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der Title VI of the Act shall provide for keeping accessible and intact all records supporting claims for Federal funds under Title VI of the Act or relating to the accountability of the grantee for the expenditure of such funds:

(1) For 3 years after the close of the fiscal year in which the expenditure was made; or

(2) Until the State educational agency is notified that such records are not needed for administrative review, whichever is the later.

(b) Questioned expenditure. The records involved in any claim or expenditure which has been questioned shall be further maintained until necessary adjustments have been made and such adjustments have been reviewed and approved by the Department of Health, Education, and Welfare. $ 121.33 Inventories of equipment.

(a) Each State and local educational agency shall maintain an inventory of all equipment acquired with funds under Title VI of the Act and placed in the temporary custody of persons in a private school. Such inventories shall be maintained until the equipment is discharged from such custody, and, if costing $100 or more per unit, for the expected useful life of the equipment or until its disposition.

(b) Each State educational agency and each local educational agency shall n.aintain inventories of all other equipment acquired by it with funds under Title VI of the Act, and costing $100 or more per unit, for the expected useful life of the equipment or until its disposition.

(c) The records of inventories required by this section shall be subject to the retention requirements of § 121.32.

(d) All proceeds from the sale of property for which an inventory is being maintained pursuant to the provisions of this section, and the net proceeds from the rental of such property, shall be credited to the Federal Government. & 121.34 Adjustments.

The State agency in its maintenance of program expenditure accounts, records, and reports shall promptly make any necessary adjustments in its records to reflect refunds, credits, underpayments, or overpayments, as well as any adjustments resulting from Federal or State administrative reviews and audits. Such adjustments shall be set forth in

the State agency's financial reports filed with the Commissioner. § 121.35 Financial interest of officials.

No board or staff member of a State or local educational agency may participate in an administrative decision with respect to a program or project under Title VI of the Act if such a decision can be expected to result in any benefit or remuneration, such as a royalty, commission, contingent fee, brokerage fee, or other benefit, to him or any member of his immediate family. § 121.36 Copyrights and patents.

(a) Any material of a copyrightable nature produced with financial assistance under Title VI of the Act shall be subject to such copyright policy of the U.S. Office of Education as is in effect at the time.

(b) Any materials of a patentable nature produced through a project with financial assistance under Title VI of the Act shall be subject to the provisions of 45 CFR Parts 6 and 8.

Subpart D-Payment Procedures § 121.41

Financial reports. Each State agency shall submit, in accordance with procedures established by the Commissioner:

(a) Following the end of the fiscal year, a report of the total expenditures made under the State plan during the fiscal year; and

(b) Such other reports as are needed. § 121.42 Payments of funds under Title

VI of the Act. Funds paid under Title VI of the Act for amounts expended by a State to carry out its State plan will be limited to the amount necessary to meet current needs for disbursement. § 121.43 Withholding of funds.

Neither the approval of the State plan nor any payment to the State pursuant thereto shall be deemed to waive the right or duty of the Commissioner to withhold funds by reason of the failure of the State to observe, before or after such administrative action, any Federal requirements. $ 121.44 Reallotment.

(a) General. The amount of any State's allotment under Title VI of the Act for any fiscal year which the Commissioner determines will not be required

for such fiscal year shall be available Subpart HFederal Financial Participation for reallotment, from time to time, on

Sec. such dates during such year as the Com- 130.68 Federal payments to a State. missioner may fix, to other States in 130.69 Approval of State plan. proportion to the original allotments to 130.70 Effective dates of State plan and such States under Title VI of the Act


130.71 Allotment availability. for that year but with such proportionate

130.72 Reallotments. amount for any of such other States be

130.73 Federal and State shares of eligible ing reduced to the extent it exceeds the

expenditures. sum the Commissioner estimates such 130.74 State laws governing expenditures. State needs and will be able to use for 130.75 Determination of fiscal year's allotsuch years and the total of such reduc

ment to which an expenditure is tions shall be similarly reallotted among

chargeable. the States whose proportionate amounts

130.76 Construction contract provisions.

130.77 Special construction considera, were not so reduced.

tions—Evaluation of flood hazards. (b) Statements of anticipated need. In

130.78 Special construction consideraorder to provide a basis for reallotment

tions-Physically handicapped perby the Commissioner under Title VI of

sons. the Act, each State agency administer- 130.79 Competitive bidding and equipment ing a program under Title VI of the

procurement. Act shall, if requested, submit to the 130.80 Disposition of facilities, equipment Commissioner by such date or dates as

or land.

130.81 Proration of costs. he may specify a statement or state

130.82 Adjustments. ments showing the anticipated need dur

130.83 Interest on Federal funds. ing the current fiscal year for the amount

130.84 Fiscal audits, previously allotted, or any amount 130.85 Retention of records. needed to be added thereto. The state- 130.86 Eligible costs. ment or statements shall contain such 130.87 Condition precedent to receiving further information as the Commissioner

Federal funds. may request for the purpose of making

130.88 Special limitations on use of funds.

130.89 Submission of reports. reallotments.

130.90 Effect of Federal payments.

130.91 Noncompliance. PART 130— FINANCIAL ASSISTANCE 130.92 Right to hearing and judicial review, FOR PUBLIC LIBRARY SERVICES,


Termination of program.


AUTHORITY: The provisions of this part

130 issued under sec. 8, 70 Stat. 295, as AND SPECIALIZED STATE LIBRARY amended and renumbered sec. 302, 78 Stat. SERVICES

14, as further amended and renumbered sec.

502, 80 Stat. 317, 20 U.S.C. 357. Subpart A-Definitions

SOURCE: The provisions of this Part 130

appear at 32 F.R. 2946, Feb. 16, 1967, unless 130.1 Definitions.

otherwise noted. Subpart BState Plans

Subpart A-Definitions 130.2 State plan purposes. State plan provisions.

$ 130.1 Definitions. Subpart C-Public Library Services

As used in this part:

(a) "Act” means the Library Services 130.13 State plan requirements—Title I.

Act, Public Law 84–597, as amended by Subpart D-Public Library Construction Public Law 84-896; Public Law 86-679; 130.25 State plan requirements-Title II. Public Law 87–688; Public Law 88,269

(as renamed, the Library Services and Subpart E-Interlibrary Cooperation

Construction Act); and Public Law 89– 130.38 State plan requirements—Title III. 511 (20 U.S.C. Chap. 16). Subpart State Institutional Library Services

(b) "Commissioner" means the U.S. 130.48 State plan requirements-Title IV,

Commissioner of Education.
Part A.

(c) “Department” means the U.S. DeSubpart — Library Services to the Physically

partment of Health, Education, and Handicapped

Welfare. 130.58 State plan requirements—Title IV, (d) “Geographic area (s),” for the Part B.

purpose of subpart C, means all or part

86-096-68- -20



and curricular information had been analyzed and disseminated before; or (3) by adopting a new and different type of analysis of processing, makes use of information hitherto collected for an entirely new and different purpose, e.g., the use of electronic equipment to analyze and show the relationship between educational progress and attendance, or health, or physical training, or participation in organized sports, or certain types of physical handicaps of children, or the social or educational background of teachers, etc. An evaluative study undertaken in connection with the State plan to determine ways of improving the State agency's program for providing educational statistics may also qualify as a new program within the meaning of this section.

(b) Addition or expansion. An addition to or expansion of an existing program is a plan of operations, and the activities to carry out such plan, which involve additional expenditures by the State educational agency for statistical services of the types set forth in section 1009(b) of the Act, over and above those hitherto expended for like services, and does one or more of the following: (1) provides for collecting and disseminating increased amounts of data about educational areas in which the agency is already making data available; (2) provides for recording, collecting, or disseminating types of data about educational areas in which such types of data are not available; (3) increases the usefulness of educational data by making it more current; (4) increases the usefulness of educational data by improving its quality; or (5) increases the usefulness of collected data through improved analysis. (See also $ 140.10.)

(c) Time basis for measurement. Whether a program is "new" or an "addition to" or "expansion of” an existing program will, for the fiscal year 1959, be measured against the activities being carried on by the State educational agency prior to September 2, 1958. For programs submitted for approval after fiscal year 1959, such improvement or increase will be measured against the activities being carried on by the State educational agency prior to the first day of the fiscal year in which the program was submitted for approval. $ 140.4 State agency for administration.

(a) Designation. The State plan shall give the official name of the agency

which will be the sole agency for administering the plan. Such agency shall meet the criteria set forth in 140.1(e) defining “State educational agency.".

(b) Organization. The State plan shall indicate the administrative unit(s) within the State agency that will be responsible for administering the program(s) set forth in the plan. $ 140.5 Authority of State agency.

The State plan shall set forth the authority of the State agency under State law to submit the State plan and to administer the program(s) set forth therein. Citations to, or copies of, all directly pertinent statutes and interpretations of them by the appropriate State officials, whether by regulations, policy statements, opinions of the Attorney General, or court decisions, shall be furnished as a part of the plan. All copies must be certified as correct by an appropriate official. § 140.6 Custody of funds.

The State plan shall designate the officer who will receive and provide for the custody of funds to be expended under applicable State laws and regulations on requisition or order of the State agency. $ 140.7 Records.

(a) Fiscal administration. The State plan shall describe the fiscal administration of the plan. Such administration shall be conducted in accordance with applicable State laws, policies, and procedures, which shall be identified in the plan or set forth in an appendix. ACcounts and supporting documents relating to any program involving Federal participation shall be adequate to permit an accurate and expeditious audit of the program.

(b) Disposal of records. The State educational agency shall provide for keeping accessible and intact all records supporting claims for Federal grants of relating to the accountability of the grantee agency for expenditure of such grants and relating to the expenditure of matching funds: (1) For three year after the close of the fiscal year in which the expenditure was made by the State educational agency; or (2) until thi State agency is notified that such record are not needed for program administra tion review; or (3) until the Stat agency is notified of the completion of

the Department's fiscal audit, whichever penditure which is attributable to the is later.

new, added, or expanded aspects of a (c) Questioned expenditure. The rec program under the State plan. The ords involved in any claim or expendi State plan shall specify the basis for ture which has been questioned shall identifying and prorating expenditures be further maintained until necessary not attributable solely to such plan adjustments have been made and the activities. adjustments have been reviewed and

$ 140.11 Effective date of plan. cleared by the Department. (d) Records of equipment. Where

Since the Federal Government particnonconsumable equipment which costs

ipates only in amounts expended under $10 or more per unit is purchased by the

the State plan, there can be no Federal State with Federal financial participa

participation in any expenditures made tion, inventories and other records sup

before the plan is in effect. For the

purposes of this section the earliest date porting accountability shall be maintained until the State agency is notified

on which a plan may be considered to

be in effect is the date on which it is of the completion of the Department's review and audit covering the disposition

recelyed in substantially approvable form of such equipment.

by the Commissioner. § 140.8 Reports.

§ 140.12 Use of State rule in determin

ing the fiscal year's allotment to The State plan shall provide that the which an expenditure is chargeable. State agency will participate in such pe

Each allotment to a State under secriodic consultations and will make such

tion 1009 of the Act is made with respect reports to the Commissioner, at such

to a fiscal year commencing on July 1 time, in such form, and containing such

and ending the following June 30. State information as the Commissioner may

laws and regulations shall be followed consider reasonably necessary to enable

by the States in determining to which him to perform his duties under section

fiscal year an expenditure by the State 1009, and will comply with such provi

educational agency is chargeable for the sions as he may find necessary to assure

purpose of earning the allotment. Each the correctness and verification of such

State, therefore, shall use the accountreports.

ing basis (cash, accrual or obligation) Subpart C-Federal Financial applicable to its State accounting. Participation and Payment § 140.13 Submission of annual estimates

and reports. $ 140.9 Federal participation.

(a) For each Federal fiscal year, the Section 1009 authorizes payment of one-half (not to exceed $50,000 for each

State agency shall submit upon forms

prescribed and in accordance with profiscal year) of the total sum expended

cedures established by the Commissioner by the State under the State plan. Such expenditures may include salaries and

(1) a description of the specific activi

ties to be carried out for that year in wages, purchase of equipment, rental of equipment, conferences and workshops,

connection with each program set forth

in the plan, and (2) a statement of the travel, printing and reproduction, and

estimated sources of funds and expendiother expenditures that may be readily identified as having been made pursuant

tures to be made in carrying out the

activities for the fiscal year. Expendito the State plan and within the provisions and limitations of section 1009 and

tures which deviate from the details of the regulations in this part. Federal fi

the estimate will not be precluded from

Federal participation if otherwise made nancial participation will be available in

in accordance with the approved plan expenditures made in accordance with

and the regulations in this part. the provisions of the State plan and the

(b) Following the end of each Federal applicable State laws, rules, and regula

fiscal year, the State agency shall subtions, and standards governing the use of State funds.

mit upon forms prescribed and in ac

cordance with procedures established by $ 140.10 Proration of costs.

the Commissioner a report of the total Federal participation is available only expenditures and obligations made under with respect to that portion of any ex the plan during the fiscal year.

to such construction projects, and shall sions. All such copies or citations shall cite the authority under State and local be certified to be correct by the Attorney laws, rules, and regulations.

General or other appropriate State (h) Reports. The State plan shall official. provide that the State agency will make and submit to the Commissioner the re

Subpart C-Public Library Services ports described in § 130.89 of this part; § 130.13 State plan requirementsand that the State agency will maintain Title I. records in support thereof as required (a) Policies, methods and purposes. under $ 130.85.

The State plan shall contain a statement (i) Amendment. The State plan shall

describing the policies and methods of provide that it will be amended to reflect

administration to be followed by the any material changes in the library pro

State agency in using funds made availgram(s) provided for by such plan, any able under its allotment for expenditure changes in pertinent State law, or any under the State plan. The State agency changes in the organization of, opera shall certify that its policies and methods tions of, or policies and methods of ad

of administration will, in its judgment, ministration to be followed by, the State

assure use of such funds to maximum agency; and that amendments will be

advantage in the further extension of submitted and certified in the same man

public library services to geographic ner as the State plan.

areas (1) without such services or (2) (j) Certification of the State plan

with inadequate services. This state(1) Certification by State agency. The ment shall describe the immediate and State plan and all amendments thereto

longrange plans of the State agency in shall include a certification by the officer

establishing or extending public library of the State agency authorized to submit services. the State plan that the plan or amend (b) Priorities and criteria for improvment has been adopted by the State ing public library services. The State agency and that the plan, or plan as plan shall set forth the criteria to be used amended, will constitute the basis for

by the State agency for determining, operation and administration (including, pursuant to section 103(c) of the Act, where applicable, supervision of the ad whether library services are unavailable ministration) of the library programs in or inadequate in any geographic area and which there is Federal financial partici

the priorities which the State agency will pation.

apply in approving participation in the (2) Certification by State Attorney program. General. The State plan and all amendments thereto shall include a certifica

Subpart D-Public Library tion by the State's Attorney General, or

Construction other official designated in accordance

§ 130.25 State plan requirements with State law to advise the State agency Title II. on legal matters, that all plan provisions and amendments thereto are consistent

(a) Criteria, priorities, and procewith State law. He shall further certify

dures. The State plan shall set forth crithe official title of the officer authorized

teria, priorities, and procedures for apto submit the State plan; that the State

proval of projects for construction of agency named in the plan has authority

public library facilities which are deunder State law to submit the State plan

signed to insure that facilities will be and to administer or supervise the ad

constructed to serve areas, as determined ministratiion of the plan, whichever is

by the State agency, which are without applicable; that the State Treasurer (or,

library facilities necessary to develop if there be no State Treasurer, the officer

library services. The State plan shall inidentified by title exercising similar func

clude a statement as to the period of time tions for the State) has authority under

within which construction contracts State law to receive, hold, and disburse

shall be entered into following the State Federal funds under the State plan.

agency's approval of projects.

(b) State hearing. The State plan There shall be included as part of the shall contain the State agency's assurplan copies of, or citations to, all

ance that every local or other public pertinent laws and interpretations of agency whose application for funds laws by appropriate State officials or under the plan with respect to a project courts relevant to the State plan provi for construction of public library facil

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