Page images


ain standards of education and experi- munity Action programs, Work Expe-nce and other requirements in relation rience programs, VISTA, Work Study o the duties to be performed. If a merit programs, Manpower Development and system exists in the State, the plan shall Training programs, Vocational Educadescribe the requirements of such sys- tion programs, and other programs reem for such personnel.

lating to the antipoverty effort (see

$ 166.11); 3 166.7 State and local advisory committees.

(d) Whether and to what extent a

program will utilize qualified instrucThe State plan shall contain a state

tional staff, adequate facilities, equipment of the policies and procedures to be

ment, materials, and guidance and counused in establishing State and local ad

seling services; visory committees on adult basic edu

(e) Whether and to what extent a cation in order to improve reporting of

program will provide health information State and local administration of pro

and services to the extent available grams and to assure that State plan pro

through cooperative arrangements with grams are meeting the needs of the

State health authorities; Community. The State plan shall indi

(f) Whether and to what extent a procate whether State and local advisory

gram makes provision for effective recommittees are existing groups or es

cruiting of adults for enrollment; pecially established for these purposes

(g) Whether and to what extent a and the respective natures thereof.

program will provide for the use of per8 166.8 Program.

sonnel in college work study programs, The State plan shall contain a state

VISTA, and other antipoverty programs; ment of the policies, procedures, criteria,

(h) Whether and to what extent a and priorities to be followed by the State program incorporates the results of reagency in approving local educational

search, or techniques which have been agency programs which will assure sub- proven effective; stantial progress (with respect to all seg

(i) Whether and to what extent a ments of the adult population and all program incorporates innovative areas of the State) in the establishment imaginative instructional methods; and or expansion of adult basic education (j) Whether and to what extent a programs. Such criteria and priorities program provides for effective adminisshall be designed to assure that first tration and supervision by the local edupriority will be given to programs which

cational agency to assure eficient and provide for instruction in speaking, read- economical operation. ing, or writing the English language for $ 166.10 Cooperative arrangements bepersons functioning at the fifth grade tween State educational agency and level or below. Second priority will be State health authority. given to such instruction for persons

The State plan shall provide for cofunctioning above the fifth and through the eighth grade level.

operative arrangements between the

State educational agency and the State $ 166.9 Program criteria.

health authority authorizing the use of In establishing such criteria, the State

such health information and services for agency shall give consideration to factors

adults as may be available from such such as the following:

agencies and as may reasonably be nec(a) Whether and to what extent a

essary to enable them to benefit from the program will serve adults in those geo

instruction provided pursuant to the Act. graphic areas of the State which have § 166.11 Cooperation in antipoverty high concentration of adults in need of

efforts. basic education;

The State plan shall set forth the poll(b) Whether and to what extent a

cies and procedures which the State program will serve adults with the great

agency will follow prior to approving est basic education deficiencies which

local educational agency programs, and are impairing their ability to obtain em

special projects, teacher-training, or reployment and become more productive

search grants to assure maximum coopand responsible citizens;

eration of effort with Community Action (c) Whether and to what extent a pro- programs, Work Experience programs, gram has been planned and/or will be VISTA, Work Study, and other programs conducted in cooperation with Com- relating to the antipoverty effort and to

ascertain that there is no unnecessary duplication of other programs offering adult basic education or teacher training for such programs. $ 166.12 Special projects, teacher train.

ing and research. The State plan shall describe the policies, procedures, criteria and priorities which the State agency will follow in making grants for adult basic education to public and private nonprofit agencies for special projects, teacher training and research. The State plan shall set forth the criteria and priorities it will use to assure that priority will be given to special projects, teacher training, and research programs related to speaking, reading, or writing the English language at the eighth grade level or below. The State plan shall state whether the State agency is prohibited under State law from making such grants to private nonprofit agencies and, if so, the basis for this determination. $ 166.13 Siate fiscal control and ac

counting procedures. (a) General. The State plan shall set forth such fiscal control and fund accounting procedures as may be necessary to assure proper disbursement of funds paid to the State, including funds paid by the State to local educational agencies; funds paid by the State to public and private nonprofit agencies for special projects, teacher training, and research; and all matching funds. Such procedures shall be in accordance with applicable State laws and regulations which shall be cited in the plan. In addition, the State plan shall specify the particular accounting basis (cash, accrual, or obligation) to be used by the State agency and cite the authority under State and local laws, rules, and regulations for such basis. If the State or local agency utilizes other than a cash accounting basis, the State plan shall indicate the time period or other conditions governing the liquidation of obligations. Accounts and supporting documents relating to any adult basic education programs involving Federal financial participation shall be adequate to permit an accurate and expeditious audit of the program. (b) Audit of expenditures.

All expenditures claimed for Federal financial participation shall be audited either by the State, a State-authorized audit agency, or by an independent certified public accountant. The State plan shall indi

cate how the expenditures of local educational agencies and other agencies participating under the State plan wil be audited; and, if the audit is to be carried out by other than the State or its authorized audit agency, how the State agency will secure such information. $ 166.14 Disbursement of funds.

The State plan shall state whether funds are paid to participating agencies under the plan on the basis of either (a. a reimbursement for actual expenditures already made, (b) an advance prior to the expenditure of funds, or (c) both. § 166.15 Policies and procedures for

State agency administrative review

and evaluation. The State plan shall contain a statement of the policies and procedures to be followed by the State agency in making periodic, systematic and objective ad. ministrative reviews and evaluations in order to evaluate the status and progress of the program in terms of the overal objectives stated in the plan. § 166.16 Reports.

The State plan shall provide that the State agency will make and submit to the Commissioner the reports described in § 166.47; and that the State agency will maintain records in support thereof as required under $ 166.40. $ 166.17 Amendment.

The State plan shall provide that is will be amended to reflect any material changes in the program provided for by such plan, any changes in pertinent State law, or any changes in the designation or organization of operations, policies, and methods of administration to be followed by the State agency; and that amendments will be submitted and certified in the same manner as the State plan. $ 166.18 Certification of the State plan.

(a) Certification by State agency The State plan and all amendments thereto shall include a certification by the officer of the State agency authorized to submit the State plan that the plan or amendment has been adopted by the State agency and that the plan, or plan as amended, will constitute the basis for operation and administration of the program in which there is Federal financial participation.

(b) Certification by State Attorney General. (1) The State plan and all

amendments thereto shall include a cer- pended under an approved State plan tification by the State's Attorney Gen- or amendments. Absent any contrary eral, or other official designated in ac- notification, the date on which the State cordance with State law to advise the plan or amendments thereto shall be State agency on legal matters, that all considered to be in effect is the date of plan provisions and amendment thereto approval by the Commissioner, but in no are consistent with State law. He shall event shall such effective date precede further certify the official title of the of- the date on which the State plan or ficer authorized to submit the State plan; amendment was received by the Comthat the State agency named in the plan missioner. The State agency will be has authority under State law to submit apprised of the effective date in the nothe State plan; that the State Treasurer tice of approval sent to the State agency (or, if here be no State Treasurer, the by the Commissioner. officer identified by title exercising sim

$ 166.28 Condition precedent to receive ilar functions for the State) has author

ing Federal funds. ity under State law to receive, hold, and disburse Federal funds under the State

Before a State may receive a payment plan.

from its allotment under section 304(b) (2) There shall be included as part of

of the Act, the Commissioner must find, the plan copies of, or citations to, all pursuant to section 307(b) of the Act, pertinent laws and interpretations of

that there will be available for expendilaws by appropriate State officials or

ture by the State including its political courts relevant to the State plan provi

subdivisions, for basic education for sions. All such copies or citations shall

adults, from non-Federal sources during be certified to be correct by the Attorney

the fiscal year for which the allotment General or other appropriate State of

is made, an amount equal to not less than ficial.

the total amount expended for such pur

poses from such sources during the preSubpart - Federal Financial

ceding fiscal year. The information Participation

received under $ 166.47 (a) and (b) shall § 166.25 Federal payments to a State.

serve as the basis of the Commissioner's

finding. The Commissioner will determine the amount of each State's allotment in ac

$ 166.29 Limitations. cordance with the provisions of section (a) No payment may be made from a 305 (a) of the Act. Payments will be State's allotment under the Act for any made only after approval of the State

educational program, activity or service plan and the submission of estimates and

related to sectarian instruction or relireports required under section 306(a) (6) of the Act and 166.47 (a) and (b),

gious worship or any adult basic educaPayments will be made in advance or by

tion program provided by a school or way of reimbursement, at such time or

department of divinity, as defined in times and in such installments as the

$ 166.1(k). An institution which has a Commissioner may determine, after nec

school, branch, department or other adessary adjustment on account of any ministrative unit within the definition of previously made overpayment or under- "school or department of divinity” is not payment.

precluded for that reason from partici$ 166.26 Approval of State plan.

pating in the program described in SubThe Commissioner shall approve a

part B of this part if the adult basic State plan which he determines complies

education program is not offered by that with the applicable provisions of the Act

school, branch, department, or adminisand the regulations, and shall so notify

trative unit and, as in all other cases, the the State agency. The Commissioner adult basic education program is not reshall not finally disapprove a State plan lated to sectarian instruction or religious or amendment thereto without first af- worship. fording the State reasonable notice and (b) Adults enrolled in an adult basic opportunity for a hearing.

education program conducted under $ 166.27 Effective dates of State plan Subpart B of this part may not be and amendments.

charged tuition, fees, or any other Federal financial participation is avail- charges, or be required to purchase any able only with respect to amounts ex- books or any other materials.

$ 166.30 Allotment availability.

in which the expenditure was incurred. Federal allotments to a State under the

State and local laws and regulations shall Act are available with respect to eligible

determine when an expenditure by the expenditures during the Federal fiscal

State agency or participating entity is

incurred. year for which funds are allotted. $ 166.31 Reallotments.

& 166.35 Disposition of equipment. The amount of any State's allotment

(a) Whenever Items of equipment, for any fiscal year under section 305(a)

each initially costing $100 or more, in of the Act which the Commissioner de

which cost the Federal Government has termines will not be required during that

participated are sold or no longer used fiscal year for carrying out that State's

for the purpose authorized by the Act, plan may be reallotted by the Commis

the Federal Government shall be credsioner on such dates during such year as

ited with its proportionate share of the he may fix, to other States for carrying

value of such equipment, the value being out their plans in the same proportion as

determined on the basis of the sale price the original allotments were made for

in the case of a bona fide sale or on the such purposes to such other States in the fair market value in the case of disconmanner provided for in section 305(b) tinuance of use or diversion for other of the Act. Any amounts reallotted shall

than State plan purpose. be determined by the Commissioner on

(b) Inventories and records are rethe basis of (a) reports filed by the States

quired to be kept for all items of equipof the amounts required to carry out the

ment referred to in paragraph (a) of this State plan and (b) such other informa

section. The state agency is responsible tion as he may have available. Any

for having available in the State agency's amounts reallotted shall be deemed part

office information sufficient for a deterof the State's allotment for that fiscal

mination of whether such equipment

continues to be used for a purpose proyear.

vided for under the Act. 166.32 Federal and State shares of eligible expenditures.

$ 166.36 Proration of costs. (a) Federal share. The Federal share

Federal financial participation is of expenditures to carry out a State plan

available only with respect to that porshall be paid from a State's allotment tion of any eligible costs as defined in available for grants to such State; and,

§ 166.41 attributable to carrying out the for the fiscal year ending June 30, 1967, provisions of an approved State plan. and the succeeding fiscal year, the Fed

Prorated salaries and wages must be eral share for each State shall be 90 per

documented to show the time spent in centum.

carrying out the activities under the (b) Limitation. The expenditures

State plan and the percentage of time which are to be considered in computing spent on each other activity. The State the amount of Federal financial partici- and all recipients of Federal funds unpation under a State plan are only those der the State plan shall maintain recwhich are made by the State or any par

ords, documented on an after-the-fact ticipating agency in furtherance of the basis, to substantiate the proration of purpose of the Act and which do not in- expenditures for applicable items such ure to the personal benefit of any donor. as salaries, travel, rental, supplies, and

equipment. 8 166.33 State laws governing expenditures.

§ 166.37 Adjustments. Federal financial participation under The State agency shall adjust its acthe State plan shall be available only for counts, records, and reports to reflect rethose eligible costs for which State or funds, credits, underpayments, or overlocal funds are expended or authorized payments, as well as any adjustments to be expended under applicable State resulting from Federal or State adminand local laws, rules, regulations, and istrative reviews and audits. Such adstandards.

justments shall be set forth in the State's 8 166.34 Determination of fiscal year's

financial reports filed with the Commis

sioner. allotment to which an expenditure is chargeable.

§ 166.38 Interest on Federal funds. An expenditure made under the Act In the event that any interest is will be charged to that Federal fiscal year earned on Federal funds, such interest arnings shall be refunded to the U.S. (b) Employer's contribution to rePrice of Education. The State agency tirement, health, workmen's compensa

all submit as a part of each annual tion, and other welfare funds mainnancial report a statement showing the tained for employees. For employees of mount of interest earned on Federal the State agency, the retirement fund sunds by the State and participating contributions may be computed in congencies during that fiscal year.

formity with State laws or regulations

governing the State's share of such con166.39 Fiscal audits.

tribution; Audit agencies representing the De- (c) Fees and approved expenses of artment will audit the program records consultants and other persons or groups

vailable at the State agency to deter- acting in an advisory capacity; aine whether the Federal program funds (d) Expenses connected with commitzave been properly accounted for and tees, workshops, and conferences: dministered. Audit reports of the par- (e) Travel expenses of staff and conicipating agencies and State review and

sultants thereto, in accordance with es-ther control procedures will be evalu- tablished appropriate State, local, or in-ted to determine the adequacy of infor- stitutional travel regulations and limination upon which to base the audit tations; indings. Only where the available in- (f) Communications costs; Formation is deemed to be inadequate (g) Supplies, printing, and printed will the auditor arrange, through the materials, including processed instrucState agency, to audit the records of the tional films; participating agencies.

(h) Rental of, or, where economically s 166.40 Retention of records.

justified, purchase of office and program

equipment; (a) General rule. The State agency

(i) Rental of space (including the cost shall provide for keeping accessible and

of utilities and custodial services) if: The ntact all records supporting claims for

cost does not exceed comparable rental Federal grants or relating to the account

on a square foot basis in the particular ability of the State agency or any other

locality for the period of occupancy; the agency participating under the plan for

expenditures represent an actual cost; the expenditure of such grants, expendi

and like charges are made to other agenture of matching funds, and records sup

cies occupying similar space for similar porting maintenance of effort. Such

purposes. Rental for space in any buildrecords shall be kept (1) for 3 years after

ing to the extent constructed with funds the close of the fiscal year in which the

obtained from the Federal Government expenditure was liquidated, (2) until

or with funds expended for matching notification that such records are not

purposes under any Federal program is needed for program administrative re

not an allowable cost beyond the cost of view, or (3) until notification of the com

utilities and custodial services; pletion of the Federal fiscal audit, which

(j) Minor remodeling of space in pubever is the latest.

licly owned buildings to the extent that (b) Questioned expenditures. The rec

such costs are not included in rental; and ords pertaining to any claim or expendi

(k) Utilities and custodial services to ture which has been questioned at the

the extent not included in any other item time of audit shall be maintained until

of this section. necessary adjustments have been reviewed and cleared by the Department of $ 166.42 Effect of Federal payments. Health, Education, and Welfare.

Neither the approval of the State plan, $ 166.41 Eligible costs.

the issuance of a Letter of Credit, the

approval of withdrawals thereunder, nor To the extent that they are reasonably

the making of any direct payments to the necessary for and attributable to carry

State shall be deemed to waive the right ing out the State plan, the eligible costs

or duty of the Commissioner to withhold may at the discretion of the State agency

funds by reason of the failure of the include the following:

State to observe any Federal require(a) Salaries of the professional and ments set out in the Act or regulations clerical staff, including all amounts de

related thereto or any other relevant ducted or withheld as contributions to Federal Act or Order, either before or retirement, health, or other welfare ben- after such administrative action respectefit funds maintained for such staff; ing payment.

379 86-096468425

« PreviousContinue »