(Authority: 20 U.S.C. 1441(a); 20 U.S.C. 1442)

    (c) The Secretary also may support student-initiated or field-
initiated projects consistent with the purpose of the program, as 
described in Sec. 324.1.
[56 FR 54697, Oct. 22, 1991, as amended at 57 FR 28966, June 29, 1992]



Sec. 324.11  What kinds of research and model projects are supported under this part?

    (a) Research projects supported under this part must be designed to 
generate knowledge about the early intervention or education of infants, 
toddlers, children, and youth with disabilities and to translate that 
knowledge into practical techniques and materials.
    (b) Model projects supported under this part must develop and 
implement innovative early intervention or educational programs that 
serve infants, toddlers, children, and youth with disabilities either 
directly or indirectly. These projects must be designed to--
    (1) Improve significantly an aspect of the early intervention or 
education of infants, toddlers, children, and youth with disabilities;
    (2) Provide information about the comparative effectiveness of the 
model being demonstrated;
    (3) Continue beyond the award period; and
    (4) Provide for dissemination and replication of a successful 
program.

(Authority: 20 U.S.C. 1441, 1442)

[50 FR 34639, Aug. 26, 1985, as amended at 52 FR 43483, Nov. 12 1987; 56 
FR 54698, Oct. 22, 1991]



Secs. 324.12--324.19  [Reserved]



                          Subpart C  [Reserved]



            Subpart D--How Does the Secretary Make an Award?



Sec. 324.30  How does the Secretary select and announce funding priorities under this program?

    (a) For any fiscal year, the Secretary may give priority to one or 
more of the types of activities under Sec. 324.10.
    (b) Under section 641(c) of the Individuals with Disabilities 
Education Act, the Secretary publishes proposed research priorities for 
public comment in the Federal Register not later than twelve months 
preceding the fiscal year for which they are being announced. The 
Secretary publishes final priorities for this program not later than 90 
days after the close of the comment period.
    (c) The Secretary establishes separate competitions for research and 
model projects for any activity for which the Secretary provides 
assistance under this part.

(Authority: 20 U.S.C. 1441(c), 1442)

[50 FR 34639, Aug. 26, 1985, as amended at 56 FR 54698, Oct. 22, 1991]



Sec. 324.31  What are the selection criteria for evaluating applications for research projects?

    The Secretary uses the criteria in this section to evaluate 
applications for research projects. The maximum score for all of the 
criteria is 100 points.
    (a) Plan of operation. (10 points) (1) The Secretary reviews each 
application to determine the quality of the plan of operation for the 
project.
    (2) The Secretary looks for--
    (i) High quality in the design of the project;
    (ii) An effective plan of management that insures proper and 
efficient administration of the project;
    (iii) A clear description of how the objectives of the project 
relate to the purpose of the program;
    (iv) The way the applicant plans to use its resources and personnel 
to achieve each objective; and

[[Page 205]]

    (v) A clear description of how the applicant will provide equal 
access and treatment for eligible project participants who are members 
of groups that have been traditionally underrepresented, such as--
    (A) Members of racial or ethnic minority groups;
    (B) Women;
    (C) Individuals with disabilities; and
    (D) The elderly.
    (b) Quality of key personnel. (10 points) (1) The Secretary reviews 
each application to determine the qualifications of the key personnel 
that applicant plans to use on the project.
    (2) The Secretary considers--
    (i) The qualifications of the project director (if one is to be 
used);
    (ii) The qualifications of each of the other key personnel to be 
used in the project;
    (iii) The time that each person referred to in paragraphs (b)(2) (i) 
and (ii) of this section will commit to the project; and
    (iv) The extent to which the applicant, as part of its 
nondiscriminatory employment practices, encourages applications for 
employment from persons who are members of groups that have been 
traditionally underrepresented, such as--
    (A) Members of racial or ethnic minority groups;
    (B) Women;
    (C) Individuals with disabilities; and
    (D) The elderly.
    (3) To determine personnel qualifications, the Secretary considers 
experience and training, in fields related to the objectives of the 
project, as well as other evidence that the applicant provides.
    (c) Budget and cost effectiveness. (5 points) (1) The Secretary 
reviews each application to determine if the project has an adequate 
budget and is cost effective.
    (2) The Secretary considers the extent to which--
    (i) The budget for the project is adequate to support the project 
activities; and
    (ii) Costs are reasonable in relation to the objectives of the 
project.
    (d) Evaluation plan. (5 points) (1) The Secretary reviews each 
application to determine the quality of the evaluation plan for the 
project.

    Cross reference: 34 CFR 75.590, Evaluation by the grantee.
    (2) The Secretary considers the extent to which the methods of 
evaluation that are appropriate for the project and, to the extent 
possible, are objective and produce data that are quantifiable.
    (e) Adequacy of resources. (5 points) (1) The Secretary reviews each 
application to determine if the applicant plans to devote adequate 
resources to the project.
    (2) The Secretary considers the extent to which--
    (i) The facilities that the applicant plans to use are adequate; and
    (ii) The equipment and supplies that the applicant plans to use are 
adequate.
    (f) Importance. (10 points) The Secretary reviews each application 
to determine the importance of the project in leading to the 
understanding of, remediation of, or compensation for, the problem or 
issue that relates to the early intervention with or special education 
of infants, toddlers, children, and youth with disabilities.
    (g) Impact. (5 points) The Secretary reviews each application to 
determine the probable impact of the proposed research and development 
products and the extent to which those products can be expected to have 
a direct influence on infants, toddlers, children, and youth with 
disabilities or personnel responsible for their education or early 
intervention services.
    (h) Organizational capability. (10 points) The Secretary considers--
    (1) The applicant's experience in special education or early 
intervention services; and
    (2) The ability of the applicant to disseminate the findings of the 
project to appropriate groups to ensure that they can be used 
effectively.
    (i) Technical soundness. (40 points) The Secretary reviews each 
application to determine the technical soundness of the research or 
evaluation plan, including--
    (1) The design;
    (2) The proposed sample;
    (3) Instrumentation; and

[[Page 206]]

    (4) Data analysis procedures.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1441-1442)

[50 FR 34639, Aug. 26, 1985, as amended at 52 FR 43483, Nov. 12, 1987; 
53 FR 49145, Dec. 6, 1988; 56 FR 54698, Oct. 22, 1991]



Sec. 324.32  What are the selection criteria for evaluating applications for model projects?

    The Secretary uses the criteria in this section to evaluate 
applications for model project awards. The maximum score for all of the 
criteria is 100 points.
    (a) Plan of operation. (10 points) (1) The Secretary reviews each 
application to determine the quality of the plan of operation for the 
project.
    (2) The Secretary looks for--
    (i) High quality in the design of the project;
    (ii) An effective plan of management that insures proper and 
efficient administration of the project;
    (iii) A clear description of how the objectives of the project 
relate to the purpose of the program;
    (iv) The way the applicant plans to use its resources and personnel 
to achieve each objective; and
    (v) A clear description of how the applicant will provide equal 
access and treatment for eligible project participants who are members 
of groups that have been traditionally underrepresented, such as--
    (A) Members of racial or ethnic minority groups;
    (B) Women;
    (C) Individuals with disabilities; and
    (D) The elderly.
    (b) Quality of key personnel. (10 points) (1) The Secretary reviews 
each application to determine the qualifications of the key personnel 
the applicant plans to use on the project;
    (2) The Secretary considers--
    (i) The qualifications of the project director (if one is to be 
used);
    (ii) The qualifications of each of the other key personnel to be 
used in the project;
    (iii) The time that each person referred to in paragraphs (b)(2) (i) 
and (ii) of this section will commit to the project; and
    (iv) The extent to which the applicant, as part of its 
nondiscriminatory employment practices, encourages applications for 
employment from persons who are members of groups that have been 
traditionally underrepresented, such as--
    (A) Members of racial or ethnic minority groups;
    (B) Women;
    (C) Individuals with disabilities; and
    (D) The elderly.
    (3) To determine personnel qualification, the Secretary considers 
experience and training, in fields related to the objectives of the 
project, as well as other evidence that the applicant provides.
    (c) Budget and cost effectiveness. (5 points) (1) The Secretary 
reviews such application to determine if the project has an adequate 
budget and is cost effective.
    (2) The Secretary considers the extent to which--
    (i) The budget for the project is adequate to support the project 
activities; and
    (ii) Costs are reasonable in relation to the objectives of the 
project.
    (d) Evaluation plan. (10 points) (1) The Secretary reviews each 
application to determine the quality of the evaluation plan for the 
project.

    Cross-reference: 34 CFR 75.590, Evaluation by the grantee.
    (2) The Secretary considers the extent to which the methods of 
evaluation that are appropriate for the project and, to the extent 
possible, are objective and produce data that are quantifiable.
    (e) Adequacy of resources. (5 points) (1) The Secretary reviews each 
application to determine if the applicant plans to devote adequate 
resources to the project.
    (2) The Secretary considers the extent to which--
    (i) The facilities that the applicant plans to use are adequate; and
    (ii) The equipment and supplies that the applicant plans to use are 
adequate.
    (f) Importance. (10 points) The Secretary reviews each application 
to determine if--

[[Page 207]]

    (1) The service delivery problem addressed by the proposed project 
is of concern to others in the Nation, and;
    (2) The importance of the project in addressing the problem or 
issue.
    (g) Innovativeness. (15 points) (1) The Secretary reviews each 
application to determine the innovativeness of the proposed project.
    (2) The Secretary looks for a conceptual framework that--
    (i) Is founded on previous theory and research; and
    (ii) Provides a basis for the unique strategies and approaches to be 
incorporated into the model.
    (h) Organizational capability. (10 points) The Secretary considers--
    (1) The applicant's experience in special education or early 
intervention services; and
    (2) The applicant's ability to disseminate findings of the project 
to appropriate groups to ensure that they can be used effectively.
    (i) Technical soundness. (25 points) (1) The Secretary reviews each 
application to determine the technical soundness of the plan for the 
development, implementation, and evaluation of the model with respect to 
such matters as--
    (i) The population to be served;
    (ii) The model planning process;
    (iii) Record keeping systems;
    (iv) Coordination with other service providers;
    (v) The identification and assessment of students;
    (vi) Interventions to be used, including proposed curricula;
    (vii) Individualized educational program planning; and
    (viii) Parent and family participation.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1441-1442)

[50 FR 34639, Aug. 26, 1985, as amended at 52 FR 43483, Nov. 12, 1987; 
53 FR 49145, Dec. 6, 1988; 56 FR 54698, Oct. 22, 1991]



Sec. 324.33  What are the selection criteria for evaluating research-related activities other than research and model projects?

    The Secretary uses the criteria in 34 CFR 75.210 (Selection criteria 
for a discretionary grant program that does not have regulations) (to 
evaluate applications for new awards for research-related activities 
other than research and model projects.

(Authority: 20 U.S.C. 1441-1442).



Secs. 324.34--324.39  [Reserved]



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



Sec. 324.40  What conditions must be met by a recipient?

    Not more than 90 days after the completion of a project assisted 
under this part, each recipient must submit a report to the Secretary 
that includes--
    (a) An abstract of the project;
    (b) For a research project, a description of the research problem 
and the methodological approach used in the research study; or
    (c) For a model project--
    (1) A description of the model which permits replication, in part or 
in whole, by appropriate parties to which it is disseminated; and
    (2) A description of the evaluation procedures and findings related 
to the effectiveness of the model;
    (d) A summary of the project findings; and
    (e) A statement of the conclusions.

(Approved by the Office of Management and Budget under control number 
1820-0002)


(Authority: 20 U.S.C. 1441(d))



Sec. 324.41  What other conditions must be met by grantees under this program?

    Grantees shall, if appropriate, prepare reports describing their 
procedures, findings, and other relevant information in a form that will 
maximize the dissemination and use of such procedures, findings, and 
information. The Secretary shall require their delivery, as appropriate, 
to the Regional and Federal Resource Centers, the Clearinghouses, and 
the Technical Assistance to Parents Program (TAPP) assisted under parts 
C and D of the Act, as well as the National Diffusion Network, the ERIC 
Clearinghouse on the Handicapped and Gifted, and the Child and 
Adolescent Service Systems Program (CASSP) under the National Institute 
of Mental Health, appropriate

[[Page 208]]

parent and professional organizations, organizations representing 
individuals with disabilities, and such other networks as the Secretary 
may determine to be appropriate.

(Authority: 20 U.S.C. 1409(g))

(Approved by the Office of Management and Budget under control number 
1820-0028)

[56 FR 54698, Oct. 22, 1991, as amended at 57 FR 14315, Apr. 17, 1992]



Secs. 324.42--324.49  [Reserved]



PART 325--STATE SYSTEMS FOR TRANSITION SERVICES FOR YOUTH WITH DISABILITIES PROGRAM--Table of Contents




                           Subpart A--General

Sec.
325.1  What is the State systems for transition services for youth with 
          disabilities program?
325.2  Who is eligible for a grant?
325.3  How must States use funds under this program?
325.4  What regulations apply?
325.5  What definitions apply?

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

325.10  What must an application include?

             Subpart C--How Does the Secretary Make a Grant?

325.20  How does the Secretary evaluate an application?
325.21  What selection criteria does the Secretary use?

          Subpart D--What Conditions Must Be Met After a Grant?

325.30  What other conditions must be met by a grantee under this 
          program?

    Authority:  20 U.S.C. 1425(e), unless otherwise noted.

    Source:  56 FR 66291, Dec. 20, 1991, unless otherwise noted.

    Effective Date Note:  At 63 FR 23601, Apr. 29, 1998, part 325 was 
removed, effective Oct. 1, 1998.



                           Subpart A--General



Sec. 325.1  What is the State systems for transition services for youth with disabilities program?

    This program provides assistance to States to develop, implement, 
and improve systems to provide transition services for youth with 
disabilities from age 14 through the age they exit school.

(Authority: 20 U.S.C. 1425(e)(1))



Sec. 325.2  Who is eligible for a grant?

    Under this program the Secretary may make a one-time, five-year 
grant--
    (a) To a State educational agency and a State vocational 
rehabilitation agency that submit a joint application; or
    (b) If a vocational rehabilitation agency does not choose to 
participate, to a State educational agency and a State agency that 
provides transition services to individuals who are leaving programs 
under the Act, that submit a joint application.

(Authority: 20 U.S.C. 1425(e)(2))



Sec. 325.3  How must States use funds under this program?

    Agencies that receive grants under this program shall use grant 
funds to--
    (a) Increase the availability, access, and quality of transition 
assistance through the development and improvement of policies, 
procedures, systems, and other mechanisms for youth with disabilities 
and their families as those youth prepare for and enter adult life;
    (b) Improve the ability of professionals, parents, and advocates to 
work with those youth in ways that promote the understanding of and the 
capability to successfully make the transition from student to adult;
    (c) Improve working relationships among education personnel, both 
within LEAs and in postsecondary training programs, relevant State 
agencies, the private sector (especially employers), rehabilitation 
personnel, local and State employment agencies, local Private Industry 
Councils authorized by the Job Training Partnership Act, and families of 
students with disabilities and their advocates to identify and

[[Page 209]]

achieve consensus on the general nature and specific application of 
transition services to meet the needs of those youth;
    (d) Create an incentive for accessing and using the expertise and 
resources of programs, projects, and activities related to transition 
funded under this program and with other sources;
    (e) Create incentives for the implementation of lasting State-wide 
system changes in the transition of students with disabilities to 
postsecondary training, education, and employment; and
    (f) Assist the State education agency in implementing the 
requirement in section 602(a)(20)(D) of the Act that the student's 
individualized education program include a statement of needed 
transition services for students, beginning no later than age 16 and 
annually thereafter (and, if determined appropriate for the individual, 
beginning at age 14), including, if appropriate, a statement of the 
interagency responsibilities or linkages, (or both) before the student 
leaves the school setting.

(Authority: 20 U.S.C. 1425(e)(3))



Sec. 325.4  What regulations apply?

    The following regulations apply to this program:
    (a) The Education Department General Administrative Regulations 
(EDGAR) in 34 CFR--
    (1) Part 75 (Direct Grant Programs);
    (2) Part 77 (Definitions that Apply to Department Regulations);
    (3) Part 79 (Intergovernmental Review of Department of Education 
Programs and Activities);
    (4) Part 80 (Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments);
    (5) Part 81 (General Education Provisions Act--Enforcement);
    (6) Part 82 (New Restrictions on Lobbying);
    (7) Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace 
(Grants)); and
    (8) Part 86 (Drug-Free Schools and Campuses).
    (b) The regulations in this part 325.

(Authority: 20 U.S.C. 1425(e))



Sec. 325.5  What definitions apply?

    (a) Definition in the Act. The following term used in this part is 
defined in section 602(a)(19) of the Individuals with Disabilities 
Education Act:
    Transition services
    (b) Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:
    Application
    EDGAR
    Grant
    Local education agency (LEA)
    Project
    Secretary
    State
    State educational agency (SEA)
    (c) Other definitions. The following definitions also apply to this 
part:
    Act means the Individuals with Disabilities Education Act.
    Youth with disabilities means individuals with disabilities from age 
14 through the age they exit school.

(Authority: 20 U.S.C. 1425(e))



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



Sec. 325.10  What must an application include?

    An application under this program must include the following:
    (a) A description of how the State educational agency and State 
vocational rehabilitation agency or other State agency will use--
    (1) The first year, if necessary, to plan how to implement 
transition services;
    (2) The second through fourth years to develop and implement 
transition services; and
    (3) The fifth year to evaluate transition services.
    (b) A description of how the grant funds will be used during the 
planning period and phased out during the evaluation period to ensure 
the continuation of transition services.
    (c) A description of the current availability, access, and quality 
of transition services for eligible youth and a description of how, over 
five years, the State will improve and expand the

[[Page 210]]

availability, access, and quality of transition services for youth with 
disabilities and their families as those youth prepare for and enter 
adult life.
    (d) A description of how the State will improve and increase the 
ability of professionals, parents, advocates, and youth to promote the 
understanding of and the capability to successfully make the transition 
from student to adult.
    (e) A description of how the State will improve and increase working 
relationships among education personnel, both with LEAs and in 
postsecondary training programs, relevant State agencies, the private 
sector (especially employers), rehabilitation personnel, local and State 
employment agencies, local Private Industry Councils authorized by the 
Job Training Partnership Act, students with disabilities, their 
families, and their advocates to identify and achieve consensus on the 
general nature and specific application of transition services to meet 
the needs of youth with disabilities.
    (f) A description of how the State will use grant funds as an 
incentive for accessing and using the expertise and resources of 
programs, projects, and activities related to transition funded through 
this program and with other sources.
    (g) A description of how the State will address, in whole or in 
part, the needs of youth with disabilities from minority backgrounds.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1410(b), 1425(e)(4)(A))



             Subpart C--How Does the Secretary Make a Grant?



Sec. 325.20  How does the Secretary evaluate an application?

    (a) The Secretary evaluates an application submitted under this 
program on the basis of the criteria in Sec. 325.21.
    (b) The Secretary awards up to 100 points under these criteria.
    (c) The maximum possible score for each criterion is indicated in 
parentheses.

(Authority: 20 U.S.C. 1425(e))



Sec. 325.21  What selection criteria does the Secretary use?

    The Secretary uses the following criteria to evaluate the quality of 
an application submitted under this part:
    (a) Extent of need and expected impact (20 points). The Secretary 
reviews each application to determine the justification for the proposed 
activities in the State based on the State need for and expected impact 
from the activities to develop, implement, and improve systems to 
provide transition services for youth with disabilities from age 14 
through the age they exit school. The Secretary looks for information 
that provides--
    (1) A description of the current availability, access, and quality 
of transition services for eligible youth and a description of how, over 
five years, the State will improve and expand the availability, access, 
and quality of transition services for youth with disabilities and their 
families as those youth prepare for and enter adult life;
    (2) A description of how the State will improve and increase the 
ability of professionals, parents, advocates, and youth to promote the 
understanding of and the capability to successfully make the transition 
from student to adult;
    (3) A description of how the State will improve and increase working 
relationships among education personnel, both within LEAs and in 
postsecondary training programs, relevant State agencies, the private 
sector (especially employers), rehabilitation personnel, local and State 
employment agencies, local Private Industry Councils authorized by the 
Job Training Partnership Act, students with disabilities, their 
families, and their advocates to identify and achieve consensus on the 
general nature and specific application or transition services to meet 
the needs of youth with disabilities:
    (4) A description of how the State will use grant funds as an 
incentive for accessing and using the expertise and resources of 
programs, projects, and activities related to transition funded under 
this program and with other sources; and
    (5) A description of how the State will address the unique needs of 
youth

[[Page 211]]

with disabilities from minority backgrounds.
    (b) Technical soundness (25 points). The Secretary reviews each 
application to determine the technical soundness of the project and 
whether the applicant has the capacity to achieve lasting statewide 
change, including a description of how the State will--
    (1) Target resources to school settings, such as providing access to 
rehabilitation counselors for students with disabilities who are in 
school settings;
    (2) Target a substantial amount of grant funds, received under this 
program, to program evaluation and documentation of, and dissemination 
of information about, transition services as well as to improve the 
capacity for case management;
    (3) Provide incentives for interagency and private sector resource 
pooling and otherwise investing in transition services, especially in 
the form of cooperative agreements, particularly with Private Industry 
Councils authorized by the Job Training Partnership Act and local 
branches of State employment agencies;
    (4) Provide for early, ongoing information and training for those 
involved with or who could be involved with transition services--
professionals, parents, youth with disabilities, including self-advocacy 
training for those youth, and advocates for those youth as well as 
Private Industry Councils authorized by the Job Training Partnership Act 
and local branches of State employment agencies;
    (5) Provide for the early and direct involvement of all relevant 
parties, including Private Industry Councils authorized by the Job 
Training Partnership Act and local branches of State employment 
agencies, in operating and planning improvements in transition services, 
and the early and direct involvement of all relevant parties in planning 
and implementing transition services for individual youth;
    (6) Provide access to training for eligible youth that matches labor 
market needs in their communities;
    (7) Integrate transition services with relevant opportunities in 
communities, including those sponsored by Private Industry Councils 
authorized by the Job Training Partnership Act and local employment 
agencies;
    (8) Clearly define the services and service delivery system that 
will result from the project. The State must have analyzed in detail how 
these will differ from the current services and current delivery system;
    (9) Identify all relevant barriers to implementing the proposed 
statewide changes and identify and propose appropriate strategies for 
eliminating those barriers;
    (10) Use an evaluation plan for transition services that is outcome 
oriented, that focuses on individual youth-focused benefits, and that is 
based on standard sources of information such as the individualized 
education programs required by the IDEA;
    (11) Disseminate annually information about project activities and 
procedures and information from project evaluation activities, including 
information regarding effective strategies and obstacles to achieving 
project goals, to the organizations described in Sec. 325.30, and to 
other interested organizations within the State; and
    (12) Ensure that, if appropriate and no later than age 22, eligible 
youth who participate in transition services under this program would be 
served as appropriate in the State section 110 program, the title VI, 
part C program, or the title VII, part A program, authorized under the 
Rehabilitation Act of 1973, as amended.
    (c) Plan of operation (20 points). The Secretary reviews each 
application for information that shows the quality of the plan of 
operation for the project, including--
    (1) An effective plan of management delineating the roles of both 
participating agencies and ensures proper and efficient administration 
of the project;
    (2) A clear description of how the objectives of the project relate 
to the purpose of the program;
    (3) The way the joint applicants plan to use their resources and 
personnel to achieve each objective;
    (4) A description of how all State and other agencies whose 
cooperation and participation are necessary for statewide implementation 
are actively collaborating in project management;

[[Page 212]]

    (5) A description of how the joint applicants will provide for the 
direct participation of youth with disabilities and parents in the 
planning, development, and implementation of the project;
    (6) A description of the procedures to be used to ensure that youth 
and their families who are potentially eligible for the disability 
programs of the Social Security Administration are provided information, 
training, and referral services;
    (7) A description of how the first year will be used to plan, if 
necessary, how to implement transition services, the second through 
fourth years to develop and implement transition services, and the fifth 
year to evaluate statewide services;
    (8) Whether the budget is adequate to support the project and costs 
are reasonable in relation to the objectives of the project; and
    (9) The extent to which grant funds will be used during the planning 
period and phased out during the evaluation period to ensure the 
continuation of transition services.
    (d) Quality of key personnel (25 points, distributed as indicated). 
(1) The Secretary reviews each application for information that shows 
the qualifications of key personnel the applicant plans to use on the 
project, including information that shows--
    (i) The qualifications of the project director (8 points); and
    (ii) The qualifications of each of the other key personnel to be 
used in the project, including experience and training in fields related 
to the objectives of the project (7 points).
    (2) In determining the qualifications of each person referred to in 
paragraphs (d)(1) (i) and (ii) of this section the Secretary also 
considers--
    (i) The time that each person will commit to the project;
    (ii) Experience and training in conducting, documenting, and 
applying the types of activities to be conducted; and
    (iii) Knowledge of the results and findings of relevant projects and 
potential for application of this information in addressing the need for 
transitional services to youth with disabilities.
    (3) Recruitment of underrepresented populations (10 points). The 
Secretary reviews each application for information that shows effective 
efforts are being made to recruit members of underrepresented 
populations as project staff, including--
    (i) Strategies to recruit employees who are members of 
underrepresented populations, including members of racial or ethnic 
minority groups and individuals with disabilities; and
    (ii) Procedures to provide training and other necessary support to 
retain and advance qualified personnel from underrepresented 
populations.
    (e) Evaluation (10 points). The Secretary reviews each application 
to determine the quality of the plan for evaluating the project 
throughout the entire grant, leading to the required fifth year 
evaluation. The Secretary reviews factors including--
    (1) The adequacy of the applicant's plan to determine the 
effectiveness of the project in achieving measurable changes in State 
policy, programs, and services that improve systems providing transition 
services for youth with disabilities.
    (2) The adequacy of the applicant's plan to determine the 
effectiveness and timeliness in completion of the managerial procedures 
and objectives of the project's plan of operation; and
    (3) The procedures for recording, reviewing, analyzing, and 
interpreting for relevant audiences, data generated through conducting 
project activities.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1425(e))



          Subpart D--What Conditions Must Be Met After a Grant?



Sec. 325.30  What other conditions must be met by a grantee under this program?

    (a) The Secretary, if appropriate, requires grantees to prepare 
reports describing their procedures, findings, and other relevant 
information in a form that will maximize the dissemination and use of 
those procedures, findings, and information.
    (b) The Secretary requires delivery of those reports, as 
appropriate, to--

[[Page 213]]

    (1) The regional and Federal resource centers, the clearinghouses, 
and the technical assistance to parents programs assisted under parts C 
and D of the Act;
    (2) The National Diffusion Network;
    (3) The ERIC Clearinghouse on the Handicapped and Gifted;
    (4) The Child and Adolescent Service Systems Program (CASSP) under 
the National Institute of Mental Health;
    (5) Appropriate parent and professional organizations;
    (6) Organizations representing individuals with disabilities; and
    (7) Such other networks as the Secretary may determine to be 
appropriate.
    (c) Each grantee shall participate in the evaluation conducted by 
the institution of higher education or nonprofit public or private 
organization supported to implement section 626(f)(3)(A) of the Act.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1410(g), 1425(f)(3))



PART 326--SECONDARY EDUCATION AND TRANSITIONAL SERVICES FOR YOUTH WITH DISABILITIES PROGRAM--Table of Contents




                           Subpart A--General

Sec.
326.1  What is the Secondary Education and Transitional Services for 
          Youth with Disabilities program?
326.2  Who is eligible to apply for an award under this program?
326.3  What regulations apply to this program?
326.4  What definitions apply to this program?
326.5--326.9  [Reserved]

 Subpart B--What Kinds of Projects Does the Secretary Assist Under This 
                                Program?

326.10  What kinds of projects are authorized under this part?
326.11--326.19  [Reserved]

               Subpart C--How Does One Apply for a Grant?

326.20  What must an applicant include in its application?
326.21--326.29  [Reserved]

             Subpart D--How Does the Secretary Make a Grant?

326.30  What priorities are considered for support by the Secretary 
          under this part?
326.31  How does the Secretary establish priorities?
326.32  What are the selection criteria for evaluating applications for 
          research and evaluation projects?
326.33  What are the selection criteria for evaluating applications for 
          model projects?
326.34  Are awards in this program geographically dispersed?
326.35--326.39  [Reserved]

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

326.40  What is the requirement for participation of students with 
          disabilities and their parents?
326.41  What coordination requirements must a grantee meet?
326.42  What other conditions must be met by grantees under this 
          program?
326.43--326.49  [Reserved]

    Authority:  20 U.S.C. 1425, unless otherwise noted.

    Source:  49 FR 28383, July 11, 1984, unless otherwise noted.

    Effective Date Note:  At 63 FR 23601, Apr. 29, 1998, part 326 was 
removed, effective Oct. 1, 1998.



                           Subpart A--General



Sec. 326.1  What is the Secondary Education and Transitional Services for Youth with Disabilities program?

    (a)(1) The purpose of this program is to assist youth with 
disabilities in the transition from secondary school to postsecondary 
environments such as competitive or supported employment.
    (2) The Secretary carries out this purpose by providing assistance 
for projects that--
    (i) Strengthen and coordinate education and related services that 
assist youth with disabilities currently in school or who recently left 
school to assist them in the transition to competitive or supported 
employment, postsecondary education, vocational training, continuing 
education, independent and community living or adult services;
    (ii) Stimulate the improvement and development of programs for 
secondary special education; or

[[Page 214]]

    (iii) Stimulate the improvement of the vocational and life skills of 
students with disabilities to enable them to be better prepared for 
transition to adult life and services.
    (b) The purpose of this program is also to ensure that secondary 
special education and transitional services result in competitive or 
supported employment for youth with disabilities.

(Authority: 20 U.S.C. 1425)

[49 FR 28383, July 11, 1984, as amended at 52 FR 34368, Sept. 10, 1987; 
56 FR 54698, Oct. 22, 1991]



Sec. 326.2  Who is eligible to apply for an award under this program?

    The Secretary may provide assistance under this program by grants 
to, or contracts with--
    (a) Institutions of higher education;
    (b) State educational agencies;
    (c) Local educational agencies; and
    (d) Other public and private nonprofit institutions or agencies 
(including the State job training coordinating councils and service 
delivery area administrative entities established under the Job Training 
Partnership Act (29 U.S.C. 1501 et seq.)).

(Authority: 20 U.S.C. 1425(a))



Sec. 326.3  What regulations apply to this program?

    The following regulations apply to awards under the Secondary 
Education and Transitional Services for Youth with Disabilities program:
    (a) The regulations in this part 326.
    (b) The Education Department General Administrative Regulations 
(EDGAR) in title 34 of the Code of Federal regulations in--
    (1) Part 74 (Administration of Grants to Institutions of Higher 
Education, Hospitals, and Nonprofit Organizations);
    (2) Part 75 (Direct Grant Programs);
    (3) Part 77 (Definitions);
    (4) Part 79 (Intergovernmental Review of Department of Education 
Programs and Activities);
    (5) Part 80 (Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments);
    (6) Part 81 (General Education Provisions Act--Enforcement);
    (7) Part 82 (New Restrictions on Lobbying);
    (8) Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirement for Drug-Free Workplace 
(Grants)); and
    (9) Part 86 (Drug-Free Schools and Campuses).

(Authority: 20 U.S.C. 1425; 20 U.S.C. 3474(a))

[49 FR 28383, July 11, 1984, as amended at 56 FR 54698, Oct. 22, 1991]



Sec. 326.4  What definitions apply to this program?

    (a) Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:
    Applicant
    Application
    Award
    EDGAR
    Fiscal year
    Grant
    Grantee
    Local educational agency
    Nonprofit
    Private
    Project
    Project period
    Public
    Secondary school
    Secretary
    State
    State educational agency


(Authority: 20 U.S.C. 1425; 20 U.S.C. 3474(a))


    (b) Definitions in 34 CFR part 300. The following terms used in this 
part are defined in 34 CFR 300.5,300.13, and 300.14:

    Children with disabilities
    Related services
    Special education

(Authority: 20 U.S.C. 1401(a) (1), (16), (17))

    (c) Other definitions. In addition to the definitions referred to in 
paragraphs (a) and (b) of this section, the following definitions apply 
to this part:
    (1) Youth with disabilities means any child with disabilities who--
    (i) Is twelve years of age or older;
    (ii) Is enrolled in the seventh or higher grade in school; or
    (iii) Was enrolled in the seventh or higher grade in school and 
recently left school.

(Authority: 20 U.S.C. 1401(b), 1425(a)(1))

    (2) Supported employment is paid work in a variety of settings, 
particularly regular work sites, especially designed

[[Page 215]]

for individuals with disabilities--
    (i) For whom competitive employment at or above the minimum wage is 
not immediately obtainable; and
    (ii) Who, because of their disability, need intensive on-going 
support to perform in a work setting.

(Authority: 20 U.S.C. 1425)

[49 FR 28383, July 11, 1984, as amended at 52 FR 34368, Sept. 10, 1987; 
56 FR 54698, 54699, Oct. 22, 1991]



Secs. 326.5--326.9  [Reserved]



 Subpart B--What Kinds of Projects Does the Secretary Assist Under This 
                                Program?



Sec. 326.10  What kinds of projects are authorized under this part?

    (a) This program supports research, development, demonstration, 
evaluation, and other types of projects for the following purposes:
    (1) To improve secondary education programs for youth with 
disabilities.
    (2) To coordinate with other activities serving this population.
    (3) To provide education and related services to assist youth with 
disabilities in the transitional process to postsecondary education, 
vocational training, competitive employment, continuing education, 
independent or community living, or adult services.
    (4) To stimulate the improvement of the vocational and life skills 
of students with disabilities to enable them to be better prepared for 
transition to adult life and services.
    (b) Projects funded under this part must serve youth with 
disabilities and may also include other individuals with disabilities 
who have recently left special education programs.

(Authority: 20 U.S.C. 1425)

[49 FR 28383, July 11, 1984, as amended at 52 FR 34369, Sept. 10, 1987; 
56 FR 54698, 54699, Oct. 22, 1991]



Secs. 326.11--326.19  [Reserved]



               Subpart C--How Does One Apply for a Grant?



Sec. 326.20  What must an applicant include in its application?

    (a) Each applicant must include in its application information 
demonstrating how the activities it proposes will lead to competitive or 
supported employment of individuals with disabilities.
    (b) Each applicant, other than for the purpose of conducting studies 
or evaluation, shall--
    (1) Describe the procedures to be used for disseminating relevant 
findings and data to regional resource centers, clearinghouses, and 
other interested persons, agencies, or organizations;
    (2) Describe the procedures to be used for coordinating services 
among agencies for which youth with disabilities are or will be 
eligible;
    (3) Provide for the direct participation of students with 
disabilities and the parents of handicapped students in the planning, 
development, and implementation of such projects.
    (c) Each applicant for activities described in Sec. 326.30 (a) and 
(b) that is not an educational agency must include in its application 
information demonstrating how it has met, and will meet, the 
requirements of Sec. 326.41.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1425)

[49 FR 28383, July 11, 1984, as amended at 52 FR 34369, Sept. 10, 1987; 
56 FR 54698, 54699, Oct. 22, 1991]



Secs. 326.21--326.29  [Reserved]



             Subpart D--How Does the Secretary Make a Grant?



Sec. 326.30  What priorities are considered for support by the Secretary under this part?

    The Secretary may select annually one or more of the following 
priority areas for funding:
    (a) Transition strategies and techniques. This priority supports 
research projects designed to develop strategies and techniques for 
transition to competitive or supported employment

[[Page 216]]

through improvements in independent living skills, secondary and 
postsecondary education, vocational preparation, and availability of 
work opportunities.
    (b) Service demonstration models. This priority supports projects 
that develop and establish exemplary models for services and 
individualized education programs, including independent living 
vocational training and job placement, that result directly in paid 
employment in regular work settings for youth with disabilities leaving 
school, or that enhance the effectiveness of secondary and postsecondary 
services which lead to employment or independent living.
    (c) Demographic studies. This priority supports demographic studies 
of the numbers, locations, age levels, types and degrees of disabilities 
of youth with disabilities, and anticipated transition and adult 
services needed by those youth to obtain competitive or supported 
employment.
    (d) Service delivery research projects. This priority supports 
research projects, including field testing and evaluation of innovative 
service approaches to service delivery models or components to assist 
youth with disabilities in secondary school and in other services that 
assist transition to employment. These service delivery approaches can 
be replicated and disseminated.
    (e) Cooperative models for planning and developing transitional 
services. This priority supports projects designed to plan and develop 
cooperative models for activities among State or local educational 
agencies, developmental disabilities councils, and adult service 
agencies, including vocational rehabilitation, mental health, mental 
retardation, and public employment agencies, and private employers, 
which will facilitate effective planning for services to meet the 
employment needs of youth with disabilities as they leave school.
    (f) Procedures for evaluation of secondary education, vocational 
training, and placement services. This priority supports projects that 
will develop appropriate procedures for evaluating secondary special 
education, vocational training, placement, and other transitional 
services that lead to employment for youth with disabilities.
    (g) Program evaluation. This priority supports projects that will 
evaluate the effectiveness of the program carried out under this part to 
assist youth with disabilities in the transition from secondary school 
to postsecondary environments such as competitive or supported 
employment.
    (h) Research projects in secondary education. This priority supports 
research projects which focus on secondary level programs for youth with 
disabilities. These projects will have as their major objective the 
development and improvement of replicable programs and will focus on the 
evaluation of the program or the components of the program, such as 
curricula design, program organization, employer involvement, and 
instructional methods.
    (i) Drop out studies. This priority supports studies which provide 
information on the numbers, age levels, types of disabilities and 
reasons why some youth with disabilities remain to complete school 
programs while others drop out of school.
    (j) Curriculum development. This priority supports the development 
of curriculum and instructional techniques in special education and 
related services that will improve students with disabilities 
acquisition of the skills necessary for transition to adult life and 
services.
    (k) Physical education and therapeutic recreation. This priority 
supports specially designed or adapted physical educational and 
therapeutic recreation programs to facilitate the full participation of 
youth with disabilities in community programs.
    (l) Assistive technology. This priority supports the development and 
dissemination of exemplary programs and practices that meet the unique 
needs of students who utilize assistive technology devices and services 
as these students make the transition to postsecondary education, 
vocational training, competitive employment (including supported 
employment), and continuing education or adult services.

(Authority: 20 U.S.C. 1425)

[49 FR 28383, July 11, 1984, as amended at 52 FR 34369, Sept. 10, 1987; 
56 FR 54698, 54699, Oct. 22, 1991]

[[Page 217]]



Sec. 326.31  How does the Secretary establish priorities?

    For any fiscal year, the Secretary may select a priority or 
combination of priorities from among those listed in Sec. 326.30 by 
publishing a notice in the Federal Register.

(Authority: 20 U.S.C 1425)



Sec. 326.32  What are the selection criteria for evaluating applications for research and evaluation projects?

    The Secretary uses the criteria in this section to evaluate 
applications for research and evaluation projects, including projects 
submitted under Sec. 326.30 (a), (c), (d), (f), (g), and (h). The 
maximum score for all of the criteria is 100 points.
    (a) Plan of operation. (10 points) (1) The Secretary reviews each 
application for information that shows the quality of the plan of 
operation for the project.
    (2) The Secretary looks for information that shows--
    (i) High quality in the design of the project;
    (ii) An effective plan of management that insures proper and 
efficient administration of the project;
    (iii) A clear description of how the objectives of the project 
relate to the purpose of the program;
    (iv) The way the applicant plans to use its resources and personnel 
to achieve each objective; and
    (v) A clear description of how the applicant will provide equal 
access and treatment for eligible project participants who are members 
of groups that have been traditionally underrepresented, such as--
    (A) Members of racial or ethnic minority groups;
    (B) Women;
    (C) Individuals with disabilities; and
    (D) The elderly.
    (b) Quality of key personnel. (10 points) (1) The Secretary reviews 
each application for information that shows the qualifications of the 
key personnel the applicant plans to use on the project.
    (2) The Secretary looks for information that shows--
    (i) The qualifications of the project director (if one is to be 
used);
    (ii) The qualifications of each of the other key personnel to be 
used in the project;
    (iii) The time that each person referred to in paragraphs (b)(2) (i) 
and (ii) of this section will commit to the project; and
    (iv) The extent to which the applicant, as part of its 
nondiscriminatory employment practices, encourages applications for 
employment from persons who are members of groups that have been 
traditionally underrepresented, such as--
    (A) Members of racial or ethnic minority groups;
    (B) Women;
    (C) Individuals with disabilities; and
    (D) The elderly.
    (3) To determine personnel qualifications, the Secretary considers 
experience and training, in fields related to the objectives of the 
project, as well as other information that the applicant provides.
    (c) Budget and cost effectiveness. (10 points) (1) The Secretary 
reviews each application for information that shows that the project has 
an adequate budget and is cost effective.
    (2) The Secretary looks for information that shows--
    (i) The budget for the project is adequate to support the project 
activities; and
    (ii) Costs are reasonable in relation to the objectives of the 
project.
    (d) Evaluation plan. (5 points) (1) The Secretary reviews each 
application for information that shows the quality of the evaluation 
plan for the project.

(See 34 CFR 75.590, Evaluation by the grantee)

    (2) The Secretary looks for information that shows methods of 
evaluation that are appropriate for the project and, to the extent 
possible, are objective and produce data that are qualifiable.
    (e) Adequacy of resources. (5 points) (1) The Secretary reviews each 
application for information that shows that the applicant plans to 
devote adequate resources to the project.
    (2) The Secretary looks for information that shows--
    (i) The facilities that the applicant plans to use are adequate; and

[[Page 218]]

    (ii) The equipment and supplies that the applicant plans to use are 
adequate.
    (f) Importance. (10 points) (1) The Secretary reviews each 
application for information demonstrating that the proposed project 
addresses national concerns in light of the purposes of this part.
    (2) The Secretary looks for information that shows--
    (i) The significance of the problem or issue to be addressed;
    (ii) The importance of the proposed project in increasing the 
understanding of the problem or issue;
    (iii) The experiences of service providers related to the problem or 
issue; and
    (iv) Previous research findings related to the problem or issue.
    (g) Impact. (10 points) The Secretary reviews each application for 
information that shows the probable impact of the proposed project in 
educating youth with disabilities, including--
    (1) The contribution that the project findings or products will make 
to current knowledge or practice; and
    (2) The extent to which findings and products will be disseminated 
to, and used for the benefit of, appropriate target groups.
    (h) Technical soundness. (40 points) The Secretary reviews each 
application for information demonstrating the technical soundness of the 
research or evaluation plan, including--
    (1) The design (10 points);
    (2) The proposed sample (10 points);
    (3) Instrumentation (10 points); and
    (4) Data analysis procedures (10 points).

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1425)

[49 FR 28383, July 11, 1984, as amended at 53 FR 49145, Dec. 6, 1988; 56 
FR 54698, 54699, Oct. 22, 1991]



Sec. 326.33  What are the selection criteria for evaluating applications for model projects?

    The Secretary uses the criteria in this section to evaluate 
applications for model projects, including projects submitted under 
Sec. 326.30 (b) and (e). The maximum score for all of the criteria is 
100 points.
    (a) Plan of operation. (10 points) (1) The Secretary reviews each 
application for information that shows the quality of the plan of 
operation for the project.
    (2) The Secretary looks for information that shows--
    (i) High quality in the design of the project;
    (ii) An effective plan of management that insures proper and 
efficient administration of the project;
    (iii) A clear description of how the objectives of the project 
relate to the purpose of the program;
    (iv) The way the applicant plans to use its resources and personnel 
to achieve each objective; and
    (v) A clear description of how the applicant will provide equal 
access and treatment for eligible project participants who are members 
of groups that have been traditionally underrepresented, such as--
    (A) Members of racial or ethnic minority groups;
    (B) Women;
    (C) Individuals with disabilities; and
    (D) The elderly.
    (b) Quality of key personnel. (10 points) (1) The Secretary reviews 
each application for information that shows the qualifications of the 
key personnel the applicant plans to use on the project.
    (2) The Secretary looks for information that shows--
    (i) The qualifications of the project director (if one is to be 
used);
    (ii) The qualifications of each of the other key personnel to be 
used in the project;
    (iii) The time that each person referred to in paragraphs (b)(2) (i) 
and (ii) of this section will commit to the project; and
    (iv) The extent to which the applicant, as part of its 
nondiscriminatory employment practices, encourages applications for 
employment from persons who are members of groups that have been 
traditionally underrepresented, such as--
    (A) Members of racial or ethnic minority groups;
    (B) Women;
    (C) Individuals with disabilities; and
    (D) The elderly.

[[Page 219]]

    (3) To determine personnel qualifications, the Secretary considers 
experience and training, in fields related to the objectives of the 
project, as well as other information that the applicant provides.
    (c) Budget and cost effectiveness. (10 points) (1) The Secretary 
reviews each application for information that shows that the project has 
an adequate budget and is cost effective.
    (2) The Secretary looks for information that shows--
    (i) The budget for the project is adequate to support the project 
activities; and
    (ii) Costs are reasonable in relation to the objectives of the 
project.
    (d) Evaluation plan. (10 points) (1) The Secretary reviews each 
application for information that shows the quality of the evaluation 
plan for the project.

(See 34 CFR 75.590, Evaluation by the grantee)

    (2) The Secretary looks for information that shows methods of 
evaluation that are appropriate for the project and, to the extent 
possible, are objective and produce data that are quantifiable.
    (e) Adequacy of resources. (5 points) (1) The Secretary reviews each 
application for information that shows that the applicant plans to 
devote adequate resources to the project.
    (2) The Secretary looks for information that shows--
    (i) The facilities that the applicant plans to use are adequate; and
    (ii) The equipment and supplies that the applicant plans to use are 
adequate.
    (f) Importance. (10 points) The Secretary reviews each application 
for information that shows--
    (1) The service delivery problem addressed by the proposed project 
is of concern to others in the Nation, and;
    (2) The importance of the project in solving the problem.
    (g) Impact. (10 points) The Secretary reviews each application for 
information that shows the probable impact of the proposed model in 
educating youth with disabilities, including--
    (1) The contribution that the project findings or products will make 
to current knowledge or practice; and
    (2) The extent to which findings and products will be disseminated 
to, and used for the benefit of, appropriate target groups.
    (h) Innovativeness. (10 points) (1) The Secretary reviews each 
application for information that shows the innovativeness of the 
proposed project.
    (2) The Secretary looks for information that shows a conceptual 
framework that--
    (i) Is founded on previous theory and research; and
    (ii) Provides a basis for the unique strategies and approaches to be 
incorporated into the model.
    (i) Technical soundness. (25 points) The Secretary reviews each 
application for information demonstrating the technical soundness of the 
plan for the development, implementation, and evaluation of the model 
with respect to such matters as--
    (1) The population to be served;
    (2) The model planning process;
    (3) Recordkeeping systems;
    (4) Coordination with other service providers;
    (5) The identification and assessment of students;
    (6) Interventions to be used, including proposed curricula;
    (7) Individualized educational program planning; and
    (8) Parent and family participation.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1425)

[49 FR 28383, July 11, 1984, as amended at 53 FR 49145, Dec. 6, 1988; 56 
FR 54698, 54699, Oct. 22, 1991]



Sec. 326.34  Are awards in this program geographically dispersed?

    As much as feasible, the Secretary, in addition to using the 
criteria in Secs. 326.32 and 326.33, geographically disperses awards 
throughout the Nation in urban as well as rural areas.

(Authority: 20 U.S.C. 1425)

[52 FR 34369, Sept. 10, 1987]

[[Page 220]]



Secs. 326.35--326.39  [Reserved]



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



Sec. 326.40  What is the requirement for participation of students with disabilities and their parents?

    Each grantee shall provide for the direct participation of 
handicapped students and the parents of students with disabilities in 
the planning, development, and implementation of its project.

(Authority: 20 U.S.C. 1425(d))

[49 FR 28383, July 11, 1984, as amended at 56 FR 54698, 54699, Oct. 22, 
1991]



Sec. 326.41  What coordination requirements must a grantee meet?

    A grantee that is not an educational agency shall coordinate with 
the State educational agency of each affected State in the planning, 
development, and implementation of any activities described in 
Sec. 326.30 (a) or (b).

(Authority: 20 U.S.C. 1425(c))



Sec. 326.42  What other conditions must be met by grantees under this program?

    Grantees shall, if appropriate, prepare reports describing their 
procedures, findings, and other relevant information in a form that will 
maximize the dissemination and use of such procedures, findings, and 
information. The Secretary shall require their delivery, as appropriate, 
to the Regional and Federal Resource Centers, the Clearinghouses, and 
the Technical Assistance to Parents Program (TAPP) assisted under parts 
C and D of the Act, as well as the National Diffusion Network, the ERIC 
Clearinghouse on the Handicapped and Gifted, and the Child and 
Adolescent Service Systems Program (CASSP) under the National Institute 
of Mental Health, appropriate parent and professional organizations, 
organizations representing individuals with disabilities, and such other 
networks as the Secretary may determine to be appropriate.

(Authority: 20 U.S.C. 1409(g))

(Approved by the Office of Management and Budget under control number 
1820-0028)

[56 FR 54699, Oct. 22, 1991, as amended at 57 FR 14315, Apr. 17, 1992]



Secs. 326.43--326.49  [Reserved]



PART 327--SPECIAL STUDIES PROGRAM--Table of Contents




                           Subpart A--General

Sec.
327.1  What is the Special Studies Program?
327.2  Who is eligible to apply for an award under this program?
327.3  What regulations apply to this program?
327.4  What definitions apply to this program?
327.5--327.9  [Reserved]

 Subpart B--What Kinds of Projects Does the Secretary Assist Under This 
                                Program?

327.10  What kinds of priorities are authorized under this part?
327.11--327.19  [Reserved]

                          Subpart C  [Reserved]

            Subpart D--How Does the Secretary Make an Award?

327.30  How does the Secretary establish priorities for an award?
327.31  What are the selection criteria for evaluating applications for 
          awards?
327.32--327.39  [Reserved]

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

327.40  What are the requirements for conducting projects?
327.41  What conditions must be met by a recipient of an award under 
          this program?
327.42--327.49  [Reserved]

    Authority:  20 U.S.C. 1418, unless otherwise noted.

    Source:  50 FR 35484, Aug. 30, 1985, unless otherwise noted.

    Effective Date Note:  At 63 FR 23601, Apr. 29, 1998, part 327 was 
removed, effective Oct. 1, 1998.

[[Page 221]]



                           Subpart A--General



Sec. 327.1  What is the Special Studies Program?

    The purpose of this program is to support the collection of data, 
studies, investigations, and evaluations to assess the impact and 
effectiveness of programs and projects assisted under the Individuals 
with Disabilities Education Act, and related activities to provide the 
Congress and others with this information.

(Authority: 20 U.S.C. 1418)

[50 FR 35484, Aug. 30, 1985, as amended at 56 FR 54699, Oct. 22, 1991]



Sec. 327.2  Who is eligible to apply for an award under this program?

    (a) The Secretary may make awards under this program to public or 
private agencies, institutions, organizations, and other appropriate 
parties for support of the kinds of projects described in 
Sec. 327.10(a), (b), (d), (f), (h), and (i).
    (b) In order to carry out the projects described in Sec. 327.10(c), 
the Secretary may enter into cooperative agreements with--
    (1) State educational agencies; and
    (2) Other State agencies designated by the Governor in each State 
for the purpose of administering an early intervention program under 
part H of the Education of the Handicapped Act.
    (c) In order to carry out the projects described in Sec. 327.10(e), 
the Secretary may make awards to State or local educational agencies, 
institutions of higher education, public agencies, and private nonprofit 
organizations and, when necessary because of the unique nature of the 
study, private for-profit organizations.
    (d) In order to carry out the projects in Sec. 327.10(g), the 
Secretary may make awards to State or local educational agencies, 
institutions of higher education, other public agencies, and private 
nonprofit organizations.

(Authority: 20 U.S.C. 1418)

[50 FR 35484, Aug. 30, 1985, as amended at 53 FR 28351, July 27, 1988; 
56 FR 54699, Oct. 22, 1991]



Sec. 327.3  What regulations apply to this program?

    The following regulations apply to grants and cooperative agreements 
under this program:
    (a) The regulations in this part 327.
    (b) The Education Department General Administrative Regulations 
(EDGAR) in title 34 of the Code of Federal Regulations in--
    (1) Part 74 (Administration of Grants to Institutions of Higher 
Education, Hospitals, and Nonprofit Organizations);
    (2) Part 75 (Direct Grant Programs);
    (3) Part 77 (Definitions that Apply to Department Regulations);
    (4) Part 80 (Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments);
    (5) Part 81 (General Education Provisions Act--Enforcement);
    (6) Part 82 (New Restrictions on Lobbying);
    (7) Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace 
(Grants)); and
    (8) Part 86 (Drug-Free Schools and Campuses).

(Authority: 20 U.S.C. 1418)

[50 FR 35484, Aug. 30, 1985, as amended at 56 FR 54699, Oct. 22, 1991]



Sec. 327.4  What definitions apply to this program?

    Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:

    Applicant
    Application
    Award
    EDGAR
    Fiscal year
    Grant
    Grantee
    Local educational agency
    Project
    Secretary
    State educational agency.

(Authority: 20 U.S.C. 1418)

[50 FR 35484, Aug. 30, 1985, as amended at 56 FR 54700, Oct. 22, 1991]

[[Page 222]]



Secs. 327.5--327.9  [Reserved]



 Subpart B--What Kinds of Projects Does the Secretary Assist Under This 
                                Program?



Sec. 327.10  What kinds of priorities are authorized under this part?

    Priorities authorized under this part include activities to:
    (a) Collect data, and conduct studies, investigations, analyses, and 
evaluations to assess progress in the implementation of the Act, the 
impact of the Act, and the effectiveness of State and local efforts and 
efforts by the Secretary of the Interior to provide free appropriate 
public education to all children and youth with disabilities, and early 
intervention services to infants and toddlers with disabilities.
    (b) Obtain data, on at least an annual basis, about programs and 
projects assisted under the Act and under other Federal laws relating to 
the provision of services to infants, toddlers, children, and youth with 
disabilities as required under section 618(b) of the Act.
    (c) Assess the impact and effectiveness of programs, policies, and 
procedures assisted under the Act, in accordance with sections 618(d)(1) 
and (2) of the Act, through cooperative agreements with State agencies.
    (d) Provide technical assistance to participating State agencies in 
the implementation of the evaluation studies described under paragraph 
(c) of this section.
    (e)(1) Support studies, analyses, syntheses, and investigations for 
improving program management, administration, delivery, and 
effectiveness necessary to provide full educational opportunities and 
early interventions for all children with disabilities from birth 
through age 21. Such studies and investigations shall gather information 
necessary for program and system improvements, including--
    (i) Developing effective, appropriate criteria and procedures to 
identify, evaluate, and serve infants, toddlers, children, and youth 
with disabilities from minority backgrounds for purposes of program 
eligibility, program planning, delivery of services, program placement, 
and parental involvement;
    (ii) Planning and developing effective early intervention services, 
special education, and related services to meet the complex and changing 
needs of infants, toddlers, children, and youth with disabilities;
    (iii) Developing and implementing a comprehensive system of 
personnel development needed to provide qualified personnel in 
sufficient number to deliver special education, related services, and 
early intervention services;
    (iv) Developing the capacity to implement practices having the 
potential to integrate children with disabilities to the maximum extent 
appropriate, with children who are not disabled;
    (v) Effectively allocating and using human and fiscal resources for 
providing early intervention, special education, and related services;
    (vi) Strengthening programs and services to improve the progress of 
children and youth with disabilities while in special education, and to 
effect a successful transition when such children and youth leave 
special education;
    (vii) Achieving interagency coordination to maximize resource 
utilization and continuity in services provided to infants, toddlers, 
children, and youth with disabilities;
    (viii) Strengthening parent-school communication and coordination to 
improve the effectiveness of planning and delivery on interventions and 
instruction, thereby enhancing development and educational progress; and
    (ix) Identifying the environmental, organizational, resource, and 
other conditions necessary for effective professional practice.
    (2) The studies and investigations under paragraph (e)(1) of this 
section may be conducted through surveys, interviews, case studies, 
program implementation studies, secondary data analyses and synthesis, 
and other appropriate methodologies.
    (3) The studies and investigations under paragraph (e)(1) of this 
section shall address the information needs of State and local 
educational agencies for improving program management, administration, 
delivery, and effectiveness.
    (f)(1) Support special studies to assess progress in the 
implementation of

[[Page 223]]

the Act, and assess the impact and effectiveness of State and local 
efforts and efforts by the Secretary of the Interior to provide free 
appropriate public education to children and youth with disabilities, 
and early intervention services to infants and toddlers with 
disabilities. Reports from these studies must include recommendations 
for improving services to individuals.
    (2) In selecting priorities for 1991 through 1994, the Secretary may 
give first preference to--
    (i) Completing a longitudinal study of a sample of students with 
disabilities, examining--
    (A) The full range of disabling conditions;
    (B) The educational progress of students with disabilities while in 
special education; and
    (C) The occupational, educational, and independent living status of 
students with disabilities after graduating from secondary school or 
otherwise leaving special education;
    (ii) Conducting a nationally representative study focusing on the 
types, number, and intensity of related services provided to children 
with disabilities by disability category;
    (iii) Conducting a study that examines the degree of disparity among 
States with regard to the placement in various educational settings of 
children and youth with similar disabilities, especially those with 
mental retardation, and, to the extent that such disparity exists, the 
factors that lead these children and youth to be educated in 
significantly different educational settings;
    (iv) Conducting a study that examines the factors that have 
contributed to the decline in the number of children classified as 
mentally retarded since the implementation of the Act, and examines the 
current disparity among States in the percentage of children so 
classified;
    (v) Conducting a study that examines the extent to which out-of-
community residential programs are used for children and youth who are 
seriously emotionally disturbed, the factors that influence the 
selection of such placements, the degree to which such individuals 
transition back to education programs in their communities, and the 
factors that facilitate or impede such transition; and
    (vi) Conducting a study that examines the--
    (A) Factors that influence the referral and placement decisions and 
types of placements, by disability category and English language 
proficiency, of minority children relative to other children;
    (B) Extent to which these children are placed in regular education 
environments;
    (C) Extent to which the parents of these children are involved in 
placement decisions and in the development and implementation of the 
individualized education program and the results of such participation; 
and
    (D) Type of support provided to parents of these children that 
enable these parents to understand and participate in the educational 
process.
    (g)(1) Support activities that organize, synthesize, interpret, and 
integrate information obtained under paragraphs (e) and (f) of this 
section, with relevant knowledge obtained from other sources.
    (2) These activities include the selection and design of content, 
formats, and means for communicating such information effectively to 
specific or general audiences, in order to promote the use of such 
information in improving program administration and management, and 
service delivery and effectiveness.
    (h) Assist in the development of the annual report to the Congress 
required under section 618(g) of the Act.
    (i) Provide technical assistance to State agencies providing the 
data described in section 618(b) (1) and (2) of the Act to achieve 
accurate and comparable information.

(Authority: 20 U.S.C. 1418)

[56 FR 54700, Oct. 22, 1991]

[[Page 224]]



Secs. 327.11--327.19  [Reserved]



                          Subpart C  [Reserved]



            Subpart D--How Does the Secretary Make an Award?



Sec. 327.30  How does the Secretary establish priorities for an award?

    Section 618(e)(1) of the Individuals with Disabilities Education Act 
requires that beginning in fiscal 1993 and every three years thereafter, 
the Secretary submit to the appropriate committee of each House of the 
Congress and publish in the Federal Register proposed priorities under 
the special studies described in Sec. 327.10(f) for review and comment.

(Authority: 20 U.S.C. 1418)

[56 FR 54701, Oct. 22, 1991, as amended at 57 FR 28966, June 29, 1992]



Sec. 327.31  What are the selection criteria for evaluating applications for awards?

    The Secretary uses the criteria in this section to evaluate 
applications for awards. The maximum score for all of the criteria is 
100 points.
    (a) Plan of operation (10 points). (1) The Secretary reviews each 
application to determine the quality of the plan of operation for the 
project.
    (2) The Secretary looks for--
    (i) High quality in the design of the project;
    (ii) An effective plan of management that insures proper and 
efficient administration of the project;
    (iii) A clear description of how the objectives of the project 
relate to the purpose of the program;
    (iv) The way the applicant plans to use its resources and personnel 
to achieve each objective; and
    (v) A clear description of how the applicant will provide equal 
access and treatment for eligible project participants who are members 
of groups that have been traditionally underrepresented, such as--
    (A) Members of racial or ethnic minority groups;
    (B) Women;
    (C) Individuals with disabilities, and
    (D) The elderly.
    (b) Quality of key personnel. (10 points) (1) The Secretary reviews 
each application to determine the qualifications of the key personnel 
the applicant plans to use on the project.
    (2) The Secretary considers--
    (i) The qualifications of the project director (if one is to be 
used);
    (ii) The qualifications of each of the other key personnel to be 
used in the project;
    (iii) The time that each person referred to in paragraphs (b)(2)(i) 
and (ii) of this section will commit to the project; and
    (iv) The extent to which the applicant, as part of its 
nondiscriminatory employment practices, encourages applications for 
employment from persons who are members of groups that have been 
traditionally underrepresented, Such as--
    (A) Members of racial or ethnic minority groups;
    (B) Women;
    (C) Individuals with disabilities, and
    (D) The elderly.
    (3) To determine personnel qualifications, the Secretary considers 
experience and training, in fields related to the objectives of the 
project, as well as other evidence that the applicant provides.
    (c) Budget and cost effectiveness. (10 points) (1) The Secretary 
reviews each application to determine if the project has an adequate 
budget and is cost effective.
    (2) The Secretary considers the extent to which--
    (i) The budget for the project is adequate to support the project 
activities; and
    (ii) Costs are reasonable in relation to the objectives of the 
project.
    (d) Evaluation plan. (5 points). (1) The Secretary reviews each 
application to determine the quality of the evaluation plan for the 
project.

    Cross Reference: 34 CFR 75.590, Evaluation by the grantee.
    (2) The Secretary considers the extent to which the methods of 
evaluation are appropriate for the project and, to the extent possible, 
are objective and produce data that are quantifiable.

[[Page 225]]

    (e) Adequacy of resources. (5 points). (1) The Secretary reviews 
each application to determine if the applicant plans to devote adequate 
resources to the project.
    (2) The Secretary considers the extent to which--
    (i) The facilities that the applicant plans to use are adequate; and
    (ii) The equipment and supplies that the applicant plans to use are 
adequate.
    (f) Importance. (10 points). (1) The Secretary reviews each 
application to determine if the proposed project addresses State and 
national concerns in light of the purposes of this part.
    (2) The Secretary considers--
    (i) The significance of the issues to be addressed for both State 
and national audiences;
    (ii) The importance of the proposed project in determining the 
impact and effectiveness of programs assisted under the Act;
    (iii) The experiences of service providers related to the problem or 
issue; and
    (iv) Previous research and evaluation findings related to the 
issues.
    (g) Usefulness. (10 points). The Secretary reviews each application 
to determine the usefulness of the proposed project findings in 
improving services to infants, toddlers, children, and youth with 
disabilities including--
    (1) The contribution that the project findings or products will make 
to current knowledge or practice;
    (2) The extent to which findings and reports will be useful in 
improving services for infants, toddlers, children, and youth with 
disabilities; and
    (3) The extent to which findings and reports will be useful to both 
State and national audiences in understanding the impact and 
effectiveness of programs assisted under the Individuals with 
Disabilities Education Act.
    (h) Technical soundness. (40 points). The Secretary reviews each 
application to determine the technical soundness of the research or 
evaluation plan, including, where appropriate--
    (1) The design;
    (2) The proposed sample;
    (3) Instrumentation;
    (4) Data analysis procedures; and
    (5) Procedures for the development of the project report.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1418)

[50 FR 35484, Aug. 30, 1985, as amended at 53 FR 28351, July 27, 1988; 
56 FR 54701, Oct. 22, 1991]



Secs. 327.32--327.39  [Reserved]



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



Sec. 327.40  What are the requirements for conducting projects?

    Each State educational agency or other State agency receiving an 
award for a State Agency/Federal Evaluation Studies project under 
Sec. 327.10(c) shall--
    (a) Contribute an amount not less than 40 percent of the total cost 
of the study, which amount may be paid from a State's allocation of 
funds for State administration of part B of the Act; and
    (b) Develop the study in consultation with the State advisory panel 
established under the Act, local educational agencies and others 
involved in, or concerned with, the education of children and youth with 
disabilities and the provision of early intervention services to infants 
and toddlers with disabilities.

(Authority: 20 U.S.C. 1418(c), (d)(2))

[50 FR 35484, Aug. 30, 1985, as amended at 53 FR 28351, July 27, 1988; 
56 FR 54701, Oct. 22, 1991]



Sec. 327.41  What conditions must be met by a recipient of an award under this program?

    Recipients of awards under Sec. 327.10(e) must prepare their 
procedures, findings, and other relevant information in a form that will 
maximize their dissemination and use, especially through dissemination 
networks and mechanisms authorized by the Act, and in a form for 
inclusion in the annual report to Congress under section 618(g) of the 
Act.


[[Page 226]]


(Authority: 20 U.S.C. 1418(c))

(Approved by the Office of Management and Budget under control number 
1820-0028)

[56 FR 54701, Oct. 22, 1991, as amended at 57 FR 14315, Apr. 17, 1992]



Secs. 327.42--327.49  [Reserved]



PART 328--PROGRAM FOR CHILDREN AND YOUTH WITH SERIOUS EMOTIONAL DISTURBANCE--Table of Contents




                           Subpart A--General

Sec.
328.1  What is the Program for Children and Youth With Serious Emotional 
          Disturbance?
328.2  Who is eligible for an award?
328.3  What priorities may the Secretary fund under this program?
328.4  What priorities may the Secretary establish?
328.5  What regulations apply?
328.6  What definitions apply?

                          Subpart B  [Reserved]

            Subpart C--How Does the Secretary Make an Award?

328.20  How does the Secretary evaluate an application?
328.21  What selection criteria does the Secretary use for applications 
          for research projects?
328.22  What selection criteria does the Secretary use for applications 
          for development or demonstration projects?
328.23  When does the Secretary propose new selection criteria?

         Subpart D--What Conditions Must Be Met After an Award?

328.30  What special conditions apply to projects assisted under this 
          program?

    Authority:  20 U.S.C. 1426, unless otherwise noted.

    Source:  56 FR 56457, Nov. 4, 1991, unless otherwise noted.

    Effective Date Note:  At 63 FR 23601, Apr. 29, 1998, part 328 was 
removed, effective Oct. 1, 1998.



                           Subpart A--General



Sec. 328.1  What is the Program for Children and Youth With Serious Emotional Disturbance?

    Under this program, the Secretary may support--
    (a) Projects, including research projects, for the purpose of 
improving special education and related services to children and youth 
with serious emotional disturbance; and
    (b) Demonstration projects to provide services for children and 
youth with serious emotional disturbance. Funds for projects under this 
paragraph may also be used--
    (1) To facilitate interagency and private sector resource pooling to 
improve services for children and youth with serious emotional 
disturbance; and
    (2) To provide information and training for those involved with, or 
who could be involved with, children and youth with serious emotional 
disturbance.

(Authority: 20 U.S.C. 1426 (a), (b))



Sec. 328.2  Who is eligible for an award?

    (a) To carry out the purpose in Sec. 328.1(a), the Secretary may 
make grants to, or enter into contracts or cooperative agreements with, 
institutions of higher education, State and local educational agencies, 
and other appropriate public and private nonprofit institutions or 
agencies.
    (b) Demonstration service projects. To carry out the purposes in 
Sec. 328.1(b), the Secretary may make grants to local educational 
agencies in collaboration with mental health entities.

(Authority: 20 U.S.C. 1426 (a), (b))



Sec. 328.3  What priorities may the Secretary fund under this program?

    (a) Under Sec. 328.2(a), the Secretary may support projects that 
include, but are not limited to--
    (1) Studies regarding the present state of special education and 
related services to children and youth with serious emotional 
disturbance and their families, including information and data to enable 
assessments of the status of those services over time;
    (2) Developing methodologies and curricula designed to improve 
special education and related services for these children and youth;
    (3) Developing and demonstrating strategies and approaches to reduce 
the use of out-of-community residential programs and to encourage the 
increased use of school district-based

[[Page 227]]

programs, which may include day treatment programs, after-school 
programs, and summer programs;
    (4) Developing the knowledge, skills and strategies for effective 
collaboration among special education, regular education, related 
services, and other professionals and agencies; or
    (5) Developing and demonstrating innovative approaches to assist and 
to prevent children with emotional and behavioral problems from 
developing serious emotional disturbances that require the provision of 
special education and related services.
    (b) Under Sec. 328.2(b), the Secretary may support demonstration 
projects that include, but are not limited to--
    (1) Increasing the availability, access, and quality of community 
services for children and youth with serious emotional disturbance and 
their families;
    (2) Improving working relationships among education, school, and 
community mental health and other relevant personnel, families of those 
children and youth, and their advocates;
    (3) Targeting resources to school settings, such as providing access 
to school or community mental health professionals or both and other 
community resources for students with serious emotional disturbance who 
are in community school settings; and
    (4) Taking into account the needs of minority children and youth in 
all phases of project activity.

(Authority: 20 U.S.C. 1426 (a), (b))



Sec. 328.4  What priorities may the Secretary establish?

    (a) Each year the Secretary may select as a priority one or more of 
the types of activities listed in Sec. 328.3.
    (b) The Secretary announces these priorities in a notice published 
in the Federal Register.
    (c) In accordance with the Education Department General 
Administrative Regulations (EDGAR) at 34 CFR 75.105, the Secretary may 
also propose new priorities for assistance under this program through 
publication of a notice in the Federal Register.

(Authority: 20 U.S.C. 1426(a), and 20 U.S.C. 3474)



Sec. 328.5  What regulations apply?

    The following regulations apply to this program:
    (a) The Education Department General Administrative Regulations 
(EDGAR) in title 34 of the Code of Federal Regulations--
    (1) Part 74 (Administration of Grants to Institutions of Higher 
Education, Hospitals and Nonprofit Organizations);
    (2) Part 75 (Direct Grant Programs);
    (3) Part 77 (Definitions that Apply to Department Regulations);
    (4) Part 79 (Intergovernmental Review of Department of Education 
Programs and Activities);
    (5) Part 80 (Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments);
    (6) Part 81 (General Education Provisions Act--Enforcement);
    (7) Part 82 (New Restrictions on Lobbying);
    (8) Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace 
(Grants)); and
    (9) Part 86 (Drug-Free Schools and Campuses).
    (b) The Federal Acquisition Regulation (FAR) in 48 CFR chapter 1 and 
the Education Department Acquisition Regulation (EDAR) in 48 CFR chapter 
34.
    (c) The regulations in this part 328.

(Authority: 20 U.S.C. 1426)



Sec. 328.6  What definitions apply?

    (a) Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:

    Application
    EDGAR
    Grant
    Local educational agency (LEA)
    Project
    Public
    Secretary
    State
    State educational agency (SEA)

    (b) Other definitions. The following definitions also apply to this 
part:
    Act means the Individuals with Disabilities Education Act, as 
amended (20 U.S.C. 1400-1485).

[[Page 228]]

    Free appropriate public education is defined in 34 CFR part 300.4.

(Authority: 20 U.S.C. 1426)



                          Subpart B  [Reserved]



            Subpart C--How Does the Secretary Make an Award?



Sec. 328.20  How does the Secretary evaluate an application?

    (a) The Secretary evaluates an application on the basis of the 
criteria in Secs. 328.21, 328.22, and 328.23.
    (b) The Secretary awards up to 100 points under these criteria.
    (c) The maximum possible score for each criterion is indicated in 
parentheses.

(Authority: 20 U.S.C. 1426)



Sec. 328.21  What selection criteria does the Secretary use for applications for research projects?

    The Secretary uses the following criteria to evaluate an application 
for a research project:
    (a) Plan of operation. (10 points) (1) The Secretary reviews each 
application to determine the quality of the plan of operation for the 
project.
    (2) The Secretary looks for--
    (i) High quality in the design of the project;
    (ii) An effective plan of management that insures proper and 
efficient administration of the project;
    (iii) A clear description of how the objectives of the project 
relate to the purpose of the program;
    (iv) The way the applicant plans to use its resources and personnel 
to achieve each objective; and
    (v) How the applicant will ensure that project participants who are 
otherwise eligible to participate are selected without regard to race, 
color, national origin, gender, age, or disabling condition.
    (3) The Secretary reviews each application to determine the quality 
of the evaluation plans for the project, and considers the extent to 
which the methods of evaluation are appropriate for the project and, to 
the extent possible, are objective and produce data that are 
quantifiable.

    Cross Reference: 34 CFR 75.590, Evaluation by the grantee.
    (b) Quality of key personnel. (10 points) (1) The Secretary reviews 
each application to determine the qualifications of the key personnel 
that the applicant plans to use on the project.
    (2) The Secretary considers--
    (i) The qualifications of the project director (if one is to be 
used);
    (ii) The qualifications of each of the other key personnel to be 
used in the project;
    (iii) The time that each person referred to in paragraphs (b)(2) (i) 
and (ii) of this section will commit to the project; and
    (iv) How the applicant, as part of its nondiscriminatory employment 
practices, will ensure that its personnel are selected for employment 
without regard to race, color, national origin, gender, age, or 
disabling condition.
    (3) To determine personnel qualifications, the Secretary considers 
experience and training in fields related to the objectives of the 
project and other evidence that the applicant provides.
    (c) Budget and cost effectiveness. (5 points) (1) The Secretary 
reviews each application to determine if the project has an adequate 
budget and is cost effective.
    (2) The Secretary considers the extent to which--
    (i) The budget for the project is adequate to support the project 
activities; and
    (ii) Costs are reasonable in relation to the objectives of the 
project.
    (d) Adequacy of resources. (5 points) (1) The Secretary reviews each 
application to determine if the applicant plans to devote adequate 
resources to the project.
    (2) The Secretary considers the extent to which--
    (i) The facilities that the applicant plans to use are adequate; and
    (ii) The equipment and supplies that the applicant plans to use are 
adequate.
    (e) Importance. (15 points) The Secretary reviews each application 
to determine the importance of the project in lending to the 
understanding of, remediation of, or compensation for, the problem or 
issue that relates to the

[[Page 229]]

early intervention with or special education of infants, toddlers, 
children, and youth with disabilities.
    (f) Impact. (15 points) The Secretary reviews each application to 
determine the probable impact of the proposed research products on 
infants, toddlers, children, and youth with disabilities, or personnel 
responsible for their education.
    (g) Organizational capability. (5 points) The Secretary considers--
    (1) The applicant's experience in special education; and
    (2) The ability of the applicant to disseminate the findings of the 
project to appropriate groups to ensure that the findings can be used 
effectively.
    (h) Technical soundness. (35 points) The Secretary reviews each 
application to determine the technical soundness of the research or 
evaluation plan, including--
    (1) The design;
    (2) The proposed sample;
    (3) The instrumentation; and
    (4) The data analysis procedures.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1426)



Sec. 328.22  What selection criteria does the Secretary use for applications for development or demonstration projects?

    The Secretary uses the following criteria to evaluate an application 
for a development or demonstration project:
    (a) Plan of operation. (10 points) (1) The Secretary reviews each 
application to determine the quality of the plan of operation for the 
project.
    (2) The Secretary looks for--
    (i) High quality in the design of the project;
    (ii) An effective plan of management that insures proper and 
efficient administration of the project;
    (iii) A clear description of how the objectives of the project 
relate to the purpose of the program;
    (iv) The way the applicant plans to use its resources and personnel 
to achieve each objective; and
    (v) How the applicant will ensure that project participants who are 
otherwise eligible to participate are selected without regard to race, 
color, national origin, gender, age, or disabling condition.
    (b) Quality of key personnel. (10 points) (1) The Secretary reviews 
each application to determine the qualifications of the key personnel 
the applicant plans to use on the project.
    (2) The Secretary considers--
    (i) The qualifications of the project director (if one is to be 
used);
    (ii) The qualifications of each of the other key personnel to be 
used in the project;
    (iii) The time that each person referred to in paragraphs (b)(2) (i) 
and (ii) of this section will commit to the project; and
    (iv) How the applicant, as part of its nondiscriminatory employment 
practices, will ensure that its personnel are selected for employment 
without regard to race, color, national origin, gender, age, or 
disabling condition.
    (3) To determine personnel qualifications, the Secretary considers 
experience and training in fields related to the objectives of the 
project and other evidence that the applicant provides.
    (c) Budget and cost effectiveness. (5 points) (1) The Secretary 
reviews each application to determine if the project has an adequate 
budget and is cost effective.
    (2) The Secretary considers the extent to which--
    (i) The budget for the project is adequate to support the project 
activities; and
    (ii) Costs are reasonable in relation to the objectives of the 
project.
    (d) Evaluation plan. (10 points) (1) The Secretary reviews each 
application to determine the quality of the evaluation plan for the 
project.

    Cross Reference: 34 CFR 75.590, Evaluation by the grantee.
    (2) The Secretary considers the extent to which the methods of 
evaluation are appropriate for the project and, to the extent possible, 
are objective and produce data that are quantifiable.
    (e) Adequacy of resources. (5 points) (1) The Secretary reviews each 
application to determine if the applicant plans to devote adequate 
resources to the project.
    (2) The Secretary considers the extent to which--

[[Page 230]]

    (i) The facilities that the applicant plans to use are adequate; and
    (ii) The equipment and supplies that the applicant plans to use are 
adequate.
    (f) Importance. (10 points) The Secretary reviews each application 
to determine--
    (1) The extent to which the service delivery problem addressed by 
the proposed project is of concern to others in the Nation; and
    (2) The importance of the project in addressing the problem or 
issue.
    (g) Innovativeness. (15 points) (1) The Secretary reviews each 
application to determine the innovativeness of the proposed project.
    (2) The Secretary looks for a conceptual framework that--
    (i) Is founded on previous theory and research; and
    (ii) Provides a basis for the unique strategies and approaches to be 
incorporated into the model.
    (h) Organizational capability. (10 points) The Secretary considers--
    (1) The applicant's experience in special education or early 
intervention services; and
    (2) The applicant's ability to disseminate findings of the project 
to appropriate groups to ensure that they can be used effectively.
    (i) Technical soundness. (25 points) The Secretary reviews each 
application to determine the technical soundness of the plan for the 
development, implementation, and evaluation of the model with respect to 
such matters as--
    (1) The population to be served;
    (2) The model planning process;
    (3) Recordkeeping systems;
    (4) Coordination with other service providers;
    (5) The identification and assessment of students;
    (6) Interventions to be used, including proposed curricula;
    (7) Individualized educational program planning; and
    (8) Parent and family participation.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1426)



Sec. 328.23  When does the Secretary propose new selection criteria?

    (a) The Secretary may propose new selection criteria for 
applications for projects when the applications cannot be appropriately 
evaluated using the selection criteria in either Sec. 328.21 or 
Sec. 328.22.
    (b) The Secretary announces the new selection criteria in a notice 
published in the Federal Register.

(Authority: 20 U.S.C. 1426)



         Subpart D--What Conditions Must Be Met After an Award?



Sec. 328.30  What special conditions apply to projects assisted under this program?

    (a) Each project assisted under this program must--
    (1) Apply existing research outcomes from multi-disciplinary fields; 
and
    (2) In complying with 34 CFR 75.590 (Evaluation by the grantee), use 
a grant evaluation plan that is outcome-oriented and that focuses on the 
benefits to individual children and youth.
    (b) A grantee, if appropriate, must prepare reports describing 
procedures, findings, and other relevant information in a form that will 
maximize the dissemination and use of these procedures, findings, and 
information.
    (c) The Secretary requires delivery of those reports, as 
appropriate, to--
    (1) The regional and Federal Resource Centers, the Clearinghouses, 
and the Technical Assistance to Parents Programs (TAPP) assisted under 
parts C and D of the Act;
    (2) The National Diffusion Network;
    (3) The ERIC Clearinghouse on the Handicapped and Gifted;
    (4) The Child and Adolescent Service Systems Program (CASSP) under 
the National Institute of Mental Health;
    (5) Appropriate parent and professional organizations;
    (6) Organizations representing individuals with disabilities; and
    (7) Such other networks as the Secretary may determine to be 
appropriate.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1426(c))


[[Page 231]]





PART 330--CAPTIONED FILMS INCLUDING VIDEOS LOAN SERVICE PROGRAM FOR DEAF AND HARD OF HEARING INDIVIDUALS--Table of Contents




                           Subpart A--General

Sec.
330.1  Captioned Films Including Videos Loan Service Program.
330.2  Who is eligible to apply under the Captioned Films Including 
          Videos Loan Service Program?
330.3  [Reserved]
330.4  What definitions apply to the captioned films loan service for 
          the deaf program?

                        Subparts B--D [Reserved]

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

330.50  What are the limitations on use of the loan service?

    Authority:  20 U.S.C. 1451, 1452, unless otherwise noted.

    Source:  45 FR 52130, Aug. 5, 1980, unless otherwise noted. 
Redesignated at 45 FR 77368, Nov. 21, 1980.

    Effective Date Note:  At 63 FR 23601, Apr. 29, 1998, part 330 was 
removed, effective Oct. 1, 1998.



                           Subpart A--General



Sec. 330.1  Captioned Films Including Videos Loan Service Program.

    The Captioned Films Including Videos Loan Service Program promotes 
the general welfare for deaf and hard of hearing individuals by--
    (a) Bringing to deaf and hard of hearing individuals understanding 
and appreciation of those films that play an important part in the 
general and cultural advancement of hearing individuals;
    (b) Providing enriched educational and cultural experiences through 
which deaf and hard of hearing individuals can be brought into better 
touch with the realities of their environment;
    (c) Providing a wholesome and rewarding experience that deaf and 
hard of hearing individuals may share together; and
    (d) Addressing the problems of illiteracy among deaf and hard of 
hearing individuals.
     (Authority: 20 U.S.C. 1451, 1452)
[56 FR 54701, Oct. 22, 1991]



Sec. 330.2  Who is eligible to apply under the Captioned Films Including Videos Loan Service Program?

    The following are eligible to apply to borrow captioned films and 
videos:
    (a) Deaf and hard of hearing individuals.
    (b) Parents of deaf and hard of hearing individuals.
    (c) Other individuals directly involved in activities promoting the 
advancement of deaf and hard of hearing individuals in the United 
States.
     (Authority: 20 U.S.C. 1452(a))
[56 FR 54701, Oct. 22, 1991]



Sec. 330.3  [Reserved]



Sec. 330.4  What definitions apply to the captioned films loan service for the deaf program?

    (a) [Reserved]
    (b) The following definitions apply to terms used in this part:
    Act means Individuals With Disabilities Education Act.
    Borrower means a user of loan service media.
    Deaf person means a person whose hearing is so severely impaired as 
not to be correctable to a functional level for the ordinary activities 
of living.
    Educational media means those media used for educational purposes.
    Films means motion pictures and other materials similar in display 
and function, such as video tapes and video discs.
    Media means films, filmstrips, photographs and slides, 
transparencies, television, audio and video tapes, audio and video 
discs, and similar materials. Printed materials may also be included if 
in combination with one or more of the preceding.
    Nonprofit purposes means that the exhibition of media may not result 
in monetary gain or other tangible economic benefit to the borrower.
    Theatrical films means films produced for showing in a commercial 
setting as entertainment and not those primarily developed for use in a 
formal program of instruction.

[[Page 232]]

     (Authority: 20 U.S.C. 1451, 1452)
[45 FR 52130, Aug. 5, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980, 
as amended at 53 FR 41085, Oct. 19, 1988; 56 FR 54701, Oct. 22, 1991]



                        Subparts B--D [Reserved]



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



Sec. 330.50  What are the limitations on use of the loan service?

    (a) A borrower shall use the captioned films for nonprofit purposes 
only. Moreover, the sum of any fees collected by the borrower for use of 
the films may not exceed the reasonable expense incurred by the borrower 
in showing the films to eligible viewers.
    (b) In accordance with agreements with producers and distributors, a 
borrower shall show theatrical films to deaf and hard of hearing 
individuals only. However, this does not exclude the attendance of 
teachers of deaf and hard of hearing individuals, interpreters, parents, 
and occasional guests as long as the audience is composed predominantly 
of deaf and hard of hearing individuals.
     (Authority: 20 U.S.C. 1452(a), (b)(1))
[45 FR 52130, Aug. 5, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980, 
as amended at 53 FR 41085, Oct. 19, 1988; 56 FR 54701, Oct. 22, 1991]



PART 331--EDUCATIONAL MEDIA AND DESCRIPTIVE VIDEOS LOAN SERVICE PROGRAM FOR INDIVIDUALS WITH DISABILITIES--Table of Contents




                           Subpart A--General

Sec.
331.1  Educational Media and Descriptive Videos Loan Service Program.
331.2  Who is eligible to apply under the Educational Media and 
          Descriptive Videos Loan Service Program?
331.3  [Reserved]
331.4  What definitions apply to the Educational Media and Descriptive 
          Videos Loan Service Program?

                        Subparts B--D [Reserved]

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

331.50  What are the limitations on the use of the loan service?

    Authority:  20 U.S.C. 1452, unless otherwise noted.

    Source:  45 FR 52131, Aug. 5, 1980, unless otherwise noted. 
Redesignated at 45 FR 77368, Nov. 21, 1980.

    Effective Date Note:  At 63 FR 23601, Apr. 29, 1998, part 331 was 
removed, effective Oct. 1, 1998.



                           Subpart A--General



Sec. 331.1  Educational Media and Descriptive Videos Loan Service Program.

    The Educational Media and Descriptive Video Loan Service Program--
    (a) Makes educational media and descriptive videos available in the 
United States for nonprofit purposes to individuals with disabilities, 
parents of individuals with disabilities, and other individuals directly 
involved in activities for the advancement of individuals with 
disabilities; and utilizes educational media to help eliminate 
illiteracy among individuals with disabilities; and
    (b) Promotes the general welfare of visually impaired individuals 
by--
    (1) Bringing to these individuals an understanding and appreciation 
of textbooks, films, television programs, video material, and other 
educational publications and materials that play such an important part 
in the general and cultural advancement of visually unimpaired 
individuals; and
    (2) Ensuring access to television programming and other video 
materials.

(Authority: 20 U.S.C. 1452(a))

[56 FR 54702, Oct. 22, 1991]



Sec. 331.2  Who is eligible to apply under the Educational Media and Descriptive Videos Loan Service Program?

    The following are eligible to apply to borrow educational media and 
descriptive videos:
    (a) Individuals with disabilities.
    (b) Parents of individuals with disabilities.
    (c) Other persons directly involved in activities for the 
advancement of individuals with disabilities in the United States.

(Authority: 20 U.S.C. 1452(a))

[56 FR 54702, Oct. 22, 1991]

[[Page 233]]



Sec. 331.3  [Reserved]



Sec. 331.4  What definitions apply to the Educational Media and Descriptive Videos Loan Service Program?

    (a) [Reserved]
    (b) The following definitions apply to the terms used in this part:
    Act means Individuals with Disabilities Education Act.
    Borrower means a user of loan service media.
    Educational media means those media used for educational purposes.
    Films means motion pictures and other materials similar in display 
and function, such as video tapes and video discs.
    Media means films, filmstrips, photographs and slides, 
transparencies, television, audio and video tapes, audio and video 
discs, and similar materials. Printed materials may also be included if 
in combination with one or more of the preceding.
    Nonprofit purposes means that the exhibition of media may not result 
in monetary gain or other tangible economic benefit to the borrower.

(Authority: 20 U.S.C. 1451, 1452)

[54 FR 52131, Aug. 5, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980, 
as amended at 53 FR 41085, Oct. 19, 1988; 56 FR 54702, Oct. 22, 1991]



                        Subparts B--D [Reserved]



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



Sec. 331.50  What are the limitations on the use of the loan service?

    A borrower shall use the educational media for nonprofit purposes 
only. Moreover, the sum of any fees collected by the borrower for the 
use of the educational media may not exceed the reasonable expenses 
incurred by the borrower in exhibiting the media to eligible parties.

(Authority: 20 U.S.C. 1452(a))

[53 FR 41085, Oct. 19, 1988]



PART 332--EDUCATIONAL MEDIA RESEARCH, PRODUCTION, DISTRIBUTION, AND TRAINING--Table of Contents




                           Subpart A--General

Sec.
332.1  Educational Media Research, Production, Distribution, and 
          Training Program.
332.2  Who is eligible to apply under the educational media research, 
          production, distribution, and training program?
332.3  What regulations apply to this program?
332.4  What definitions apply to the educational media research, 
          production, distribution, and training program?

   Subpart B--What Kinds of Projects Does the Department of Education 
                       Assist Under This Program?

332.10  Projects funded under the educational media research, 
          production, distribution, and training program.

                          Subpart C  [Reserved]

                     Subpart D--How Are Grants Made?

332.30  How does the Secretary establish priorities annually?
332.31  How does the Secretary evaluate an application?
332.32  What selection criteria does the Secretary use?

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

332.40  Final products.
332.41  What other conditions must be met by grantees under this 
          program?

    Authority:  20 U.S.C. 1451-1452, unless otherwise noted.

    Source:  45 FR 52132, Aug. 5, 1980, unless otherwise noted. 
Redesignated at 45 FR 77368, Nov. 21, 1980.

    Effective Date Note:  At 63 FR 23601, Apr. 29, 1998, part 332 was 
removed, effective Oct. 1, 1998.



                           Subpart A--General



Sec. 332.1  Educational Media Research, Production, Distribution, and Training Program.

    The purposes of this program are to promote:
    (a) The general welfare of deaf and hard of hearing individuals by--

[[Page 234]]

    (1) Bringing to such individuals understanding and appreciation of 
those films and television programs that play such an important part in 
the general and cultural advancement of hearing individuals;
    (2) Providing through these films and television programs enriched 
educational and cultural experiences through which deaf and hard of 
hearing individuals can be brought into better touch with the realities 
of their environment;
    (3) Providing a wholesome and rewarding experience that deaf and 
hard of hearing individuals may share together; and
    (b) The educational advancement of individuals with disabilities 
by--
    (1) Carrying on research in the use of educational media for 
individuals with disabilities;
    (2) Producing and distributing educational media for the use of 
individuals with disabilities, their parents, their actual or potential 
employers, and other individuals directly involved in work for the 
advancement of individuals with disabilities;
    (3) Training individuals in the use of educational media for the 
instruction of individuals with disabilities; and
    (4) Utilizing educational media to help eliminate illiteracy among 
individuals with disabilities; and
    (c) The general welfare of visually impaired individuals by--
    (1) Bringing to such individuals an understanding and appreciation 
of textbooks, films, television programs, video material, and other 
educational publications and materials that play such an important part 
in the general and cultural advancement of visually unimpaired 
individuals; and
    (2) Ensuring access to television programming and other video 
materials.

(Authority: 20 U.S.C. 1451)

[56 FR 54702, Oct. 22, 1991]



Sec. 332.2  Who is eligible to apply under the educational media research, production, distribution, and training program?

    Parties eligible for grants under this subpart are profit and 
nonprofit public and private agencies, organizations, and institutions 
except only the National Theatre of the Deaf, Inc. and other appropriate 
non-profit organizations are eligible for a grant, contract, or 
cooperative agreement under Sec. 332.10(f).

(Authority: 20 U.S.C. 1451, 1452)

[45 FR 52132, Aug. 5, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980, 
as amended at 56 FR 54702, Oct. 22, 1991]



Sec. 332.3  What regulations apply to this program?

    (a) The Education Department General Administrative Regulations 
(EDGAR) in the following parts of title 34 of the Code of Federal 
Regulations--
    (1) Part 74 (Administration of Grants to Institutions of Higher 
Education, Hospitals, and Nonprofit Organizations);
    (2) Part 75 (Direct Grant Programs);
    (3) Part 77 (Definitions That Apply to Department Regulations);
    (4) Part 79 (Intergovernmental Review of Department of Education 
Programs and Activities);
    (5) Part 80 (Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments);
    (6) Part 81 (General Education Provisions Act--Enforcement);
    (7) Part 82 (New Restrictions on Lobbying);
    (8) Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for a Drug-Free 
Workplace (Grants)); and
    (9) Part 86 (Drug-Free Schools and Campuses).
    (b) The regulations in this part 332.

(Authority: 20 U.S.C. 1221e-3(a)(1))

[56 FR 54702, Oct. 22, 1991]



Sec. 332.4  What definitions apply to the educational media research, production, distribution, and training program?

    (a) Definitions in EDGAR. The following terms used in these 
regulations are defined in 34 CFR part 77:

    Applicant
    Application
    Award
    Secretary
    Nonprofit
    Public

    (b) Specific program definitions:

[[Page 235]]

    Act means the Individuals with Disabilities Education Act (title VI 
of Pub. L. 91-230 as amended).
    Distribution means giving physical access to media and related 
materials and attendant equipment.
    Educational media means those media used for educational purposes.
    Films means motion pictures and other materials similar in display 
and function, such as video tapes and video discs.
    Media means films, filmstrips, photographs and slides, 
transparencies, television, audio and video tapes, audio and video 
discs, and similar materials. Printed materials may also be included if 
in combination with one or more of the preceding.
    Media technology means the methods and processes through which media 
are provided and encompasses demonstration of the use of modern 
communication technology in improving the general welfare of handicapped 
persons.
    Nonprofit purposes means that the exhibition of media may not result 
in monetary gain or other tangible economic benefit to the borrower.
    Production means creating or changing media materials.
    Training means activities designed to develop facility in the use of 
media materials and technology and in dissemination and marketing 
practices.

(Authority: 20 U.S.C. 1451, 1452)

[45 FR 52132, Aug. 5, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980, 
as amended at 56 FR 54702, Oct. 22, 1991]



   Subpart B--What Kinds of Projects Does the Department of Education 
                       Assist Under This Program?



Sec. 332.10  Projects funded under the educational media research, production, distribution, and training program.

    Projects that may be supported include, but are not limited to the 
following:
    (a) Research in the use of educational and training films and other 
educational media for individuals with disabilities. This may include 
research to--
    (1) Identify the full range of special needs of individuals with 
disabilities related to educational media and media technology;
    (2) Determine the need for--
    (i) Educational media training;
    (ii) Media information systems; and
    (iii) Media delivery systems;
    (3) Determine the extent to which the needs listed in paragraph 
(a)(2) of this section are being met; and
    (4) Develop or demonstrate new or improved techniques that would 
contribute to the advancement and education of individuals with 
disabilities through the use of educational media or technology or both.
    (b) Creation or adaptation of educational media for use by 
individuals with disabilities, their parents, their actual or potential 
employers, and other persons directly involved in activities for the 
advancement of individuals with disabilities.
    (c) Distribution of educational media. This may include the 
development of delivery systems.
    (d) Dissemination of information about practices found effective in 
regard to the effective use of educational media and technology.
    (e) Training of persons in the use and dissemination of educational 
media for the advancement of individuals with disabilities.
    (f) Provision of cultural experiences to enrich the lives of deaf 
and hard of hearing children and adults, increase public awareness and 
understanding of deafness and of the artistic and intellectual 
achievements of deaf and hard of hearing individuals, and promote the 
integration of hearing and deaf and hard of hearing individuals through 
shared cultural, educational, and social experiences.
    (g) Captioning for deaf and hard of hearing individuals and video 
describing for the visually impaired of films, television programs, and 
video materials.
    (h) Provision of current, free textbooks and other educational 
publications and materials to blind and other print-handicapped students 
in elementary, secondary, postsecondary, and graduate schools and other 
institutions

[[Page 236]]

of higher education through the medium of transcribed tapes and 
cassettes. The term print-handicapped refers to any individual who is 
blind as severely visually impaired, or who, by reason of a physical or 
perceptual disability, is unable to read printed material unassisted.
    (i) Distribution of captioned and video-described films, video 
materials, and other educational media and equipment through State 
schools for individuals with disabilities, public libraries, and such 
other agencies or entities as the Secretary deems appropriate to serve 
as local or regional centers for such distribution.

(Authority: 20 U.S.C. 1452)

[45 FR 52132, Aug. 5, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980, 
as amended at 56 FR 54702, Oct. 22, 1991]



                          Subpart C  [Reserved]



                     Subpart D--How Are Grants Made?



Sec. 332.30  How does the Secretary establish priorities annually?

    (a) The Secretary may select a priority for funding from among those 
activities listed in Sec. 332.10 by publishing a notice in the Federal 
Register.
    (b) The Secretary may identify a particular disability or 
disabilities as a priority for assistance under this program through 
publication of a notice in the Federal Register.

(Authority: 20 U.S.C. 1451, 1452)

[45 FR 52132, Aug. 5, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980, 
as amended at 56 FR 54703, Oct. 22, 1991]



Sec. 332.31  How does the Secretary evaluate an application?

    (a) The Secretary evaluates an application on the basis of the 
criteria in Sec. 332.32. The extent to which an applicant addresses a 
priority is considered under the need criterion of Sec. 332.32(f).
    (b) The Secretary awards up to 100 possible points for these 
criteria.
    (c) The maximum possible score for each complete criterion is 
indicated in parentheses.

(Authority: 20 U.S.C. 1451)



Sec. 332.32  What selection criteria does the Secretary use?

    (a) Plan of operation. (25 points) (1) The Secretary reviews each 
application for information that shows the quality of the plan of 
operation for the project.
    (2) The Secretary looks for information that shows--
    (i) High quality in the design of the project;
    (ii) An effective plan of management that insures proper and 
efficient administration of the project;
    (iii) A clear description of how the objectives of the project 
relate to the purpose of the program;
    (iv) The way the applicant plans to use its resources and personnel 
to achieve each objective;
    (v) A clear description of how the applicant will provide equal 
access and treatment for eligible project participants who are members 
of groups that have been traditionally under represented, such as--
    (A) Individuals with disabilities;
    (B) Members of racial or ethnic minority groups;
    (C) Women; and
    (D) The elderly.
    (b) Quality of key personnel. (20 points) (1) The Secretary reviews 
each application for information that shows the quality of the key 
personnel the applicant plans to use on the project.
    (2) The Secretary looks for information that shows--
    (i) The qualifications of the project director (if one is to be 
used);
    (ii) The qualifications of each of the other key personnel to be 
used in the project;
    (iii) The time that each person referred to in paragraphs (b)(2) (i) 
and (ii) of this section plans to commit to the project; and
    (iv) The extent to which the applicant, as part of its 
nondiscriminatory employment practices, encourages applications for 
employment from persons who are members of groups that have been 
traditionally under represented, such as--
    (A) Individuals with disabilities;
    (B) Members of racial or ethnic minority groups;
    (C) Women; and
    (D) The elderly.

[[Page 237]]

    (3) To determine the qualifications of a person, the Secretary 
considers evidence of past experience and training, in fields related to 
the objectives of the project, as well as other information that the 
applicant provides.
    (c) Budget and cost effectiveness. (15 points) (1) The Secretary 
reviews each application for information that shows that the project has 
an adequate budget and is cost effective.
    (2) The Secretary looks for information that shows--
    (i) The budget for the project is adequate to support the project 
activities; and
    (ii) Costs are reasonable in relation to the objectives of the 
project.
    (d) Evaluation plan. (5 points) (1) The Secretary reviews each 
application for information that shows the quality of the evaluation 
plan for the project. (See 34 CFR 75.590--Evaluation by the grantee.)
    (2) The Secretary looks for information that shows methods of 
evaluation that are appropriate for the project and, to the extent 
possible, are objective and produce data that are quantifiable.
    (e) Adequacy of resources. (10 points) (1) The Secretary reviews 
each application for information that shows that the applicant plans to 
devote adequate resources for the project.
    (2) The Secretary looks for information that shows--
    (i) The facilities that the applicant plans to use are adequate; and
    (ii) The equipment and supplies that the applicant plans to use are 
adequate.
    (f) Need. (20 points) (1) The Secretary reviews each application for 
information that shows the need for the project.
    (2) The Secretary looks for information that shows--
    (i) The need for the proposed activity with respect to the 
disability served or to be served by the applicant;
    (ii) The potential for using the results in other projects or 
programs.
    (g) Marketing and dissemination. (5 points) (1) The Secretary 
reviews each application for information that shows adequate provisions 
for marketing or disseminating results.
    (2) The Secretary looks for information that shows--
    (i) The provisions for marketing or otherwise disseminating the 
results of the project; and
    (ii) Provisions for making materials and techniques available to the 
populations for whom the project would be useful.

(Authority: 20 U.S.C. 1451, 1452)

(Approved by the Office of Management and Budget under control number 
1820-0028)

[46 FR 3206, Jan. 14, 1981, as amended at 56 FR 54703, Oct. 22, 1991; 57 
FR 14315, Apr. 17, 1992]



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



Sec. 332.40  Final products.

    The Secretary may require any grantee engaged in the actual 
development of materials to submit up to one original and two copies of 
those materials.



Sec. 332.41  What other conditions must be met by grantees under this program?

    Grantees shall, if appropriate, prepare reports describing their 
procedures, findings, and other relevant information in a form that will 
maximize the dissemination and use of such procedures, findings, and 
information. The Secretary shall require their delivery, as appropriate, 
to the Regional and Federal Resource Centers, the Clearinghouses, and 
the Technical Assistance to Parents Program (TAPP) assisted under parts 
C and D of the Act, as well as the National Diffusion Network, the ERIC 
Clearinghouse on the Handicapped and Gifted, and the Child and 
Adolescent Service Systems Program (CASSP) under the National Institute 
of Mental Health, appropriate parent and professional organizations, 
organizations representing individuals with disabilities, and such other 
networks as the Secretary may determine to be appropriate.


[[Page 238]]


(Authority: 20 U.S.C. 1409(g))

(Approved by the Office of Management and Budget under control number 
1820-0028)

[56 FR 54703, Oct. 22, 1991, as amended at 57 FR 14315, Apr. 17, 1992]



PART 333--TECHNOLOGY, EDUCATIONAL MEDIA, AND MATERIALS FOR INDIVIDUALS WITH DISABILITIES PROGRAM--Table of Contents




                           Subpart A--General

Sec.
333.1  What is the Technology, Educational Media, and Materials for 
          Individuals with Disabilities Program?
333.2  Who is eligible for an award?
333.3  What priorities does the Secretary consider for support under 
          this part?
333.4  How does the Secretary select and announce funding priorities 
          under this program?
333.5  What regulations apply to this program?
333.6  What definitions apply to this program?
333.7--333.9  [Reserved]

                          Subpart B  [Reserved]

            Subpart C--How Does the Secretary Make an Award?

333.20  How does the Secretary evaluate an application?
333.21  What selection criteria does the Secretary use to evaluate 
          applications for research or evaluation activities?
333.22  What selection criteria does the Secretary use to evaluate 
          applications for development or demonstration activities?
333.23--333.29  [Reserved]

         Subpart D--What Conditions Must Be Met After an Award?

333.30  What materials must be submitted by the grantee?
333.31  What other conditions must be met by grantees under this 
          program?
333.32--333.39  [Reserved]

    Authority:  20 U.S.C. 1461-1462, unless otherwise noted.

    Source:  53 FR 6952, Mar. 3, 1988, unless otherwise noted.

    Effective Date Note:  At 63 FR 23601, Apr. 29, 1998, part 333 was 
removed, effective Oct. 1, 1998.



                           Subpart A--General



Sec. 333.1  What is the Technology, Educational Media, and Materials for Individuals with Disabilities Program?

    The purpose of this program is to support projects and centers for 
advancing the availability, quality, use, and effectiveness of 
technology, and educational media and materials in the education of 
children and youth with disabilities, and the provision of related 
services and early intervention services to infants and toddlers with 
disabilities.

(Authority: 20 U.S.C. 1461)

[56 FR 54703, Oct. 22, 1991]



Sec. 333.2  Who is eligible for an award?

    (a) The Secretary may award grants or contracts, or enter into 
cooperative agreements with, institutions of higher education, State and 
local educational agencies, public agencies, and private nonprofit or 
for-profit organizations.
    (b) The Secretary does not award a grant, contract, or cooperative 
agreement for the activities described in Sec. 333.3 (a) through (f) 
unless the applicant for such assistance agrees that activities carried 
out with the assistance will be coordinated, as appropriate, with the 
State entity receiving funds under the Technology-Related Assistance for 
Individuals with Disabilities Act of 1988 (title 1 of Public Law 100-
407).

(Authority: 20 U.S.C. 1461)

[53 FR 6952, Mar. 3, 1988, as amended at 56 FR 54703, Oct. 22, 1991]



Sec. 333.3  What priorities does the Secretary consider for support under this part?

    The Secretary may fund activities that carry out the purpose of the 
program. These activities may include, but are not limited to, the 
following:
    (a) Conducting research or evaluation on the need, use, design 
features, implementation, and effectiveness of technology, assistive 
technology, educational media, and materials.
    (b) Demonstrating the effectiveness and the efficient implementation 
and

[[Page 239]]

use of technology, assistive technology, educational media, and 
materials.
    (c) Designing and developing new technology, assistive technology, 
educational media, and materials.
    (d) Adapting, modifying, and evaluating existing technology, 
assistive technology, educational media, and materials.
    (e) Assisting the public and private sectors by providing advice and 
information to promote the development, use, distribution, and marketing 
of technology, assistive technology, educational media, and materials.
    (f) Disseminating information through such means as publications, 
telecommunications, conferences, or presentations on the availability, 
quality, use, and effectiveness of technology, assistive technology, 
educational media, and materials.
    (g) Increasing access to and use of assistive technology devices and 
assistive technology services in the education of infants, toddlers, 
children, and youth with disabilities, and other activities authorized 
under the Technology-Related Assistance for Individuals with 
Disabilities Act of 1988 as such Act relates to the education of 
students with disabilities.
    (h) Examining how these purposes can address the problem of 
illiteracy among individuals with disabilities.

(Authority: 20 U.S.C. 1461)

[53 FR 6952, Mar. 3, 1988, as amended at 56 FR 54703, Oct. 22, 1991]



Sec. 333.4  How does the Secretary select and announce funding priorities under this program?

    (a) Each year the Secretary may select as a priority one or more of 
the types of activities listed in Sec. 333.3.
    (b) The Secretary announces these priorities in a notice published 
in the Federal Register.

(Authority: 20 U.S.C. 1461)

[53 FR 6952, Mar. 3, 1988, as amended at 56 FR 54703, Oct. 22, 1991]



Sec. 333.5  What regulations apply to this program?

    (a) The following regulations apply to grants and cooperative 
agreements under this program:
    (1) The Education Department General Administrative Regulations 
(EDGAR) in the following parts of title 34 of the Code of Federal 
Regulations--
    (i) Part 74 (Administration of Grants to Institutions of Higher 
Education, Hospitals, and Nonprofit Organizations);
    (ii) Part 75 (Direct Grant Programs);
    (iii) Part 77 (Definitions that Apply to Department Regulations);
    (iv) Part 79 (Intergovernmental Review of Department of Education 
Programs and Activities);
    (v) Part 80 (Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments);
    (vi) Part 81 (General Education Provisions Act--Enforcement);
    (vii) Part 82 (New Restrictions on Lobbying);
    (viii) Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace 
(Grants)); and
    (ix) Part 86 (Drug-Free Schools and Campuses)
    (2) The regulations in this part 333.
    (b) Any contracts awarded under this program are subject to the 
Federal Acquisition Regulation (FAR) in 48 CFR chapter 1 and the 
Department of Education Acquisition Regulation (EDAR) in 48 CFR chapter 
34.

(Authority: 20 U.S.C. 1461)

[53 FR 6952, Mar. 3, 1988, as amended at 56 FR 54703, Oct. 22, 1991]



Sec. 333.6  What definitions apply to this program?

    (a) Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:

    Applicant
    Application
    Award
    EDGAR
    Fiscal year
    Grant
    Grantee
    Local educational agency
    Nonprofit
    Private
    Project
    Project period
    Public
    Secretary
    State educational agency


[[Page 240]]


(Authority: 20 U.S.C. 1461)

    (b) Definitions in 34 CFR part 300. The following terms used in this 
part are defined in 34 CFR 300.5, 300.13, and 300.14:

    Children with disabilities
    Related services
    Special education

(Authority: 20 U.S.C. 1401(a)(1), (16), (17), 1461)

    (c) Definitions in 34 CFR part 303. The following terms used in this 
part are defined in 34 CFR 303.10 and 303.13:

    Early intervention services
    Infants and toddlers with disabilities

(Authority: 20 U.S.C. 1472(1))

[53 FR 6952, Mar. 3, 1988, as amended at 56 FR 54703, Oct. 22, 1991]



Secs. 333.7--333.9  [Reserved]



                          Subpart B  [Reserved]



            Subpart C--How Does the Secretary Make an Award?



Sec. 333.20  How does the Secretary evaluate an application?

    (a) The Secretary evaluates an application on the basis of the 
criteria in Sec. 333.21 or Sec. 333.22, as applicable.
    (b) The Secretary awards up to 100 points for these criteria.
    (c) The maximum possible score for each criterion is indicated in 
parentheses.

(Authority: 20 U.S.C. 1461)



Sec. 333.21  What selection criteria does the Secretary use to evaluate applications for research or evaluation activities?

    The Secretary uses the following criteria to evaluate applications 
for research and evaluation projects:
    (a) Importance. (15 points) The Secretary reviews each application 
to determine the extent to which the proposed project addresses national 
concerns in light of the purposes of this part, and considers the 
significance of the problem or issue to be addressed.
    (b) Technical soundness. (30 points) (1) The Secretary reviews each 
application to determine if the approach is technically and 
programmatically sound.
    (2) The Secretary looks for--
    (i) High quality in the design of the project;
    (ii) Technical soundness of the research or evaluation plan, 
including if appropriate--
    (A) The design;
    (B) The proposed sample;
    (C) The instrumentation; and
    (D) The data analysis.
    (c) Plan of operation. (15 points) (1) The Secretary reviews each 
application to determine the quality of the plan of operation for the 
project.
    (2) The Secretary looks for--
    (i) An effective plan of management that ensures proper and 
efficient administration of the project;
    (ii) A clear description of how the objectives of the project relate 
to the purpose of the program;
    (iii) The way the applicant plans to use its resources and personnel 
to achieve each objective; and
    (iv) How the applicant will ensure that project participants who are 
otherwise eligible to participate are selected without regard to race, 
color, national origin, or gender.
    (d) Quality of key personnel. (15 points) (1) The Secretary reviews 
each application to determine the qualifications of the key personnel 
the applicant plans to use on the project.
    (2) The Secretary considers--
    (i) The qualifications of the project director;
    (ii) The qualifications of each of the other key personnel to be 
used in the project;
    (iii) The time that each person referred to in paragraphs (d)(2) (i) 
and (ii) of this section plans to commit to the project; and
    (iv) How the applicant, as part of its nondiscriminatory employment 
practices, will ensure that its personnel are selected for employment 
without regard to race, color, national origin, gender, age, or 
disabling condition.
    (3) To determine personnel qualifications, the Secretary considers 
experience and training in fields related to the objectives of the 
project, and any other qualifications that pertain to the quality of the 
project.
    (e) Adequacy of resources. (5 points) (1) The Secretary reviews each 
application to determine that the applicant plans

[[Page 241]]

to devote adequate resources for the project.
    (2) The Secretary considers the extent to which--
    (i) The facilities that the applicant plans to use are adequate;
    (ii) The equipment and supplies that the applicant plans to use are 
adequate; and
    (iii) The applicant demonstrates necessary access to target 
population necessary to conduct the research or evaluation.
    (f) Impact. (5 points) The Secretary reviews each application to 
determine--
    (1) The probable impact of the proposed project in educating or 
providing early intervention services to infants, toddlers, children, 
and youth with disabilities; and
    (2) The contribution that the project findings or products will make 
to current knowledge or practice.
    (g) Dissemination. (5 points) The Secretary reviews each application 
to determine the extent to which the findings and products will be 
disseminated to, and used for the benefit of appropriate target groups.
    (h) Budget and cost-effectiveness. (10 points) (1) The Secretary 
reviews each application to determine if the project has an adequate 
budget and is cost effective.
    (2) The Secretary considers the extent to which--
    (i) The budget for the project is adequate to support the project 
activities; and
    (ii) Costs are reasonable in relation to the objectives of the 
project.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1461)

[53 FR 6952, Mar. 3, 1988, as amended at 55 FR 24892, June 19, 1990; 56 
FR 54704, Oct. 22, 1991]



Sec. 333.22  What selection criteria does the Secretary use to evaluate applications for development or demonstration activities?

    The Secretary uses the following criteria to evaluate applications 
for development and demonstration projects:
    (a) Importance. (20 points) (1) The Secretary reviews each 
application to determine the extent to which the proposed project 
addresses national concerns in light of the purposes of this part.
    (2) The Secretary considers--
    (i) The significance of the problem or issue to be addressed;
    (ii) The potential impact of the proposed project for providing 
innovative advancements to the problem or issues; and
    (iii) Previous research findings related to the problem or issue.
    (b) Technical soundness. (30 points) (1) The Secretary reviews each 
application to determine the quality and technical soundness of the plan 
of operation for the project.
    (2) The Secretary looks for--
    (i) High quality in the conceptual design of the project;
    (ii) A clear specification of the procedures to be followed in 
carrying out the project; and
    (iii) The extent to which the methods of evaluation are appropriate 
for the project and, to the extent possible, are objective and produce 
data that can be quantified.
    (c) Plan of operation. (15 points) (1) The Secretary reviews each 
application to determine the quality of the plan of operation for the 
project.
    (2) The Secretary looks for--
    (i) An effective plan of management that insures proper and 
efficient administration of the project;
    (ii) The way the applicant plans to use its resources and personnel 
to achieve each objective; and
    (iii) How the applicant will ensure that project participants who 
are otherwise eligible to participate are selected without regard to 
race, color, national origin, gender, age, or disabling condition.
    (d) Evaluation plan. (5 points) The Secretary reviews each 
application to determine the quality of the evaluation plan for assuring 
adequate performance measurement of project progress.

    Cross Reference: 34 CFR 75.590, Evaluation by the grantee.
    (e) Quality of key personnel. (10 points) (1) The Secretary reviews 
each application to determine the qualifications of the key personnel 
the applicant plans to use on the project.
    (2) The Secretary considers--

[[Page 242]]

    (i) The qualifications of the project director;
    (ii) The qualifications of each of the other key personnel to be 
used in the project;
    (iii) The time that each person referred to in paragraphs (e)(2) (i) 
and (ii) of this section will commit to the project; and
    (iv) How the applicant, as part of its nondiscriminatory employment 
practices, will ensure that its personnel are selected for employment 
without regard to race, color, national origin, gender, age, or 
disabling condition.
    (3) To determine personnel qualifications, the Secretary considers 
experience and training, in fields related to the objectives of the 
project, and any other qualifications that pertain to the quality of the 
project.
    (f) Adequacy of resources. (5 points) (1) The Secretary reviews each 
application to determine that the applicant plans to devote adequate 
resources to the project.
    (2) The Secretary considers the extent to which--
    (i) The facilities that the applicant plans to use are adequate;
    (ii) The equipment and supplies that the applicant plans to use are 
adequate; and
    (iii) The applicant demonstrates access to subjects necessary to 
conduct the proposed project.
    (g) Marketing and dissemination. (10 points) (1) The Secretary 
reviews each application to determine if there are adequate provisions 
for marketing or disseminating results.
    (2) The Secretary considers--
    (i) The provisions for marketing, replicating, or otherwise 
disseminating the results of the project; and
    (ii) Provisions for making materials and techniques available to the 
populations for whom the project would be useful.
    (h) Budget and cost-effectiveness. (5 points) (1) The Secretary 
reviews each application to determine if the project has an adequate 
budget and is cost effective.
    (2) The Secretary considers the extent to which--
    (i) The budget for the project is adequate to support the project 
activities; and
    (ii) Costs are reasonable in relation to the objectives of the 
project.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1461)

[53 FR 6952, Mar. 3, 1988, as amended at 55 FR 24892, June 19, 1990; 56 
FR 54704, Oct. 22, 1991]



Secs. 333.23--333.29  [Reserved]



         Subpart D--What Conditions Must Be Met After an Award?



Sec. 333.30  What materials must be submitted by the grantee?

    The Secretary may require any grantee engaged in the development of 
materials to submit a copy of those materials.

(Authority: 20 U.S.C. 1461)



Sec. 333.31  What other conditions must be met by grantees under this program?

    Grantees shall, if appropriate, prepare reports describing their 
procedures, findings, and other relevant information in a form that will 
maximize the dissemination and use of such procedures, findings, and 
information. The Secretary shall require their delivery, as appropriate, 
to the Regional and Federal Resource Centers, the Clearinghouses, and 
the Technical Assistance to Parents Program (TAPP) assisted under parts 
C and D of the Act, as well as the National Diffusion Network, the ERIC 
Clearinghouse on the Handicapped and Gifted, and the Child and 
Adolescent Service Systems Program (CASSP) under the National Institute 
of Mental Health, appropriate parent and professional organizations, 
organizations representing individuals with disabilities, and such other 
networks as the Secretary may determine to be appropriate.

(Authority: 20 U.S.C. 1409(g))

(Approved by the Office of Management and Budget under control number 
1820-0028)

[56 FR 54704, Oct. 22, 1991, as amended at 57 FR 14315, Apr. 17, 1992]

[[Page 243]]



Secs. 333.32--333.39  [Reserved]



PART 338--POSTSECONDARY EDUCATION PROGRAMS FOR INDIVIDUALS WITH DISABILITIES--Table of Contents




                           Subpart A--General

Sec.
338.1  What are the Postsecondary Education Programs for Individuals 
          with Disabilities?
338.2  Who is eligible to apply for an award under these programs?
338.3  What regulations apply to these programs?
338.4  What definitions apply to these programs?
338.5--338.9  [Reserved]

Subpart B--What Kinds of Projects Does the Secretary Assist Under These 
                                Programs?

338.10  What kinds of activities may be supported under this part?
338.11--338.19  [Reserved]

           Subpart C--How Does an Applicant Apply for a Grant?

338.20  What are the application requirements under this part?
338.21--338.29  [Reserved]

             Subpart D--How Does the Secretary Make a Grant?

338.30  What are the priorities considered for support by the Secretary 
          under this part?
338.31  What are the selection criteria used to make awards?
338.32  Are awards for regional centers and model projects 
          geographically dispersed?
338.33--338.39  [Reserved]

             Subpart E--What Conditions Must a Grantee Meet?

338.40  What coordination and dissemination requirements must be met by 
          a grantee?
338.41  What other conditions must be met by grantees under this 
          program?
338.42--338.49  [Reserved]

    Authority:  20 U.S.C. 1424a, unless otherwise noted.

    Source:  49 FR 25991, June 25, 1984, unless otherwise noted.

    Effective Date Note:  At 63 FR 23601, Apr. 29, 1998, part 338 was 
removed, effective Oct. 1, 1998.



                           Subpart A--General



Sec. 338.1  What are the Postsecondary Education Programs for Individuals with Disabilities?

    The Postsecondary Education Programs for Individuals with 
Disabilities provide assistance for the development, operation, and 
dissemination of specially designed model programs of postsecondary, 
vocational, technical, continuing, or adult education for individuals 
with disabilities. Such model programs may include joint projects that 
coordinate with special education and transitional services.

(Authority: 20 U.S.C. 1424a)

[56 FR 54704, Oct. 22, 1991]



Sec. 338.2  Who is eligible to apply for an award under these programs?

    State educational agencies, institutions of higher education, junior 
and community colleges, vocational and technical institutions, and other 
nonprofit educational agencies are eligible to apply for awards under 
this part.

(Authority: 20 U.S.C. 1424a)



Sec. 338.3  What regulations apply to these programs?

    The following regulations apply to awards under the Postsecondary 
Education Programs for Individuals with Disabilities;
    (a) The regulations in this part 338.
    (b) The Education Department General Administrative Regulations 
(EDGAR) established in title 34 of the Code of Federal Regulations in--
    (1) Part 74 (Administration of Grants to Institutions of Higher 
Education, Hospitals, and Nonprofit Organizations).
    (2) Part 75 (Direct Grant Programs);
    (3) Part 77 (Definitions);
    (4) Part 79 (Intergovernmental Review of Department of Education 
Programs and Activities);
    (5) Part 80 (Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments);
    (6) Part 81 (General Education Provisions Act--Enforcement);
    (7) Part 82 (New Restrictions on Lobbying);

[[Page 244]]

    (8) Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for a Drug-Free 
Workplace (Grants)); and
    (9) Part 86 (Drug-Free Schools and Campuses).

(Authority: 20 U.S.C. 1424a; 20 U.S.C. 3474(a))

[49 FR 25991, June 25, 1984, as amended at 56 FR 54704, Oct. 22, 1991]



Sec. 338.4  What definitions apply to these programs?

    (a) Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:

    Applicant
    Application
    Award
    EDGAR
    Fiscal year
    Grant
    Nonprofit
    Project
    Secretary
    State educational agency.

(Authority: 20 U.S.C. 3474(a))

    (b) Definitions in 34 CFR part 300. The following term used in this 
part is defined in 34 CFR 300.5(b)(9):

    Specific learning disability

(Authority: 20 U.S.C. 1401(a)(15))

    (c) Other definitions--Individuals with disabilities means 
individuals--
    (1) With mental retardation, hearing impairments including deafness, 
speech or language impairments, visual impairments including blindness, 
serious emotional disturbance, orthopedic impairments, autism, traumatic 
brain injury, other health impairments, or specific learning 
disabilities; and
    (2) Who, by reason thereof, need special education and related 
services.

(Authority: 20 U.S.C. 1424a(b))

[49 FR 25991, June 25, 1984, as amended at 56 FR 54704, Oct. 22, 1991]



Secs. 338.5--338.9  [Reserved]



Subpart B--What Kinds of Projects Does the Secretary Assist Under These 
                                Programs?



Sec. 338.10  What kinds of activities may be supported under this part?

    (a) The Secretary may support projects and activities under this 
part including but not limited to--
    (1) The operation of centers for deaf individuals, including models 
of comprehensive supportive services to those individuals;
    (2) Model projects of supportive services to individuals with 
disabling conditions other than deafness that focus on--
    (i) Specially adapted or designed educational programs that 
coordinate, facilitate, and encourage education of individuals with 
disabilities with their nondisabled peers;
    (ii) Expansion of the educational resources and services available 
to individuals with disabilities in postsecondary programs;
    (iii) Outreach activities that include the provision of technical 
assistance to strengthen efforts in the development, operation, and 
design of model programs that are adapted to the special needs of 
individuals with disabilities.
    (iv) Development and dissemination of strategies and materials for 
the inservice training of faculty and administrative personnel involved 
in the integration of individuals with disabilities in postsecondary 
institutions in order to improve their understanding of, and attitudes 
toward, those individuals;
    (3) Evaluation of the effectiveness of programs carried out under 
this part to increase access to postsecondary education for individuals 
with disabilities; and

[[Page 245]]

    (4) Establishment of projects to stimulate and develop model 
statewide, regional, and national programs to improve access for 
individuals with disabilities including the fostering of cooperative and 
consortia arrangements.
    (b) The following is an illustrative list of the types of supportive 
services which may be provided (in whole or in part) in model projects 
supported under this part:

    (1) Interpreters.
    (2) Tutors.
    (3) Notetakers and readers.
    (4) Wheelchair attendants.
    (5) Guidance counselors.
    (6) Speech and auditory training.
    (7) Job placement and follow-up.
    (8) Preparatory and orientation services.
    (9) Supplementary learning experiences.
    (10) Instructional media adaptations.
    (11) Inservice training for teachers and other educational staff 
relating to the participants with disabilities in the program.
    (12) Administrative expenses, including employment of a director, 
administrator, or coordinator of the program.
    (13) Planning and evaluation activities.
    (c) Recipients may not use funds provided under this part for the 
payment of tuition or subsistence allowances.

(Authority: 20 U.S.C. 1424a)

[49 FR 25991, June 25, 1984, as amended at 52 FR 6143, Mar. 2, 1987; 56 
FR 54704, Oct. 22, 1991]



Secs. 338.11--338.19  [Reserved]



           Subpart C--How Does an Applicant Apply for a Grant?



Sec. 338.20  What are the application requirements under this part?

    Applications for funds under this part must contain--
    (a) A description of the disabling condition(s) of the persons to be 
served; and
    (b) The estimated number of individuals with disabilities to be 
served annually in the program and specification of the resources and 
services needed to enable them to benefit from an educational program.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1424, 1424a)

[49 FR 25991, June 25, 1984, as amended at 56 FR 54704, Oct. 22, 1991]



Secs. 338.21--338.29  [Reserved]



             Subpart D--How Does the Secretary Make a Grant?



Sec. 338.30  What are the priorities considered for support by the Secretary under this part?

    (a) For each fiscal year, the Secretary gives priority consideration 
to four regional centers for deaf individuals.
    (b) For any fiscal year, the Secretary may select priorities from 
among those activities listed in Sec. 338.10(a) (2) through (4).
    (c) The Secretary may identify one or more disabling conditions as a 
priority for assistance under this part by publishing a notice in the 
Federal Register.

(Authority: 20 U.S.C. 1424a(a)(2))

[49 FR 25991, June 25, 1984, as amended at 56 FR 54704, Oct. 22, 1991]



Sec. 338.31  What are the selection criteria used to make awards?

    The Secretary uses the weighted criteria in this section to evaluate 
applications for new awards. The maximum score for all the criteria is 
100 points.
    (a) Plan of operation. (25 points) (1) The Secretary reviews each 
application for information that shows the quality of the plan of 
operation for the project.
    (2) The Secretary looks for information that shows--
    (i) High quality in the design of the project;
    (ii) An effective plan of management that ensures proper and 
efficient administration of the project;
    (iii) A clear description of how the objectives of the project 
relate to the purpose of the program;
    (iv) The way the applicant plans to use its resources and personnel 
to achieve each objective; and

[[Page 246]]

    (v) A clear description of how the applicant will provide equal 
access and treatment for eligible project participants who are members 
of groups that have been traditionally underrepresented, such as--
    (A) Members of racial or ethnic minority groups;
    (B) Women;
    (C) Individuals with disabilities; and
    (D) The elderly.
    (b) Quality of key personnel. (10 points) (1) The Secretary reviews 
each application for information that shows the qualifications of the 
key personnel the applicant plans to use on the project.
    (2) The Secretary looks for information that shows--
    (i) The qualifications of the project director (if one is to be 
used);
    (ii) The qualifications of each of the other key personnel to be 
used in the project;
    (iii) The time that each person referred to in paragraphs (b)(2) (i) 
and (ii) of this section plans to commit to the project; and
    (iv) The extent to which the applicant, as part of its non-
discriminatory employment practices, encourages applications for 
employment from persons who are members of groups that have been 
traditionally underrepresented, such as--
    (A) Members of racial or ethnic minority groups;
    (B) Women;
    (C) Individuals with disabilities; and
    (D) The elderly.
    (3) To determine the qualifications of a person, the Secretary 
considers experience and training in fields related to the objectives of 
the project as well as other information that the applicant provides.
    (c) Budget and cost effectiveness. (10 points) (1) The Secretary 
reviews each application for information that shows that the project has 
an adequate budget and is cost effective.
    (2) The Secretary looks for information that shows--
    (i) The budget for the project is adequate to support the project 
activities; and
    (ii) Costs are reasonable in relation to the objectives of the 
project.
    (d) Evaluation plan. (15 points) (1) The Secretary reviews each 
application for information that shows the quality of the evaluation 
plan for the project.

(See 34 CFR 75.590, Evaluation by the grantee.)

    (2) The Secretary looks for information that shows methods of 
evaluation that are appropriate for the project and, to the extent 
possible, are objective and produce data that are quantifiable.
    (e) Adequacy of resources. (10 points) (1) The Secretary reviews 
each application for information that shows that the applicant plans to 
devote adequate resources to the project.
    (2) The Secretary looks for information that shows--
    (i) The facilities that the applicant plans to use are adequate; and
    (ii) The equipment and supplies that the applicant plans to use are 
adequate.
    (f) Continuation of program. (5 points) (1) The Secretary reviews 
each application for information that shows that the activities to be 
supported are likely to be continued after Federal funding ends.
    (2) The Secretary looks for information that shows the likelihood 
that the services provided under the proposed program will be continued 
by the applicant following the expiration of Federal funding, as 
measured by evidence of financial and other commitment of the applicant 
to the program.
    (g) Importance. (10 points) (1) The Secretary reviews each 
application for information demonstrating that the proposed project is 
nationally important in light of the purposes of this part.
    (2) The Secretary looks for information that shows--
    (i) The significance of the problem or issue to be addressed;
    (ii) The importance of the proposed project in increasing the 
understanding of the problem or issue; and in remediating or 
compensating for it;
    (iii) The experiences of service providers related to the problem or 
issue; and
    (iv) Previous research findings related to the problem or issue.
    (h) Impact. (15 points) The Secretary reviews each application for 
information that shows the probable impact of

[[Page 247]]

the proposed research or demonstration activities in improving 
postsecondary education for individuals with disabilities, including--
    (1) The contribution that the research or demonstration findings or 
products will make to current knowledge or practice; and
    (2) The extent to which findings and products will be disseminated 
to, and used for the benefit of, appropriate target groups.

(Approved by the Office of Management and Budget under control number 
1820-0028)


(Authority: 20 U.S.C. 1424a)

[49 FR 25991, June 25, 1984, as amended at 53 FR 49145, Dec. 6, 1988; 56 
FR 54704, Oct. 22, 1991]



Sec. 338.32  Are awards for regional centers and model projects geographically dispersed?

    To the extent feasible, the Secretary, after applying the selection 
criteria in Sec. 338.31, geographically disperses awards for regional 
centers and model projects throughout the Nation in urban and rural 
areas.

(Authority: 20 U.S.C. 1424a)

[52 FR 6143, Mar. 2, 1987]



Secs. 338.33--338.39  [Reserved]



             Subpart E--What Conditions Must a Grantee Meet?



Sec. 338.40  What coordination and dissemination requirements must be met by a grantee?

    Grantees operating regional centers and model projects shall 
coordinate their efforts with, and disseminate information about their 
activities to, the clearinghouse on postsecondary programs established 
under 34 CFR 320.1(b).

(Authority: 20 U.S.C. 1424a)

[52 FR 6143, Mar. 2, 1987]



Sec. 338.41  What other conditions must be met by grantees under this program?

    Grantees shall, if appropriate, prepare reports describing their 
procedures, findings, and other relevant information in a form that will 
maximize the dissemination and use of such procedures, findings, and 
information. The Secretary shall require their delivery, as appropriate, 
to the Regional and Federal Resource Centers, the Clearinghouses, and 
the Technical Assistance to Parents Program (TAPP) assisted under parts 
C and D of the Act, as well as the National Diffusion Network, the ERIC 
Clearinghouse on the Handicapped and Gifted, and the Child and 
Adolescent Service Systems Program (CASSP) under the National Institute 
of Mental Health, appropriate parent and professional organizations, 
organizations representing individuals with disabilities, and such other 
networks as the Secretary may determine to be appropriate.

(Authority: 20 U.S.C. 1409(g))

(Approved by the Office of Management and Budget under control number 
1820-0028)

[56 FR 54704, Oct. 22, 1991, as amended at 57 FR 14315, Apr. 17, 1992]



Secs. 338.42--338.49  [Reserved]



PART 345--STATE GRANTS PROGRAM FOR TECHNOLOGY-RELATED ASSISTANCE FOR INDIVIDUALS WITH DISABILITIES--Table of Contents




                           Subpart A--General

Sec.
345.1  What is the State Grants Program for Technology-Related 
          Assistance for Individuals with Disabilities?
345.2  What are the purposes of the State grants program for technology-
          related assistance for individuals with disabilities?
345.3  What are the types of awards under this program?
345.4  Who is eligible to receive a development grant?
345.5  What are the responsibilities of the lead agency or public agency 
          in applying for and in administering a development grant?
345.6  How does a State designate the lead agency?
345.7  Who is eligible to receive an extension grant?
345.8  What are the responsibilities of the lead agency in applying for 
          and in administering an extension grant?
345.9  What regulations apply to this program?
345.10  What definitions apply to this program?

[[Page 248]]

    Subpart B--What Kinds of Activities Does the Department Support?

345.20  What types of activities are authorized under this program?

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

345.30  What is the content of an application for a development grant?
345.31  What is the content of an application for an extension grant?

             Subpart D--How Does the Secretary Make a Grant?

345.40  How does the Secretary evaluate an application for a development 
          grant under this program?
345.41  What other factors does the Secretary take into consideration in 
          making development grant awards under this program?
345.42  What is the review process for an application for an extension 
          grant?
345.43  What priorities does the Secretary establish?

         Subpart E--What Conditions Must Be Met After an Award?

345.50  What are the reporting requirements for the recipients of 
          development and extension grants?
345.51  When is a State making significant progress?
345.52  Who retains title to devices provided under this program?
345.53  What are the requirements for grantee participation in the 
          Secretary's progress assessments?
345.54  How may grant funds be used under this program?
345.55  What are the responsibilities of a State in carrying out 
          protection and advocacy services?

      Subpart F--What Compliance Procedures May the Secretary Use?

345.60  Who is subject to a corrective action plan?
345.61  What penalties may the Secretary impose on a grantee that is 
          subject to corrective action?
345.62  How does a State redesignate the lead agency when it is subject 
          to corrective action?
345.63  How does a State change the entity responsible for providing 
          protection and advocacy services?

    Authority:  29 U.S.C. 2201-2217, unless otherwise noted.

    Source:  61 FR 8161, Mar. 1, 1996, unless otherwise noted.



                           Subpart A--General



Sec. 345.1  What is the State Grants Program for Technology-Related Assistance for Individuals with Disabilities?

    This program provides grants to States to support systems change and 
advocacy activities designed to assist States in developing and 
implementing consumer-responsive comprehensive Statewide programs of 
technology-related assistance that accomplish the purposes in 
Sec. 345.2.

(Authority: 29 U.S.C. 2211(a); section 101(a) of the Act)



Sec. 345.2  What are the purposes of the State grants program for technology-related assistance for individuals with disabilities?

    The purposes of this program are to provide financial assistance to 
States to support systems change and advocacy activities designed to 
assist each State in developing and implementing a consumer-responsive 
comprehensive statewide program of technology-related assistance, for 
individuals with disabilities of all ages, that is designed to--
    (a)(1) Increase the availability of, funding for, access to, and 
provision of, assistive technology devices and assistive technology 
services;
    (2) Increase the active involvement of individuals with disabilities 
and their family members, guardians, advocates, and authorized 
representatives, in the planning, development, implementation, and 
evaluation of the program;
    (3) Increase the involvement of individuals with disabilities and, 
if appropriate, their family members, guardians, advocates, or 
authorized representatives, in decisions related to the provision of 
assistive technology devices and assistive technology services;
    (4) Increase the provision of outreach to underrepresented 
populations and rural populations, to enable the two populations to 
enjoy the benefits of programs carried out to accomplish the purposes 
described in this section to the same extent as other populations;
    (5) Increase and promote coordination among State agencies, and 
between State agencies and private entities, that are involved in 
carrying out

[[Page 249]]

activities under this part, particularly providing assistive technology 
devices and assistive technology services, that accomplish a purpose 
described in another paragraph of this section;
    (6)(i) Increase the awareness of laws, regulations, policies, 
practices, procedures, and organizational structures, that facilitate 
the availability or provision of assistive technology devices and 
assistive technology services; and
    (ii) Facilitate the change of laws, regulations, policies, 
practices, procedures, and organizational structures, that impede the 
availability or provision of assistive technology devices and assistive 
technology services;
    (7) Increase the probability that individuals with disabilities of 
all ages will, to the extent appropriate, be able to secure and maintain 
possession of assistive technology devices as these individuals make the 
transition between services offered by human service agencies or between 
settings of daily living;
    (8) Enhance the skills and competencies of individuals involved in 
providing assistive technology devices and assistive technology 
services;
    (9) Increase awareness and knowledge of the efficacy of assistive 
technology devices and assistive technology services among--
    (i) Individuals with disabilities and their family members, 
guardians, advocates, and authorized representatives;
    (ii) Individuals who work for public agencies, or for private 
entities (including insurers), that have contact with individuals with 
disabilities;
    (iii) Educators and related services personnel;
    (iv) Technology experts (including engineers);
    (v) Employers; and
    (vi) Other appropriate individuals;
    (10) Increase the capacity of public agencies and private entities 
to provide and pay for assistive technology devices and assistive 
technology services on a statewide basis for individuals with 
disabilities of all ages; and
    (11) Increase the awareness of the needs of individuals with 
disabilities for assistive technology devices and for assistive 
technology services.
    (b)(1) Identify Federal policies that facilitate payment for 
assistive technology devices and assistive technology services.
    (2) Identify Federal policies that impede this payment.
    (3) Eliminate inappropriate barriers to this payment.
    (c) Enhance the ability of the Federal Government to provide States 
with--
    (1) Technical assistance, information, training, and public 
awareness programs relating to the provision of assistive technology 
devices and assistive technology services; and
    (2) Funding for demonstration projects.

(Authority: 29 U.S.C. 2201(b); section 2(b) of the Act)



Sec. 345.3  What are the types of awards under this program?

    (a) Under this program, the Secretary--
    (1) Awards three-year development grants to assist States in 
developing and implementing consumer-responsive comprehensive statewide 
programs that accomplish the purposes in Sec. 345.2;
    (2) May award an initial two-year extension grant to any State that 
meets the standards in Sec. 345.42(a); and
    (3) May award a second extension grant, for a period of not more 
than 5 years, to any State that meets the standards in Sec. 345.42(b).
    (b) The Secretary calculates the amount of the development grants in 
paragraph (a)(1) of this section on the basis of--
    (1) Amounts available for making grants under this part;
    (2) The population of the State or territory concerned; and
    (3) The types of activities proposed by the State relating to the 
development of a consumer-responsive comprehensive statewide program of 
technology-related assistance.
    (c) The Secretary calculates the amount of the extension grants in 
paragraph (a)(2) of this section on the basis of--
    (1) Amounts available for making grants;
    (2) The population of the State;
    (3) The types of assistance proposed by the State in its 
application; and
    (4) A description in its application of the amount of resources 
committed by the State and available to the State

[[Page 250]]

from other sources to sustain the program after federal funding ends.
    (d)(1) In providing any increases in initial extension grants in 
paragraph (a)(2) of this section above the amounts provided to States 
for Fiscal Year 1993, the Secretary may give priority to States (other 
than the territories) that--
    (i) Have the largest populations, based on the most recent census 
data; and
    (ii) Are sparsely populated, with a wide geographic spread.
    (2) To be eligible for the priority in paragraph (d)(1) of this 
section, the circumstances in paragraphs (d)(1)(i) or (ii) must have 
impeded the development of a consumer-responsive, comprehensive 
statewide program of technology-related assistance in a State.
    (e) During the fourth and fifth years of a State's second extension 
grant, the amount received by a State will be reduced to 75% and 50%, 
respectively, of the amount paid to the State for the third year of the 
grant.

(Authority: 29 U.S.C. 2212(b), 2213(a), 2213(c)(1)(B) and (2), and 
2213(c)(1)(D); sections 102(b), 103(a), 103(c)(1)(B) and (2), 
103(c)(1)(D) of the Act)



Sec. 345.4  Who is eligible to receive a development grant?

    A State is eligible to receive a development grant under this 
program, provided that the Governor has designated a lead agency to 
carry out the responsibilities contained in Sec. 345.5.

(Authority: 29 U.S.C. 2212(a)(1) and 2212 (d)(1); section 102(a) and 
102(d)(1) of the Act)



Sec. 345.5  What are the responsibilities of the lead agency or public agency in applying for and in administering a development grant?

    (a) The lead agency is responsible for the following:
    (1) Submitting the application containing the information and 
assurances contained in Sec. 345.30.
    (2) Administering and supervising the use of amounts made available 
under the grant.
    (3)(i) Coordinating efforts related to, and supervising the 
preparation of, the application;
    (ii) Coordinating the planning, development, implementation, and 
evaluation of the consumer-responsive comprehensive statewide program of 
technology-related assistance among public agencies and between public 
agencies and private agencies, including coordinating efforts related to 
entering into interagency agreements; and
    (iii) Coordinating efforts related to, and supervising, the active, 
timely, and meaningful participation by individuals with disabilities 
and their family members, guardians, advocates, or authorized 
representatives, and other appropriate individuals, with respect to 
activities carried out under the grant.
    (4) The delegation, in whole or in part, of any responsibilities 
described in paragraphs (a)(1) through (3) of this section to one or 
more appropriate offices, agencies, entities, or individuals.
    (b) If the lead agency is not a public agency, a public agency shall 
have the responsibility of controlling and administering amounts 
received under the grant.

(Authority: 29 U.S.C. 2212(d)(1) and 2212(e)(12)(A); section 102(d)(1) 
and 102(e)(12)(A) of the Act)



Sec. 345.6  How does a State designate the lead agency?

    (a) The Governor may designate--
    (1) A commission appointed by the Governor;
    (2) A public-private partnership or consortium;
    (3) A university-affiliated program;
    (4) A public agency;
    (5) A council established under Federal or State law; or
    (6) Another appropriate office, agency, entity, or individual.
    (b) The State shall provide evidence that the lead agency has the 
ability--
    (1) To respond to assistive technology needs across disabilities and 
ages;
    (2) To promote the availability throughout the State of assistive 
technology devices and assistive technology services;
    (3) To promote and implement systems change and advocacy activities;
    (4) To promote and develop public-private partnerships;
    (5) To exercise leadership in identifying and responding to the 
technology needs of individuals with disabilities and their family 
members, guardians,

[[Page 251]]

advocates, and authorized representatives;
    (6) To promote consumer confidence, responsiveness, and advocacy; 
and
    (7) To exercise leadership in implementing effective strategies for 
capacity building, staff and consumer training, and enhancement of 
access to funding for assistive technology devices and assistive 
technology services across agencies.

(Authority: 29 U.S.C. 2212(d)(2) and (3); sections 102(d)(2) and (3) of 
the Act)



Sec. 345.7  Who is eligible to receive an extension grant?

    A State is eligible to receive an extension grant under this 
program.



Sec. 345.8  What are the responsibilities of the lead agency in applying for and in administering an extension grant?

    (a) To be eligible to receive an initial extension grant, the lead 
agency shall--
    (1) Submit an application containing the information and assurances 
in Sec. 345.31; and
    (2) Hold a public hearing in the third year of a program carried out 
under a development grant, after providing appropriate and sufficient 
notice to allow interested groups and organizations and all segments of 
the public an opportunity to comment on the program.
    (b) To be eligible to receive a second extension grant, the lead 
agency shall--
    (1) Submit an application containing the information and assurances 
in Sec. 345.31; and
    (2) Hold a public hearing in the second year of a program carried 
out under an initial extension grant, after providing appropriate and 
sufficient notice to allow interested groups and organizations and all 
segments of the public an opportunity to comment on the program.

(Authority: 29 U.S.C. 2213(d) and (e); section 103(d) and (e) of the 
Act)



Sec. 345.9  What regulations apply to this program?

    The following regulations apply to the State Grants Program for 
Technology-Related Assistance for Individuals with Disabilities:
    (a) The Education Department General Administrative Regulations 
(EDGAR) as follows:
    (1) 34 CFR part 74 (Administration of Grants to Institutions of 
Higher Education, Hospitals, and Nonprofit Organizations);
    (2) 34 CFR part 75 (Direct Grant Programs), except Sec. 75.618;
    (3) 34 CFR part 77 (Definitions That Apply to Department 
Regulations);
    (4) 34 CFR part 79 (Intergovernmental Review of Department of 
Education Programs and Activities);
    (5) 34 CFR part 80 (Uniform Administrative Requirements for Grants 
and Cooperative Agreements to State and Local Governments), except 
Secs. 80.32(a) and 80.33(a);
    (6) 34 CFR part 81 (General Education Provisions Act--Enforcement);
    (7) 34 CFR part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace 
(Grants)); and
    (8) Part 86 (Drug-Free Schools and Campuses).
    (b) The regulations in this part.

(Authority: 29 U.S.C. 2201-2217; sections 101-107 of the Act)



Sec. 345.10  What definitions apply to this program?

    (a) Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:

Applicant
Application
Award
Department
EDGAR
Fiscal year
Grant period
Nonprofit
Nonpublic
Private
Project
Project period
Public

    (b) Definitions in the Technology-Related Assistance for Individuals 
with Disabilities Act of 1988. (1) The following terms used in this part 
are defined in section 3 of the Act:

Advocacy services
Assistive technology device
Assistive technology service

[[Page 252]]

Comprehensive statewide program of technology-related assistance
Consumer-responsive
Disability
Individual with a disability; individuals with disabilities
Institution of higher education
Protection and advocacy services
Secretary
State
Systems change and related activities
Technology-related assistance
Underrepresented population

    (2) The following term used in this part is defined in section 
102(b)(5) of the Act:

Territory

    (d) Other definitions. The following definitions also apply to this 
part:
    Initial extension grant means the two-year extension grant following 
a three-year development grant under this program.
    Second extension grant means the extension grant following the 
initial extension grant under this program. The period of this grant is 
for a period of not more than 5 years.

(Authority: 29 U.S.C. 2201-2217; sections 101-107 of the Act)



    Subpart B--What Kinds of Activities Does the Department Support?



Sec. 345.20  What type of activities are authorized under this program?

    Any State that receives a development or extension grant shall use 
the funds made available through the grant to accomplish the purposes 
described in Sec. 345.2(a) and, in accomplishing such purposes, may 
carry out any of the following systems change and advocacy activities:
    (a) Support activities to increase access to, and funding for, 
assistive technology, including--
    (1) The development, and evaluation of the efficacy, of model 
delivery systems that provide assistive technology devices and assistive 
technology services to individuals with disabilities, that pay for 
devices and services, and that, if successful, could be replicated or 
generally applied, such as--
    (i) The development of systems for the purchase, lease, other 
acquisition, or payment for the provision, of assistive technology 
devices and assistive technology services; or
    (ii) The establishment of alternative State or privately financed 
systems of subsidies for the provision of assistive technology devices 
and assistive technology services, such as--
    (A) A loan system for assistive technology devices;
    (B) An income-contingent loan fund;
    (C) A low interest loan fund;
    (D) A revolving loan fund;
    (E) A loan insurance program; or
    (F) A partnership with private entities for the purchase, lease, or 
other acquisition of assistive technology devices and the provision of 
assistive technology services;
    (2) The demonstration of assistive technology devices, including--
    (i) The provision of a location or locations within the State where 
the following individuals can see and touch assistive technology 
devices, and learn about the devices from personnel who are familiar 
with such devices and their applications:
    (A) Individuals with disabilities and their family members, 
guardians, advocates, and authorized representatives;
    (B) Education, rehabilitation, health care, and other service 
providers;
    (C) Individuals who work for Federal, State, or local government 
entities; and
    (D) Employers.
    (ii) The provision of counseling and assistance to individuals with 
disabilities and their family members, guardians, advocates, and 
authorized representatives to determine individual needs for assistive 
technology devices and assistive technology services; and
    (iii) The demonstration or short-term loan of assistive technology 
devices to individuals, employers, public agencies, or public 
accommodations seeking strategies to comply with the Americans with 
Disabilities Act of 1990 (42 U.S.C. 12101 et seq.) and section 504 of 
the Rehabilitation Act of 1973 (29 U.S.C. 794); and
    (3) The establishment of information systems about, and recycling 
centers for, the redistribution of assistive technology devices and 
equipment that may include device and equipment loans, rentals, or 
gifts.

[[Page 253]]

    (b) Support activities to--
    (1) Identify and coordinate Federal and State policies, resources, 
and services, relating to the provision of assistive technology devices 
and assistive technology services, including entering into interagency 
agreements;
    (2) Convene interagency work groups to enhance public funding 
options and coordinate access to funding for assistive technology 
devices and assistive technology services for individuals with 
disabilities of all ages, with special attention to the issues of 
transition (such as transition from school to work, and transition from 
participation in programs under part H of the Individuals with 
Disabilities Education Act (20 U.S.C. 1471 et seq.), to participation in 
programs under part B of such Act (20 U.S.C. 1411 et seq.)) home use, 
and individual involvement in the identification, planning, use, 
delivery, and evaluation of such devices and services; or
    (3) Document and disseminate information about interagency 
activities that promote coordination with respect to assistive 
technology devices and assistive technology services, including evidence 
of increased participation of State and local special education, 
vocational rehabilitation, and State medical assistance agencies and 
departments.
    (c) Carry out activities to encourage the creation or maintenance 
of, support, or provide assistance to, statewide and community-based 
organizations, or systems, that provide assistive technology devices and 
assistive technology services to individuals with disabilities or that 
assist individuals with disabilities in using assistive technology 
devices or assistive technology services. The activities may include 
outreach to consumer organizations and groups in the State to coordinate 
the activities of the organizations and groups with efforts (including 
self-help, support groups, and peer mentoring) to assist individuals 
with disabilities and their family members, guardians, advocates, or 
authorized representatives, to obtain funding for, and access to, 
assistive technology devices and assistive technology services.
    (d) Pay for expenses, including travel expenses, and services, 
including services of qualified interpreters, readers, and personal 
assistants services that may be necessary to ensure access to the 
comprehensive statewide program of technology-related assistance by 
individuals with disabilities who are determined by the State to be in 
financial need. The expenses must be incurred by participants in 
activities associated with the state technology program.
    (e) Conduct a statewide needs assessment that may be based on data 
in existence on the date on which the assessment is initiated and may 
include--
    (1) Estimates of the numbers of individuals with disabilities within 
the State, categorized by residence, type and extent of disabilities, 
age, race, gender, and ethnicity;
    (2) In the case of an assessment carried out under a development 
grant, a description of efforts, during the fiscal year preceding the 
first fiscal year for which the State received a grant, to provide 
assistive technology devices and assistive technology services to 
individuals with disabilities within the State, including--
    (i) The number of individuals with disabilities who received 
appropriate assistive technology devices and assistive technology 
services; and
    (ii) A description of the devices and services provided;
    (3) Information on the number of individuals with disabilities who 
are in need of assistive technology devices and assistive technology 
services, and a description of the devices and services needed;
    (4) Information on the cost of providing assistive technology 
devices and assistive technology services to all individuals with 
disabilities within the State who need such devices and services;
    (5) A description of State and local public resources and private 
resources (including insurance) that are available to establish a 
consumer-responsive comprehensive statewide program of technology-
related assistance;
    (6) Information identifying Federal and State laws, regulations, 
policies, practices, procedures, and organizational structures, that 
facilitate or

[[Page 254]]

interfere with the operation of a consumer responsive comprehensive 
statewide program of technology related assistance;
    (7) A description of the procurement policies of the State and the 
extent to which such policies will ensure, to the extent practicable, 
that assistive technology devices purchased, leased, or otherwise 
acquired with assistance made available through a development or 
extension grant under this part are compatible with other technology 
devices, including technology devices designed primarily for use by--
    (i) Individuals who are not individuals with disabilities;
    (ii) Individuals who are elderly; or
    (iii) Individuals with particular disabilities; and
    (8) Information resulting from an inquiry about whether a State 
agency or task force (composed of individuals representing the State and 
individuals representing the private sector) should study the practices 
of private insurance companies holding licenses within the State that 
offer health or disability insurance policies under which an individual 
may obtain reimbursement for--
    (i) The purchase, lease, or other acquisition of assistive 
technology devices; or
    (ii) The use of assistive technology services.
    (f) Support--(1)(i) A public awareness program designed to provide 
information relating to the availability and efficacy of assistive 
technology devices and assistive technology services for--
    (A) Individuals with disabilities and their family members, 
guardians, advocates, or authorized representatives;
    (B) Individuals who work for public agencies, or for private 
entities (including insurers), that have contact with individuals with 
disabilities;
    (C) Educators and related services personnel;
    (D) Technology experts (including engineers);
    (E) Employers; and
    (F) Other appropriate individuals and entities; or
    (ii) Establish and support the program if no such program exists.
    (2) A public awareness program that may include the--
    (i) Development and dissemination of information relating to the--
    (A) Nature of assistive technology devices and assistive technology 
services;
    (B) Appropriateness, cost, and availability of, and access to, 
assistive technology devices and assistive technology services; and
    (C) Efficacy of assistive technology devices and assistive 
technology services with respect to enhancing the capacity of 
individuals with disabilities;
    (ii) Development of procedures for providing direct communication 
among public providers of assistive technology devices and assistive 
technology services and between public providers and private providers 
of devices and services (including employers); and
    (iii) Development and dissemination of information relating to the 
use of the program by individuals with disabilities and their family 
members, guardians, advocates, or authorized representatives, 
professionals who work in a field related to an activity described in 
this section, and other appropriate individuals.
    (g) Carry out directly, or may provide support to a public or 
private entity to carry out, training and technical assistance 
activities that--
    (1)(i) Are provided for individuals with disabilities and their 
family members, guardians, advocates, and authorized representatives, 
and other appropriate individuals; and
    (ii) May include--
    (A) Training in the use of assistive technology devices and 
assistive technology services;
    (B) The development of written materials, training, and technical 
assistance describing the means by which agencies consider the needs of 
an individual with a disability for assistive technology devices and 
assistive technology services in developing, for the individual, any 
individualized education program described in section 614(a)(5) of the 
Individuals with Disabilities Education Act (20 U.S.C. 1414(a)(5)), any 
individualized written rehabilitation program described in section 102 
of the Rehabilitation Act of 1973 (29 U.S.C. 722), any individualized 
family service plan described in section 677 of the Individuals with 
Disabilities

[[Page 255]]

Education Act (20 U.S.C. 1477), and any other individualized plans or 
programs;
    (C) Training regarding the rights of the persons described in 
paragraph (f)(1)(i) of this section to assistive technology devices and 
assistive technology services under any law other than this Act, to 
promote fuller independence, productivity, and inclusion in and 
integration into society of such persons; and
    (D) Training to increase consumer participation in the 
identification, planning, use, delivery, and evaluation of assistive 
technology devices and assistive technology services; and
    (2)(i) Enhance the assistive technology skills and competencies of--
    (A) Individuals who work for public agencies or for private entities 
(including insurers) that have contact with individuals with 
disabilities;
    (B) Educators and related services personnel;
    (C) Technology experts (including engineers);
    (D) Employers; and
    (E) Other appropriate personnel; and
    (ii) Include taking actions to facilitate the development of 
standards, or, when appropriate, the application of standards, to ensure 
the availability of qualified personnel.
    (h) Support the compilation and evaluation of appropriate data 
related to a program described in Sec. 345.1.
    (i)(1) Develop, operate, or expand a system for public access to 
information concerning an activity carried out under another paragraph 
of this section, including information about assistive technology 
devices and assistive technology services, funding sources and costs of 
assistance, and individuals, organizations, and agencies capable of 
carrying out such an activity for individuals with disabilities.
    (2) Access to the system may be provided through community-based 
entities, including public libraries, centers for independent living (as 
defined in section 702(1) of the Rehabilitation Act of 1973 (29 U.S.C. 
796a(1)), and community rehabilitation programs, as defined in section 
7(25) of such Act (29 U.S.C. 706(25)).
    (3) In developing, operating, or expanding a system described in 
paragraph (i)(1) of this section, the State may--
    (i) Develop, compile, and categorize print, large print, braille, 
audio, and video materials, computer disks, compact discs (including 
compact discs formatted with read-only memory), information that can be 
used in telephone-based information systems, and other media as 
technological innovation may make appropriate;
    (ii) Identify and classify existing funding sources, and the 
conditions of and criteria for access to such sources, including any 
funding mechanisms or strategies developed by the State;
    (iii) Identify existing support groups and systems designed to help 
individuals with disabilities make effective use of an activity carried 
out under another paragraph of this section; and
    (iv) Maintain a record of the extent to which citizens of the State 
use or make inquiries of the system established in paragraph (i)(1) of 
this section, and of the nature of inquiries.
    (4) The information system may be organized on an interstate basis 
or as part of a regional consortium of States in order to facilitate the 
establishment of compatible, linked information systems.
    (j)(1) The State may enter into cooperative agreements with other 
States to expand the capacity of the States involved to assist 
individuals with disabilities of all ages to learn about, acquire, use, 
maintain, adapt, and upgrade assistive technology devices and assistive 
technology services that individuals need at home, at school, at work, 
or in other environments that are part of daily living.
    (2) The State may operate or participate in a computer system 
through which the State may electronically communicate with other States 
to gain technical assistance in a timely fashion and to avoid the 
duplication of efforts already undertaken in other States.
    (k) Support the establishment or continuation of partnerships and 
cooperative initiatives between the public sector and the private sector 
to promote the greater participation by business and industry in the--

[[Page 256]]

    (1) Development, demonstration, and dissemination of assistive 
technology devices; and
    (2) Ongoing provision of information about new products to assist 
individuals with disabilities.
    (l) Provide advocacy services.
    (m) Utilize amounts made available through development and extension 
grants for any systems change and advocacy activities, other than the 
activities described in another paragraph of this section, that are 
necessary for developing, implementing, or evaluating the consumer-
responsive comprehensive statewide program of technology-related 
assistance.
    (n)(1) Accomplish the purposes in Sec. 345.2(b) and (c).

(Authority: 29 U.S.C. 2201(b) and 2211(b); sections 2(b)(2), 2(b)(3) and 
101(b) of the Act)



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



Sec. 345.30  What is the content of an application for a development grant?

    (a) Applicants for development grants under this program shall 
include the following information in their applications:
    (1) Information identifying the lead agency designated by the 
Governor under Sec. 345.4 and the evidence described in Sec. 345.6(b).
    (2) A description of the nature and extent of involvement of various 
State agencies, including the State insurance department, in the 
preparation of the application and the continuing role of each agency in 
the development and implementation of the consumer-responsive 
comprehensive statewide program of technology-related assistance, 
including the identification of the available resources and financial 
responsibility of each agency for paying for assistive technology 
devices and assistive technology services.
    (3)(i) A description of procedures that provide for--
    (A)(1) The active involvement of individuals with disabilities and 
their family members, guardians, advocates, and authorized 
representatives, and other appropriate individuals, in the development, 
implementation, and evaluation of the program; and
    (2) To the maximum extent appropriate, the active involvement of 
individuals with disabilities who use assistive technology devices or 
assistive technology services, in decisions relating to such devices and 
services; and
    (B) Mechanisms for determining consumer satisfaction and 
participation of individuals with disabilities who represent a variety 
of ages and types of disabilities, in the consumer-responsive 
comprehensive statewide program of technology-related assistance.
    (ii) A description of the nature and extent of the--
    (A) Involvement, in the designation of the lead agency under 
Sec. 345.4, and in the development of the application, of--
    (1) Individuals with disabilities and their family members, 
guardians, advocates, or authorized representatives;
    (2) Other appropriate individuals who are not employed by a State 
agency; and
    (3) Organizations, providers, and interested parties, in the private 
sector; and
    (B) Continuing role of the individuals and entities described in 
paragraph (a)(3)(ii)(A) of this section in the program.
    (4) A tentative assessment of the extent of the need of individuals 
with disabilities in the State, including individuals from 
underrepresented populations or rural populations for a statewide 
program of technology-related assistance and a description of previous 
efforts and efforts continuing on the date of the application to develop 
a consumer-responsive comprehensive statewide program of technology-
related assistance.
    (5) A description of State resources and other resources (to the 
extent this information is available) that are available to commit to 
the development of a consumer-responsive comprehensive statewide program 
of technology-related assistance.
    (6) Information on the program with respect to the--
    (i) Goals and objectives of the State for the program;
    (ii) Systems change and advocacy activities that the State plans to 
carry out under the program; and

[[Page 257]]

    (iii) Expected outcomes of the State for the program, consistent 
with the purposes described in Sec. 345.2(a).
    (7)(i) A description of the data collection system used for 
compiling information on the program, consistent with requirements 
established by the Secretary for systems, and, when a national 
classification system is developed pursuant to section 201 of the Act, 
consistent with the classification system; and
    (ii) Procedures that will be used to conduct evaluations of the 
program.
    (8) A description of the policies and procedures governing 
contracts, grants, and other arrangements with public agencies, private 
nonprofit organizations, and other entities or individuals for the 
purpose of providing assistive technology devices and assistive 
technology services consistent with this part.
    (b) Applicants for development grants shall include the following 
assurances in their applications:
    (1)(i) An assurance that the State will use funds from a development 
or extension grant to accomplish the purposes described in Sec. 345.2(a) 
and the goals, objectives, and outcomes described in paragraph (a)(6) of 
this section, and to carry out the systems change and advocacy 
activities described in paragraph (a)(6)(ii) of this section, in a 
manner that is consumer-responsive.
    (ii) An assurance that the State, in carrying out systems change and 
advocacy activities, shall carry out the following activities, unless 
the State demonstrates through the progress reports required under 
Sec. 345.50 that significant progress has been made in the development 
and implementation of a consumer-responsive comprehensive statewide 
program of technology-related assistance, and that other systems change 
and advocacy activities will increase the likelihood that the program 
will accomplish the purposes described in Sec. 345.2(a):
    (A) The development, implementation, and monitoring of State, 
regional, and local laws, regulations, policies, practices, procedures, 
and organizational structures, that will improve access to, provision 
of, funding for, and timely acquisition and delivery of, assistive 
technology devices and assistive technology services;
    (B) The development and implementation of strategies to overcome 
barriers regarding access to, provision of, and funding for, such 
devices and services, with priority for identification of barriers to 
funding through State education (including special education) services, 
vocational rehabilitation services, and medical assistance services or, 
as appropriate, other health and human services, and with particular 
emphasis on overcoming barriers for underrepresented populations and 
rural populations;
    (C) Coordination of activities among State agencies, in order to 
facilitate access to, provision of, and funding for, assistive 
technology devices and assistive technology services;
    (D) The development and implementation of strategies to empower 
individuals with disabilities and their family members, guardians, 
advocates, and authorized representatives, to successfully advocate for 
increased access to, funding for, and provision of, assistive technology 
devices and assistive technology services, and to increase the 
participation, choice, and control of individuals with disabilities and 
their family members, guardians, advocates, and authorized 
representatives in the selection and procurement of assistive technology 
devices and assistive technology services;
    (E) The provision of outreach to underrepresented populations and 
rural populations, including identifying and assessing the needs of such 
populations, providing activities to increase the accessibility of 
services to such populations, training representatives of such 
populations to become service providers, and training staff of the 
consumer-responsive comprehensive statewide program of technology-
related assistance to work with such populations; and
    (F) The development and implementation of strategies to ensure 
timely acquisition and delivery of assistive technology devices and 
assistive technology services, particularly for children.
    (2) An assurance that the State will conduct an annual assessment of 
the consumer-responsive comprehensive

[[Page 258]]

statewide program of technology-related assistance, in order to 
determine--
    (i) The extent to which the State's goals and objectives for systems 
change and advocacy activities, as identified in the State plan under 
paragraph (a)(6) of this section, have been achieved; and
    (ii) The areas of need that require attention in the next year.
    (3) An assurance that amounts received under the grant will be 
expended in accordance with the provisions of this part;
    (4) An assurance that amounts received under the grant--
    (i) Will be used to supplement amounts available from other sources 
that are expended for technology-related assistance, including the 
provision of assistive technology devices and assistive technology 
services; and
    (ii) Will not be used to pay a financial obligation for technology-
related assistance (including the provision of assistive technology 
devices or assistive technology services) that would have been paid with 
amounts available from other sources if amounts under the grant had not 
been available, unless--
    (A) The payment is made only to prevent a delay in the receipt of 
appropriate technology-related assistance (including the provision of 
assistive technology devices or assistive technology services) by an 
individual with a disability; and
    (B) The entity or agency responsible subsequently reimburses the 
appropriate account with respect to programs and activities under the 
grant in an amount equal to the amount of the payment;
    (5) An assurance that--
    (i) A public agency shall control and administer amounts received 
under the grant; and
    (ii) A public agency or an individual with a disability shall--
    (A) Hold title to property purchased with such amounts; and
    (B) Administer such property.
    (6) An assurance that the State will--
    (i) Prepare reports to the Secretary in the form and containing 
information required by the Secretary to carry out the Secretary's 
functions under this part; and
    (ii) Keep records and allow access to records as the Secretary may 
require to ensure the correctness and verification of information 
provided to the Secretary under this paragraph of this section.
    (7) An assurance that amounts received under the grant will not be 
commingled with State or other funds;
    (8) An assurance that the State will adopt fiscal control and 
accounting procedures as may be necessary to ensure proper disbursement 
of an accounting for amounts received under the grant;
    (9) An assurance that the State will--
    (i) Make available to individuals with disabilities and their family 
members, guardians, advocates, or authorized representatives information 
concerning technology-related assistance in a form that will allow 
individuals to effectively use the information; and
    (ii) In preparing information for dissemination, consider the media-
related needs of individuals with disabilities who have sensory and 
cognitive limitations and consider the use of auditory materials, 
including audio cassettes, visual materials, including video cassettes 
and video discs, and braille materials.
    (10) An assurance that, to the extent practicable, technology-
related assistance made available with amounts received under the grant 
will be equitably distributed among all geographical areas of the State;
    (11) An assurance that the lead agency will have the authority to 
use funds made available through a development or extension grant to 
comply with the requirements of this part, including the ability to hire 
qualified staff necessary to carry out activities under the program;
    (12)(i) An assurance that the State will annually provide, from the 
funds made available to the State through a development or extension 
grant under this part, an amount calculated in accordance with section 
102(f)(4) of the Act in order to make a grant to, or enter into a 
contract with--
    (A) An entity to support protection and advocacy services through 
the systems established to provide protection and advocacy under the 
Developmental Disabilities Assistance and Bill of

[[Page 259]]

Rights Act (42 U.S.C. 6000 et seq.), the Protection and Advocacy for 
Mentally Ill Individuals Act (42 U.S.C. 10801 et seq.), and section 509 
of the Rehabilitation Act of 1973 (29 U.S.C. 794e); or
    (B) An entity described in Sec. 345.55(a)(1).
    (ii) The State need not provide the assurance in paragraph 
(b)(12)(i) of this section, if the State requests in its annual progress 
report or first or second extension application, as applicable, that the 
Secretary annually reserve, from the funds made available for a 
development or extension grant, an amount calculated in accordance with 
section 102(f)(4) of the Act, in order for the Secretary to make a grant 
to or enter into a contract with a system to support protection and 
advocacy services.
    (13) An assurance that the State--
    (i) Will develop and implement strategies for including personnel 
training regarding assistive technology within existing Federal- and 
State-funded training initiatives, in order to enhance assistive 
technology skills and competencies; and
    (ii) Will document the training;
    (14) An assurance that the percentage of the funds received under 
the grant that is used for indirect costs (as defined in OMB Circular A-
87 incorporated by reference in 34 CFR 80.22(b)) shall not exceed 10 
percent of the total amount of the grant; and
    (15) An assurance that the lead agency will coordinate the 
activities funded through a development or extension grant under this 
part with the activities carried out by councils within the State, 
including--
    (i) Any council or commission specified in the assurance provided by 
the State in accordance with section 101(a)(36) of the Rehabilitation 
Act of 1973 (29 U.S.C. 721(a)(36));
    (ii) The Statewide Independent Living Council established under 
section 705 of the Rehabilitation Act of 1973 (29 U.S.C. 796d));
    (iii) The advisory panel established under section 613(a)(12) of the 
Individuals with Disabilities Education Act (20 U.S.C. 1413(a)(12));
    (iv) The State Interagency Coordinating Council established under 
section 682 of the Individuals with Disabilities Education Act (20 
U.S.C. 1482));
    (v) The State Planning Council described in section 124 of the 
Developmental Disabilities Assistance and Bill of Rights Act (20 U.S.C. 
6024);
    (vi) The State mental health planning council established under 
section 1914 of the Public Health Service Act (42 U.S.C. 300x-3);
    (vii) Any council established under section 204, 206(g)(2)(A), or 
712(a)(3)(H) of the Older Americans Act of 1965 (42 U.S.C. 3015, 
3017(g)(2)(A), or 3058g(a)(3)(H)).
    (16) An assurance that there will be coordination between the 
activities funded through the grant and other related systems change and 
advocacy activities funded by either Federal or State sources.
    (c) Applicants for development grants shall provide any other 
related information and assurances that the Secretary may reasonably 
require.

(Authority: 29 U.S.C. 2212(e); section 102(e) of the Act)



345.31  What is the content of an application for an extension grant?

    A State that seeks an extension grant shall include the following in 
an application:
    (a) The information and assurances described in Sec. 345.30, except 
the preliminary needs assessment described in Sec. 345.30(a)(4).
    (b) A description of the following:
    (1) The needs relating to technology-related assistance of 
individuals with disabilities (including individuals from 
underrepresented populations or rural populations) and their family 
members, guardians, advocates, or authorized representatives, and other 
appropriate individuals within the State.
    (2) Any problems or gaps that remain with the development and 
implementation of a consumer-responsive comprehensive statewide program 
of technology-related assistance in the State.
    (3) The strategies that the State will pursue during the grant 
period to remedy the problems or gaps with the development and 
implementation of a program.

[[Page 260]]

    (4) Outreach activities to be conducted by the State, including 
dissemination of information to eligible populations, with special 
attention to underrepresented populations and rural populations.
    (5)(i) The specific systems change and advocacy activities described 
in Sec. 345.20 (including the activities described in Sec. 345.30(b)(1)) 
carried out under the development grant received by the State, or, in 
the case of an application for a second extension grant, under an 
initial extension grant received by the State under this section, 
including--
    (A) A description of systems change and advocacy activities that 
were undertaken to produce change on a permanent basis for individuals 
with disabilities of all ages;
    (B) A description of activities undertaken to improve the 
involvement of individuals with disabilities in the program, including 
training and technical assistance efforts to improve individual access 
to assistive technology devices and assistive technology services as 
mandated under other laws and regulations in effect on the date of the 
application, and including actions undertaken to improve the 
participation of underrepresented populations and rural populations, 
such as outreach efforts; and
    (C) An evaluation of the impact and results of the activities 
described in paragraph (b)(5)(i)(A) and (B) of this section.
    (ii) The relationship of systems change and advocacy activities to 
the development and implementation of a consumer-responsive 
comprehensive statewide program of technology-related assistance.
    (iii) The progress made toward the development and implementation of 
a consumer-responsive comprehensive statewide program of technology-
related assistance.
    (6)(i) In the case of an application for an initial extension grant, 
a report on the hearing described in Sec. 345.8(a)(2) or, in the case of 
an application for a second extension grant, a report on the hearing 
described in Sec. 345.8(b)(2).
    (ii) A description of State actions, other than a hearing, designed 
to determine the degree of satisfaction of individuals with 
disabilities, and their family members, guardians, advocates, or 
authorized representatives, public service providers and private service 
providers, educators and related service providers, technology experts 
(including engineers), employers, and other appropriate individuals and 
entities with--
    (A) The degree of their ongoing involvement in the development and 
implementation of the consumer-responsive comprehensive statewide 
program of technology-related assistance;
    (B) The specific systems change and advocacy activities described in 
Sec. 345.20 (including the activities described in Sec. 345.30(b)(1)) 
carried out by the State under the development grant or the initial 
extension grant;
    (C) Progress made toward the development and implementation of a 
consumer-responsive comprehensive statewide program of technology-
related assistance; and
    (D) The ability of the lead agency to carry out the activities 
described in Sec. 345.6(b).
    (c) A summary of any comments received concerning the issues 
described in paragraph (b)(6) of this section and response of the State 
to such comments, solicited through a public hearing or through other 
means, from individuals affected by the consumer-responsive 
comprehensive statewide program of technology-related assistance, 
including--
    (1) Individuals with disabilities and their family members, 
guardians, advocates, or authorized representatives;
    (2) Public service providers and private service providers;
    (3) Educators and related services personnel;
    (4) Technology experts (including engineers);
    (5) Employers; and
    (6) Other appropriate individuals and entities.
    (d) An assurance that the State, any recipient, and any subrecipient 
of funds made available to the State under the Act will comply with 
guidelines established under section 508 of the Rehabilitation Act of 
1973 (29 U.S.C. 794d).
    (e)(1) A copy of the protection and advocacy contract or grant 
agreement entered into by the State;

[[Page 261]]

    (2) Evidence of ongoing negotiations with an entity to provide 
protection and advocacy services, if the State has not yet entered into 
a grant or contract; or
    (3) A request that the Secretary enter into a grant agreement with 
an entity to provide protection and advocacy services, pursuant to 
Sec. 345.30(b)(12)(ii).

(Authority: 29 U.S.C. 2213 (d) and (e); section 103 (d) and (e) of the 
Act).



             Subpart D--How Does the Secretary Make a Grant?



Sec. 345.40  How does the Secretary evaluate an application for a development grant under this program?

    The Secretary evaluates each application using the selection 
criteria in 34 CFR 75.210.

(Authority: 29 U.S.C. 2212(a); section 102(a) of the Act)



Sec. 345.41  What other factors does the Secretary take into consideration in making development grant awards under this program?

    In making development grants under this program, the Secretary takes 
into consideration, to the extent feasible--
    (a) Achieving a balance among States that have differing levels of 
development of consumer-responsive comprehensive statewide programs of 
technology-related assistance; and
    (b) Achieving a geographically equitable distribution of the grants.

(Authority: 29 U.S.C. 2212(c); section 102(c) of the Act)



Sec. 345.42  What is the review process for an application for an extension grant?

    (a) The Secretary may award an initial extension grant to any State 
that--
    (1) Provides the evidence described in Sec. 345.6(b) and makes the 
demonstration described in paragraph (a)(2) of this section;
    (2) Demonstrates that the State has made significant progress, and 
has carried out systems change and advocacy activities that have 
resulted in significant progress, toward the development and 
implementation of a consumer-responsive comprehensive statewide program 
of technology-related assistance, consistent with this part; and
    (3) Holds a public hearing in the third year of a program carried 
out under a development grant, after providing appropriate and 
sufficient notice to allow interested groups and organizations and all 
segments of the public an opportunity to comment on the program.
    (b) The Secretary may award a second extension grant to any State 
that--
    (1) Provides the evidence described in Sec. 345.6(b) and makes the 
demonstration described in paragraph (a)(2) of this section;
    (2) Describes the steps the State has taken or will take to continue 
on a permanent basis the consumer-responsive comprehensive statewide 
program of technology-related assistance with the ability to maintain, 
at a minimum, the outcomes achieved by the systems change and advocacy 
activities;
    (3) Identifies future funding options and commitments for the 
program from the public and private sector and the key individuals, 
agencies, and organizations to be involved in, and to direct future 
efforts of, the program; and
    (4) Holds a public hearing in the second year of a program carried 
out under an initial extension grant, after providing appropriate and 
sufficient notice to allow interested groups and organizations and all 
segments of the public an opportunity to comment on the program.
    (c) In making any award to a State for a second extension grant, the 
Secretary makes an award contingent on a determination, based on the on-
site visit in Sec. 345.53, that the State is making significant progress 
toward development and implementation of a consumer-responsive 
comprehensive statewide program of technology-related assistance, except 
where the Secretary determines that the on-site visit is unnecessary. If 
the Secretary determines that the State is not making significant 
progress, the Secretary may take an action described in Sec. 345.61.

(Authority: 29 U.S.C. 2213 (b) and (e) and 2215(a)(2); sections 103 (b) 
and (e) and 105(a)(2) of the Act)


[[Page 262]]





Sec. 345.43  What priorities does the Secretary establish?

    (a) The Secretary gives, in each of the 2 fiscal years succeeding 
the fiscal year in which amounts are first appropriated for carrying out 
development grants, priority for funding to States that received 
development grants under this part during the fiscal year preceding the 
fiscal year concerned.
    (b) For States that are applying for initial extension grants, the 
Secretary gives, in any fiscal year, priority to States that received 
initial extension grants during the fiscal year preceding the fiscal 
year concerned.
    (c) The Secretary may establish other appropriate priorities under 
the Act.

(Authority: 29 U.S.C. 2212(b)(4) and 2213(c); sections 102(b)(4) and 
103(c) of the Act)



         Subpart E--What Conditions Must Be Met After an Award?



Sec. 345.50  What are the reporting requirements for the recipients of development and extension grants?

    (a) States receiving development and extension grants shall submit 
annually to the Secretary a report that documents significant progress 
in developing and implementing a consumer-responsive comprehensive 
statewide program of technology-related assistance documenting the 
following:
    (1) The progress the State has made, as determined in the State's 
annual assessment (consistent with the guidelines established by the 
Secretary under Sec. 345.51) in achieving the State's goals, objectives, 
and outcomes as identified in the State's application, and areas of need 
that require attention in the next year, including unanticipated 
problems with the achievement of the goals, objectives, and outcomes 
described in the application, and the activities the State has 
undertaken to rectify these problems.
    (2) The systems change and advocacy activities carried out by the 
State including--
    (i) An analysis of the laws, regulations, policies, practices, 
procedures, and organizational structure that the State has changed, has 
attempted to change, or will attempt to change during the next year, to 
facilitate and increase timely access to, provision of, or funding for, 
assistive technology devices and assistive technology services; and
    (ii) A description of any written policies and procedures that the 
State has developed and implemented regarding access to, provision of, 
and funding for, assistive technology devices and assistive technology 
services, particularly policies and procedures regarding access to, 
provision of, and funding for, such devices and services under education 
(including special education), vocational rehabilitation, and medical 
assistance programs.
    (3) The degree of involvement of various State agencies, including 
the State insurance department, in the development, implementation, and 
evaluation of the program, including any interagency agreements that the 
State has developed and implemented regarding access to, provision of, 
and funding for, assistive technology devices and assistive technology 
services such as agreements that identify available resources for, 
assistive technology devices and assistive technology services and the 
responsibility of each agency for paying for such devices and services.
    (4) The activities undertaken to collect and disseminate information 
about the documents or activities analyzed or described in paragraphs 
(a) (1) through (3) of this section, including outreach activities to 
underrepresented populations and rural populations and efforts to 
disseminate information by means of electronic communication.
    (5) The involvement of individuals with disabilities who represent a 
variety of ages and types of disabilities in the planning, development, 
implementation, and assessment of the consumer-responsive comprehensive 
statewide program of technology-related assistance, including activities 
undertaken to improve such involvement, such as consumer training and 
outreach activities to underrepresented populations and rural 
populations.
    (6) The degree of consumer satisfaction with the program, including 
satisfaction by underrepresented populations and rural populations.

[[Page 263]]

    (7) Efforts to train personnel as well as consumers.
    (8) Efforts to reduce the service delivery time for receiving 
assistive technology devices and assistive technology services.
    (9) Significant progress in the provision of protection and advocacy 
services, in each of the areas described in Sec. 345.55(c)(1)(ii).
    (b) The State shall make these reports readily available to the 
public at no extra cost.
    (c) The State shall submit on an annual basis--
    (1) A copy of the protection and advocacy contract or grant 
agreement entered into by the State;
    (2) Evidence of ongoing negotiations with an entity to provide 
protection and advocacy services, if the State has not yet entered into 
a grant or contract; or
    (3) A request that the Secretary enter into a grant agreement with 
an entity to provide protection and advocacy services, pursuant to 
Sec. 345.30(b)(12)(ii).

(Authority: 29 U.S.C. 2212(e)(16)(A) and 2214(b); sections 102(e)(16)(A) 
and 104(b) of the Act)



Sec. 345.51  When is a State making significant progress?

    A State is making significant progress when it carries out--
    (a) The systems change and advocacy activities listed in 
Sec. 345.30(b)(1)(ii)(A) through (F); or
    (b) Other systems change and advocacy activities, if the State 
demonstrates through the progress reports developed by the Secretary and 
required to be submitted by a State in Sec. 345.50 that it has 
accomplished the purposes of the program listed in Sec. 345.2(a).

(Authority: 29 U.S.C. 2212(e)(7) and 2214(a); sections 102(e)(7) and 
104(a) of the Act)



Sec. 345.52  Who retains title to devices provided under this program?

    Title to devices purchased with grant funds under this part, either 
directly or through any contract or subgrant, must be held by a public 
agency or by an individual with a disability who is the beneficiary of 
the device. If the disabled individual does not have legal status to 
hold title, the title may be retained by a parent or legal guardian.

(Authority: 29 U.S.C. 2212(e)(12)(B); section 102(e)(12)(B) of the Act)



Sec. 345.53  What are the requirements for grantee participation in the Secretary's progress assessments?

    Recipients of development grants shall participate in the 
Secretary's assessment of the extent to which States are making 
significant progress by--
    (a) Participating in the on-site monitoring visits that will be made 
to each grantee during the final year of the development grant;
    (b) Participating in an on-site monitoring visit, that is in 
addition to the visit in paragraph (a), if the State applies for a 
second extension grant and whose initial on-site visit occurred prior to 
the date of the enactment of the Technology-Related Assistance for 
Individuals with Disabilities Act Amendments of 1994, unless the 
Secretary determines that the visit is not necessary.
    (c) Providing written evaluations of the State's progress toward 
fulfilling its goals and the objectives of the project, and such other 
documents as the Secretary may reasonably require to complete the 
required assessment.

(Authority: 29 U.S.C. 2215(a); section 105(a) of the Act)



Sec. 345.54  How may grant funds be used under this program?

    (a) States receiving funds under this part shall comply with the 
assurances provided under Secs. 345.30 and 345.31.
    (b) A State receiving a grant may make contracts or subgrants to the 
eligible entities in Sec. 345.6, provided that--
    (1) A designated public agency maintains fiscal responsibility and 
accountability; and
    (2) All appropriate provisions related to data collection, 
recordkeeping, and cooperation with the Secretary's evaluation and 
program monitoring efforts are applied to all subcontractors and 
subgrantees as well as to the agency receiving the grant.

(Authority: 29 U.S.C. 2212(e), 2213(d), and 2215(a)(5); sections 102(e), 
103(d), and 105(a)(5) of the Act; section 437 of the General Education 
Provisions Act; 20 U.S.C. 1232f)


[[Page 264]]





Sec. 345.55  What are the responsibilities of a State in carrying out protection and advocacy services?

    (a)(1) A State is eligible to receive funding to provide protection 
and advocacy services if--
    (i) The State, as of June 30, 1993, has provided for protection and 
advocacy services through an entity that is capable of performing the 
functions that would otherwise be performed under Sec. 345.30(b)(12) by 
the system described in that section; and
    (ii) The entity referred to in Sec. 345.30(b)(12)(i) is not a system 
described in that section.
    (b) A State that meets both of the descriptions in paragraph (a)(1) 
of this section also shall comply with the same requirements of this 
part as a system that receives funding under Sec. 345.30(b)(12).
    (c)(1) A system that receives funds under Sec. 345.30(b)(12)(i) to 
carry out the protection and advocacy services described in 
Sec. 345.30(b)(12)(i) in a State