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tive control and direction of a public ele- missioner, an application becomes the mentary or secondary school.

basis for making payments of the Fed(j) "Secondary school" means a day eral share of the sums expended under or residential school which provides sec- the application, except that minor deviondary education, as determined under ations of specific amounts of expendiState law, except that it does not include tures among program functions and any education provided beyond grade 12. objects from those estimated in the

(k) "Special project grants" means application will not be precluded from grants made to State educational agen- Federal financial participation if othercies from funds reserved by the Commis- wise made in accordance with the sioner pursuant to section 505 of the approved application, the Act, and the Act.

regulations in this part. (1) "State" means, in addition to the (c) Amendments. Each application several States of the Union, the Com- must be appropriately amended whenmonwealth of Puerto Rico, the District ever (1) there is a material change in a of Columbia, Guam, American Samoa, pertinent State law or in the organizaand the Virgin Islands.

tion, policies, or operations of the State (m) “State educational agency," or educational agency affecting the appli“State agency” means the State board cation or any programs described thereof education or other agency or officer in, (2) there is a material change in the primarily responsible for the State su- content or administration of any such. pervision of public elementary and sec- program, or (3) any program is added or ondary schools, or, if there is no such deleted. (Minor deviations referred to officer or agency, an officer or agency in the last sentence of paragraph (b) a designated by the Governor or by State this section are not deemed to be “malaw.

terial changes" for the purposes of this

paragraph.) The submission and a Subpart B-Basic Grants (Grants

proval of amendments shall follow the From Apportioned Funds) same procedures and have the same $ 119.2 State applications.

effect specified for applications in para

graph (b) of this section. All applica. (a) Purpose and content. The prin

tions submitted after the initial applicipal condition for basic grants of Fed

cation within the same fiscal year shall eral funds apportioned to a State under

have the effect of an amendment to the Title V of the Act is the submission by

initial application. the State through the State educational

(d) Certificate of the State educi. agency of an application or applications tional agency. Each application and all to the Commissioner. Any State desir

amendments thereto must include as ar ing to receive basic grants shall submit

attachment a certificate of the office an application or applications annually

of the State educational agency AUfor each fiscal year on such date or dates

thorized to submit the application to the as the Commissioner may fix, and in ac

effect that the application has been cordance with such procedures as he

adopted by the State agency and that may prescribe.

the application, as amended, will con(b) Submission and approval. Each

stitute the basis for operation and adapplication and all amendments thereto

ministration of the programs in which shall be submitted to the Commissioner

Federal participation under basic grants for his approval by a duly authorized

will be requested. officer of the State educational agency.

(e) Certificate of the State attorney Each application shall indicate the offi

general. Each application or amendcial or officials authorized to submit ap

ment thereto shall include as an attachplication material. If found by the Com

ment a certificate by the State's attornet missioner to be in conformity with the

general, or other official designated in provisions and purposes of the Act and

accordance with State law to advise the the regulations in this part, the applica

State educational agency on legal mattion will be approved subject to the limits

ters, to the effect that the State educaof available appropriations. The Com

tional agency named in the plan has missioner will not finally disapprove an

authority under State law to submit the application except after reasonable no

application and administer the programs tice and opportunity for a hearing has covered by such application, and that been afforded to the State educational

all application provisions are consistent agency. When approved by the Com- with State law.

119.3 Procedures for application re- balance with respect to both quality and view and disposition.

quantity among the several programs (a) The Commissioner will approve an

and services of the State educational splication only upon his determination

agency; that is, the extent to which the at such an application meets the re

proposal will lead to an adequate level airements of the Act and the regulations

of development in all essential State edthis part. This means that:

ucational agency programs so that one (1) Each program and part thereof

program will not be strengthened at the roposed in an application or an amend

expense of another; and

(5) The extent to which each program lent thereto provides for the developent, improvement, or expansion of

and part thereof proposed in an applicativities which make a significant con

tion or amendment thereto takes into ibution to strengthening the leadership

account the current level of development sources of the State educational

and will contribute effectively to the imgency, or which make a significant

provement of such essential programs ontribution to strengthening its ability

as: Long-term planning, aid to local edparticipate effectively in identifying

ucational agencies in improvement of nd meeting the needs of elementary and

curricula, quality of teaching and compe-condary education in the State;

tence of teachers, particularly in basic (2) Each application and amendment

schools subjects, data processing, public hereto and each program and part

information, technical and consultative hereof proposed therein otherwise com

services to local educational agencies, relies with and conforms to other appli

search, and staff development. able provisions of the Act as indicated $ 119.4 State educational agency. n this subpart and subpart D.

(a) Designation. Each application (b) In making his determination pur

shall give the official name of the State uant to paragraph (a) of this section,

educational agency which will be the he Commissioner will take into consid

agency responsible for administering the ration appropriate and relevant factors

programs set forth in the application. uch as the following:

(b) Organization. Each application (1) The extent to which each program

shall describe by chart or otherwise the nd part thereof proposed in an applica

organizational structure of the State ed. lon or amendment thereto is directed

ucational agency responsible for adminoward meeting effectively educational

istering the programs described therein, leeds that have a high priority under

including a description of the unit or arefully developed current and long

units responsible for such administra'ange plans of the State educational

tion, the principal functions assigned to Igency;

each, the lines of authority within such (2) The extent to which an adequate

a unit or units and the administrative ffort has been made to use, for each

relationships of such a unit or units to rogram and part thereof proposed in an

the rest of the State educational agency. pplication or an amendment thereto,

The position titles of all professional perther resources available to the State

sonnel in the State educational agency ducational agency, such as funds pro

who will be engaged in the conduct of ided under other Federal grant-in-aid

the programs described in each applicabrograms; (3) The extent to which each program

tion shall be given in the application, and

their major duties and qualifications ind part thereof proposed in an applica

briefly described. If a program in an ion or amendment thereto will be con

application will expand or alter the orlucted in effective coordination and

ganzational structure of the State eduooperation with other federally assisted

cational agency, the application shall programs conducted by other agencies,

indicate in its description of the organinstitutions, and organizations within

zational structure that part of such he State, such as local educational

structure to be affected. gencies, State and local health and wel

(C) Authority. Each application shall are agencies, and community action

set forth the authority of the State edugroups;

cational agency under State law to sub(4) The extent to which each program mit the application and to administer the ind part thereof proposed in an applica- programs set forth therein. Citations ion or amendment thereto will promote to, or copies of, all directly pertinent or contribute to establishing appropriate statutes and interpretations of them by grams and projects (including the ac- such agency has authority under State quisition of equipment and where neces- law to carry out, directly or through sary the construction of school facili- local educational agencies, the activities ties) for the education of handicapped described therein; and that all plan prochildren at the preschool and elementary visions are consistent with State law. and secondary school levels, for admin- (g) Approval by the Commissioner, istration of the State plan (including The Commissioner will approve each State leadership activities and consulta- State plan, or amendment thereof, which tive services), and for planning on the he determines meets the requirements State and local level and (2) an annual of Title VI of the Act and the reguladescription of the projected activities tions in this part, and will notify the to be carried out under the State plan State educational agency of the granting, during the forthcoming fiscal year.

conditioning, or withholding of approval (b) Effect of State plan. Each State in each such case. No final action with plan, when approved by the Commis- respect thereto, other than one of ap. sioner, shall constitute the basis on proval, will be taken by the Commiswhich Federal grants will be made to sioner, however, unless he first notifies that State, and the basis for determining the State educational agency of his prothe propriety of expenditures of those posed action and, in connection theregrant funds.

with, affords such agency a reasonable (c) Amendments. The administration opportunity for a hearing on whether of the program carried out under Title the affected plan or amendment meets VI of the Act shall be kept in conformity such requirements. with the approved State plan. When- (h) Withholding. Whenever the Comever there is any material change in the missioner, after reasonable notice and content or administration of the pro- opportunity for a hearing, finds (1) that gram or when there has been any change the State plan fails to comply with the in pertinent State law or in the organi- requirements of Title VI of the Act and zation, policies, or operations of the the regulations in this part, or (2) that in State educational agency affecting the the administration of the plan there is program under the plan, the plan shall a failure to comply substantially with be appropriately amended.

any such requirements, the Commis(d) Submission. Each State plan and sioner will notify the State educational all amendments thereto shall be sub- agency that the State will not be remitted to the Commissioner by a duly garded as eligible to participate in acauthorized ofiicer of the State educa- tivities under Title VI of the Act until he tional agency. Each State plan shall in- is satisfied that there is no longer any dicate the official authorized to submit such failure to comply. plan materials.

(i) Effective date of State plan. The (e) Certificate by the State educa- State plan shall indicate the date on tional agency. Each State plan and each

which it shall become effective, which amendment thereto shall include as an shall in no event be earlier than the date attachment a certificate by the officer on which the State plan is received in of the State educational agency author- substantially approvable form by the ized to submit the plan to the effect that

Commissioner. the plan or amendment has been adopt

§ 121.3 Administration by the State eded by the State educational agency and

ucational agency. that the plan, or plan as amended, will constitute the basis for operation and

(a) Designation of State educational administration of the activities to be

agency as sole agency. Each state plan carried out in that State under Title

shall give the official name of the State VI of the Act.

educational agency and provide that the

State educational agency will be the sole (f) Certificate by the State Attorney General or other appropriate State legal

agency for administering of supervis

ing the administration of the plan. officer. Each State plan shall also in

(b) Authority and organization. Each clude, as an attachment, a certificate by the State Attorney General or other

State plan shall set forth the authority appropriate State legal officer to the

of the State educational agency under effect that the State educational agency

State law to submit the plan and to adhas authority under State law to submit minister or supervise the administration the plan and to administer or to super- of the plan and shall describe both the vise the administration of the plan; that legal and functional relationships be

tween and among the State educational projects to be administered by local eduagency, other State agencies, and local cational agencies; and in assisting and educational agencies for the purpose of supervising the administration of apcarrying out the State plan. Citations to, proved programs and projects. The State or copies of, all directly pertinent statutes plan shall indicate the extent to which and interpretations of law made by ap two or more local educational agencies propriate State officials, whether done by may enter into agreements and submit regulation, policy statement, opinion of applications for carrying out jointly opan appropriate State legal officer, or a erated programs and projects under court decision, shall be furnished as part Title VI of the Act. of the plan or in the appendix thereto. All copies shall be certified as correct

§ 121.4 Needs of handicapped children. copies by an appropriate official.

(a) Each State plan shall provide that (c) Staf for administration. The State the programs and projects initiated, explan shall describe, by chart or other panded, and improved with funds under wise, the organization of the State edu Title VI of the Act will be designed to cational agency for administration of the meet the special educational and related State plan. The lines of authority within needs of handicapped children throughthe administrative unit or units respon out the State. sible for the programs under the plan (b) In order to meet the special edushall be shown, together with pertinent cational and related needs of handiadministrative arrangements or rela capped children, programs and projects tionships of such unit or units to the rest under Title VI of the Act must provide of the State educational agency, and to (1) educational services to handicapped other State and local public agencies uti children which are in addition to, or lized to carry out the State plan.

distinct from, educational services pro(d) Duties and qualifications of pro vided to children who are not handifessional personnel. Each State plan shall capped, or (2) other services which are describe the duties of State administra directly related to the provision of edutive and supervisory positions, existing cational services and are designed to and proposed, under the State plan. The overcome or ameliorate the handicaps of plan shall also set forth the required handicapped children, but only to the qualifications for all professional admin extent such other services are necesistrative and supervisory positions under sary to enable handicapped children to the State plan. If State statutes or regu benefit from the educational services lations establish such positions and give available to them, or (3) both. such information, the plan shall so state.

$ 121.5 Description of present program. (e) Advisory committees. If State advisory committees are used with respect Each State plan shall include (a) a to one or more aspects of the State plan,

quantitative and qualitative description the plan shall describe the membership, of present programs and projects for the method of establishment, and duties of education of handicapped children in the such advisory committees.

State, and (b) a quantitative and quali(f) Administration and supervision of tative description of programs and projprograms and projects. Each State plan ects which require initiation, expansion, shall provide that programs and projects

and improvement in order to meet the initiated, expanded or improved under special educational and related needs of Title VI of the Act will be administered all handicapped children in the State. either (1) directly by the State educa 8 121.6 Standards. tional agency to the extent consistent with he limitations in § 121.25, or (2) by

(a) Each State plan shall provide that local educational agencies with the ap

the programs or projects initiated, exproval and under the supervision of the

panded, and improved with Federal State educational agency. These include

funds under Title VI of the Act will be of interdistrict, intercounty, regional,

sufficient size, scope, and quality (takState-local, and interstate projects or

ing into consideration the special educaprograms. The State plan shall describe tional and related needs of such children the policies and procedures to be followed described in $$ 121.4 and 121.5) as to by the State educational agency in ini give reasonable promise of substantial tiating, approving, and conducting its progress toward meeting those needs. own programs and projects; in initiating, (b) Each State plan shall set forth reviewing, and approving programs and standards relating to the size, scope, and

Office or State agency receiving the officer or employee on assignment with respect to the internal operation and management of the receiving agency (for example, hours of duty, building rules, and operating procedures) shall govern the employment and conduct of such employee or officer except as otherwise provided in the agreement through mutual consent.

(4) Each agreement for the assignment of an officer or employee may contain any other provisions not in violation of the Act or the regulations in this part which the Office or state agency finds necessary to carry out the assignment provided for therein and which are mutually acceptable. $ 120.8 Modification of agreement.

Each agreement for an assignment of personnel between the Office and a State agency may be shortened, extended, or otherwise modified upon the mutual agreement of both parties. Such modifications shall be in accordance with section 507 of the Act and the regulations in this part. & 120.9 Termination of agreement.

Each agreement for an assignment of personnel between the Office and a State agency may be terminated by mutual consent or upon 60 days' notice by either party of its intention to terminate the agreement. § 120.10 Reports and evaluation.

The parties to each agreement shall adopt such procedures and make such reports as the Commissioner may find necessary for the evaluation of the progress of assignments under the agreement in light of the purpose stated in section 507(b) of the Act and $ 120.2. Such procedures and reports shall include, but not be limited to, (a) periodic consultations between the Office and the State agency, (b) exchange of reports, and (c) maintenance of records supporting such reports and mutual access thereto.

Subpart BState Plan General Provisions Sec. 121.2 State plan. 121.3 Administration by the State educa

tional agency. 121.4 Needs of handicapped children. 121.5 Description of present program. 121.6 Standards. 121.7 Provision of services to handicapped

children enrolled in private schools. 121.8 Measurement of educational achieve.

ment and evaluation of programs. 121.9 Dissemination and utilization of re

sults of educational research and

demonstrations. 121.10 Coordination with other public and

private programs and projects. 121.11 Reports and records.

Subpart C-Federal Financial Participation 121.21 General. 121.22 Allowable expenditures. 121.23 Title to and control over property

and funds, 121.24 Construction. 121.25 State-supported or State-operated

schools for handicapped children. 121.26 Use of Federal funds and liquidation

of obligations by State or local edu

cational agencies. 121.27 State fiscal control and audit. 121.28 Custody and expenditures of funds. 121.29 Transfer of funds to local agencies. 121.30 Proration of costs. 121.31 Maintenance of level of support. 121.32 Retention of records. 121.33 Inventories of equipment. 121.34 Adjustments. 121.35 Financial interest of omcials. 121.36 Copyrights and patents.

Subpart Payment Procedures 121.41 Financial reports. 121.42 Payment of funds under Title VI of

the Act. 121.43 Withholding of funds. 121.44 Reallotment.

AUTHORITY: The provisions of this Part 121 issued under sec. 703, 79 Stat. 57, as renumbered by sec, 161, 80 Stat. 1204, 20 U.S.C. 883. Interpret or apply secs. 601-610, 80 Stat. 1204–1208, secs. 701, 703-705, 79 Stat. 55–58, 80 Stat. 1196, 1197; 20 U.S.C. 871, 881, 883-885.

SOURCE: The provisions of this Part 121 appear at 32 F.R. 11434, Aug. 8, 1967, unless otherwise noted.

Subpart A-Definitions § 121.1

Definitions. As used in this part:

(a) “Acquisition" includes purchase, lease, or lease-purchase.

(b) "Act” means the Elementary and Secondary Education Act of 1965 (Public Law 89-10), as amended.

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