Prior to the submission of a formal project proposal, each prospective applicant must submit a preapplication proposal to the U.S. Office of Education and to the apropriate State education agency. Office of Education personnel, State educational agency personnel, and outside consultants will evaluate the preapplication proposals. Each State educational agency will indicate to the Office of Education its approval or disapproval of the proposals submitted. Invitations and instructions to submit a formal proposal will be given to applicants whose preapplication proposals have received a favorable review based on the requirements and criteria set forth in §§ 124.5 and 124.15.

ondary schools (1) which are located in urban or rural areas, (2) which have a high percentage of children from families with incomes not exceeding the lowincome factor, and (3) which have a high percentage of such children who do not complete their education in elementary or secondary schools;

(b) (1) That the applicant has conducted a comprehensive needs assessment which includes an analysis of the reasons for the failure of those children in those schools to complete their elementary and secondary education, and (2) that the proposed project has been designed in the light of that assessment and shows promise of effectively reducing or eliminating the causes of that failure; and

(c) That effective procedures, including objective measurements of educational achievement, will be adopted for evaluating at least annually the effectiveness of the proposed project; and

(d) That an independent review of this educational program evaluation will be made by qualified persons not associated with the applicant, for the purpose of verifying the results of that evaluation and of assessing the appro❤ priateness of evaluation procedures used in determining the effectiveness of the program, and that copies of reports prepared as a result thereof shall be submitted to the Office of Education.

(20 U.S.C. 887(b))

§ 124.6 Adequacy of facilities.

Each project proposal shall describe the facilities to be made available for the project. If a project proposal provides for the leasing or remodeling of facilities, it must show why such a provision is necessary for the success of the project. (20 U.S.C. 887)

Subpart C-Approval of Project Proposals § 124.15 Criteria for evaluation of project proposals.

In evaluating project proposals for the purpose of making awards under this part, the Commissioner will seek to identify a relatively small number of projects in areas of outstanding need and will give consideration to the following (in addition to the criteria set forth in § 100a.26(b) of this chapter):

(a) The extent to which the proposed innovative methods, systems, materials

or programs show promise of reducing the number of children in the target school who do not complete their elementary and secondary school education;

(b) The extent to which the project is likely to result in the development of new materials and methods which will be of value in reducing the number of children who do not complete their elementary and second school education; and

(c) The percentage of children in the schools in which the project will be carried out who come from families with an income not exceeding the low income factor, and the percentage of those children who may not complete their elementary and secondary school education. Priority will be given to proposals where projects will be undertaken in schools in which:

(1) At least 40 percent of the children in average daily membership are from families with an income not exceeding low income factor; and

(2) The annual dropout rate of such children is at least 7 percent;

(d) (1) The adequacy of the applicant's analysis of the causes for the dropout problem in the schools proposed to be served, and the (2) adequacy of the design of the program intended to eliminate those causes;

(e) The extent to which the applicant has consulted with dropouts and potential dropouts and their families and with interested members of the community, and has sought their advice on the relevance of the proposed project;

(f) The extent to which the proposed project is exemplary;

(g) The adequacy of evidence that the proposed project will focus upon a limited number of schools intended to be served by assistance under this part so as to have a major impact on the problem of dropout prevention; and

(h) The degree of the applicant's awareness of other dropout prevention programs, research findings, or published materials of recognized experts.

(20 U.S.C. 887; H.R. Rept. No. 1049, 90th
Cong. 1st Sess. 58 (1967); Sen. Rept. No. 726,
90th Cong. 1st Sess. 50-51 (1967).)
§ 124.16 Dissemination of information.

(a) The recipient shall provide for dissemination of (1) significant information developed as a result of those projects carried out under this part and (2) the

recipient's evaluation of those projects. The cost of dissemination, and of submission of copies of disseminated materials pursuant to paragraph (b) of this section, may be charged to the project to the extent authorized in the award document.

(b) The recipient must submit to the Office of Education one copy of printed and audiovisual materials produced and disseminated in connection with the project, including curriculum materials, newsletters, brochures, and other printed matter, and films, filmstrips, slides, and videotapes. All materials, together with a statement of the purpose and extent of distribution, shall be sent to the Office of Education. (20 U.S.C. 887)

system.

2.2 Planning and installation of

system.

2.3 Internal communication

system.

3.3

Involvement of parents and other community residents.

4.2

4.3

Purpose of needs assessment.
Analyzing local needs.
Related resources.

4.4 Local studies.

Part 8-Educational Program Verification
Section 8.1 Purpose.

8.2 Suggested procedures.

Part 9-Dissemination

Section 9.1 Purpose.

PART 1-INTRODUCTION

Sec. 1.1 Scope of guidelines.

(a) The guidelines contained in this document are recommendations and suggestions for meeting the legal requirements which apply to Federal assistance under the Elementary and Secondary Education Act, title VIII, section 807. The legal requirements include the Act itself (20 U.S.C. 887) and the regulations (45 CFR 124). The guidelines are not to be construed as requirements. However, where the guidelines set forth a permissible means of meeting a legal requirement, the guidelines may be relied upon.

(20 U.S.C. 887; 113 Cong. Rec. 5936, 5939 (daily ed. May 23, 1967); United States v. Jefferson County Board of Education, 372 F. 2d 836, 857 (1966))

(b) Where a guideline is issued in connection with or affecting a provision in the regulations, the pertinent regulation will be cited after the citation of legal authority for the guideline in the parentheses following the guideline. For example, if the legal authority for the guideline is Section 807(b) of the Act (20 U.S.C. 887(b)), and the guideline affects section 124.5(d) of the regulations (45 CFR 124.5(d)), the following citation will be placed on the line immediately following the guideline: (20 U.S.C. 887(b); 45 CFR 124.5 (b)). If no particular section of the regulations is affected, no citation to the Code of Federal Regulations (CFR) will be made. (20 U.S.C. 1232 (a))

Sec. 1.2

Purpose of the Act.

The Dropout Prevention Program, funded under title VIII of the Elementary and Secondary Education Act of 1965, as amended, is designed to foster the development of exemplary educational programs which show promise of reducing the number of children who do not complete their education in elementary and secondary schools. Since the program is for the development and demonstration of promising educational practices throughout the Nation, projects funded involve the use of innovative methods, systems, or materials in their efforts to reduce the dropout rate.

(20 U.S.C. 887(a); 45 CFR 124.1) Sec. 1.3 Basic objectives.

(a) Because of the nature of the problem, comprehensiveness of approach should be an essential element in designing projects. No

mere addition to the existing school program will be significant in keeping children in school; instead, the school district should consider introducing basic and widespread changes in its organization, curriculum offerings, pupil services, and teacher training. The thorough needs assessment required by 45 CFR 124.5(b) should assist the school district in determining what changes may be needed and the nature and extent of those changes.

(b) In approaching the problem in a comprehensive fashion, the school district should also recognize that children begin to drop out of school long before they reach the secondary level of education. Attention should be paid to the earlier levels of education, for the roots of the problem are often found at these educational levels.

(c) Concentration of resources should also be an essential element of the program. Sufficient human and financial resources should be utilized if dropout prevention efforts are to yield maximum impact in solving the problem. Moreover, human resources involved in any dropout prevention project should, to the extent practical, include representatives of all segments of the community, since the dropout problem should not be separated from the larger context of the community.

(d) Since the Dropout Prevention Program is designed to develop model programs which can be replicated and adapted in school systems across the Nation, emphasis is being placed on accountability for results by the local educational agency. The local educational agency should be answerable for both the educational accomplishments attributable to specific dropout prevention techniques and the cost effectiveness of instructional and management procedures involved in the project.

(20 U.S.C. 887; 45 CFR 124.5. 124.15)

PART 2-PROGRAM DESIGN Sec. 2.1 Design of management systems.

(a) Since dropout prevention projects are comprehensive and may require large expenditures of funds, the local educational agency should be firmly committed to the development of an effective management system with an effective framework and methodology for planning, installing, operating, communicating and evaluating program activities. It is suggested that the project be viewed as a subsystem within the total school system, serving a defined target area and requiring identified resources from the local educational agency at specified points during the project's schedule of operation.

(b) In designing a management system, it 18 suggested that basic steps or actions, such as the following, be taken into account: (1) Identify the problem, (2) analyze the

curriculum which they view as boring and irrelevant, almost all dropout prevention programs tend to focus on curriculum modification. Efforts to restructure curriculum focus on both content and methodology, and these range from the redesign of existing courses and traditional subjects to the introduction of entirely new curriculum areas. Among some of the more promising recent curriculum efforts are those in which students have had a major voice and have occupied a joint role as both the objects and the agents of an improved instructional program. In some instances, students are serving as advisers to teachers and department heads responsible for curriculum revision; while in others, working closely with teachers as resource persons, students themselves have developed and conducted complete courses, selected the materials and instructors, and arranged for speakers and outside consultants to assist them.

(b) Student advisory roles to school faculties, administrators, and boards of education are also being developed and are giving students a greater understanding of the complexities of school operations and the opportunity to identify, study, and discuss school problems, make recommendations, and help to implement solutions. As part of their responsibilities, such youth advisers may report their activities through various school media and help to create a better informed and more concerned student body.

(c) Additional opportunities for student participation in school and community-related experiences can be provided through work-study programs, a prominent feature of many dropout prevention projects. In addition to local businesses and industries, project planners should consider community agencies, municipal government offices, and the schools themselves as potential placement sources for student training, work experience, and part-time paid positions. Within the schools, students might serve as classroom and library aides, tutors to other students, assistants in the operation of school stores and after-school and evening study or recreation centers, and apprentices in the building maintenance, food, clerical and audiovisual supportive services.

(20 U.S.C. 887(b) (2); 45 CFR 124.15(e)) Sec. 3.3 Involvement of parents and other community residents.

(a) Parents and other residents of the community should similarly be given opportunities for program participation. Many of the roles suggested for students participating in curriculum development, serving as advisers and consultants to teachers, administrators, and school boards, and disseminating their activities to the community-are equally appropriate for adults, while other activities are suited uniquely to the interests and resources of parents and other residents.

(b) Interaction between parents and project staff-in home, classrooms, and elsewhere can help parents learn how they may best support and influence the dropout prevention effort and on their own, reinforce the goals of the program. Such interaction, accomplished through home visits, orientation sessions, workshops, and other methods, assists the project staff in becoming more responsive to the needs and goals of the parents and community and in becoming better able to translate their goals into project activities.

(c) Instructional activities should be open to parent observers at reasonable and convenient times, and parents should be encouraged to observe classes periodically during the school year. Parental involvement might also take the form of educational programs designed to familiarize parents with the school curriculum or with specific project activities, and to instruct them in the use of materials and techniques by which they might supplement and reinforce their children's classroom instruction at home. (20 U.S.C. 887(b) (2); 45 CFR 124.15(e)) PART 4-NEEDS ASSESSMENT

Sec. 4.1

Purpose of needs assessment.

(a) A significant step in the development of a comprehensive dropout prevention project should be the efforts of the school district to assess the nature and scope of its local dropout problem and to analyze thoroughly the reasons why students drop out of schools within the district. In addition to providing project planners with the information necessary to establish priorities for the dropout prevention project on a sound basis, an adequate assessment of local needs will have long-range value and will yield information useful to the system in any future planning for both locally and federally sponsored programs.

(b) The assessment of needs should be a continuing process during the several stages of the planning and operation of a project. Since a major section of the preliminary proposal must be devoted to a discussion of the local dropout problem and the methods by which it has been analyzed, an initial assessment of needs should be completed prior to the submission of the preliminary proposal. In those districts selected to develop a formal proposal, further examination and interpretation of existing information and appropriate additional studies or surveys concerning school dropouts quite likely will be among the major activities of the planning group during the developmental period. If the project is funded, at least an annual reexamination of local needs is suggested as an aid to project personnel in determining appropriate program modifications.

(20 U.S.C. 887(b) (2); 45 CFR 124.5(b), 124.10 (d))