EDGAR Part 76 Subpart B (How a State Applies for a Grant)
Subpart B_How a State Applies for a Grant
State Plans and Applications
Sec. 76.100 Effect of this subpart.
This subpart establishes general requirements that a State must meet
to apply for a grant under a program covered by this part. Additional
requirements are in the authorizing statute and the implementing
regulations for the program.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[52 FR 27804, July 24, 1987]
Sec. 76.101 The general State application.
A State that makes subgrants to local educational agencies under a
program subject to this part shall have on file with the Secretary a
general application that meets the requirements of section 441 of the
General Education Provisions Act.
(Authority: 20 U.S.C. 1221e-3, 1232d, and 3474)
[52 FR 27804, July 24, 1987, as amended at 60 FR 46493, Sept. 6, 1995]
Sec. 76.102 Definition of ``State plan'' for part 76.
As used in this part, State plan means any of the following
documents:
____________________________________________________________________________
Principal
Document Program Authorizing statute Office
____________________________________________________________________________
State plan........ Assistance to States Part B (except section OSERS
for Education of 619), Individuals with
Handicapped Children. Disabilities Education
Act (20 U.S.C.
1411 - 1420).
Application....... Preschool Grants..... Section 619, Individuals OSERS
with Disabilities
Education Act (20
U.S.C. 1419).
Application.......... Handicapped Infants Part H, Individuals OSERS
and Toddlers. with Disabilities
Education Act (20
U.S.C. 1471 - 1485).
Application or Client Assistance Section 112, Rehabil- OSERS
written request for Program. itation Act of 1973
assistance. (29 U.S.C. 732).
Application.......... Removal of Section 607, OSERS
Architectural Individuals with
Barriers to the Disabilities
Handicapped Program. Education Act (20
U.S.C. 1406).
State plan........... State Vocational Title I, Parts A - OSERS
Rehabilitation C, Rehabilitation
Services Program. Act of 1973 (29
U.S.C. 720 - 741).
State plan supplement State Supported Title VI, Part C, OSERS
Employment Services Rehabilitation Act
Program. of 1973 (29 U.S.C.
795j - 795r).
State plan........... State Independent Title VII, Part A, OSERS
Living Services Rehabilitation Act
Program. of 1973 (29 U.S.C.
796 - 796d).
State plan........... State Vocational Title I, Part B, OVAE
Education Program. Carl D. Perkins
Vocational
Education Act (20
U.S.C. 2321 - 2325).
State plan and State-Administered Section 341, Adult OVAE
application. Adult Education Education Act (20
Program. U.S.C. 1206).
State plan........... Even Start Family Title I, Chapter 1, OESE
Literacy Program. Part B of the
Elementary and
Secondary Education
Act of 1965 (20
U.S.C. 2741 - 2749).
State application.... State Grants for Title II, Part A, OESE
Strengthening Elementary and
Instruction in Secondary Education
Mathematics and Act of 1965, as
Science. amended (20 U.S.C.
2981 - 2993).
State application.... Federal, State and Title I, Chapter 2, OESE
Local Partnership Elementary and
for Educational Secondary Education
Improvement. Act of 1965, as
amended (20 U.S.C.
2911 - 2952 and
2971 - 2976).
State plan or Migrant Education Sections 1201, 1202, OESE
application. Program. Chapter 1, Title I,
Elementary and
Secondary Education
Act of 1965, as
amended (20 U.S.C.
2781 and 2782).
Application.......... State Student Section 415C, Higher OPE
Incentive Grant Education Act of
Program. 1965 (20 U.S.C.
1070c - 2).
Application.......... Paul Douglas Teacher Section 553, Higher OPE
Scholarship Program. Education Act of
1965 (20 U.S.C.
1111b).
Basic State plan, The Library Services Library Services and OERI
long-range program, and Construction Act Construction Act
and annual program. State-Administered (20 U.S.C. 351 -
Program. 355e - 3).
Application.......... Emergency Immigrant Emergency Immigrant OBEMLA
Education Program. Education Act (20
U.S.C. 3121 - 3130).
Application.......... Transition Program Section 412(d) OBEMLA
for Refugee Children. Immigration and
Naturalization Act
(8 U.S.C. 1522 (d)).
Any document that the Any State- Section 408(a)(1), Dept-wide
authorizing statute administered program General Education
for a State- without implementing Provisions Act and
administered program regulations. Section 414,
requires a State to Department of
submit to receive Education
funds. Organization Act
(20 U.S.C. 1221e -
3(a)(1) and 3474).
____________________________________________________________________________
(Authority: 20 U.S.C. 1221e-3 and 3474)
[57 FR 30340, July 8, 1992]
Sec. 76.103 Multi-year State plans.
(a) Beginning with fiscal year 1996, each State plan will be
effective for a period of more than one fiscal year, to be determined by
the Secretary or by regulations.
(b) If the Secretary determines that the multi-year State plans
under a program should be submitted by the States on a staggered
schedule, the Secretary may require groups of States to submit or
resubmit their plans in different years.
(c) This section does not apply to:
(1) The annual accountability report under part A of title I of the
Vocational Education Act;
(2) The annual programs under the Library Services and Construction
Act;
(3) The application under sections 141-143 of the Elementary and
Secondary Education Act; and
(4) The State application under section 209 of title II of the
Education for Economic Security Act.
(d) A State may submit an annual State plan under the Vocational
Education Act. If a State submits an annual plan under that program,
this section does not apply to that plan.
Note: This section is based on a provision in the General Education
Provisions Act (GEPA). Section 427 of the Department of Education
Organization Act (DEOA), 20 U.S.C. 3487, provides that except to the
extent inconsistent with the DEOA, the GEPA ``shall apply to functions
transferred by this Act to the extent applicable on the day preceding
the effective date of this Act.'' Although standardized nomenclature is
used in this section to reflect the creation of the Department of
Education, there is no intent to extend the coverage of the GEPA beyond
that authorized under section 427 or other applicable law.
(Authority: 20 U.S.C. 1231g(a))
[45 FR 22517, Apr. 3, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980,
as amended at 45 FR 86296, Dec. 30, 1980; 50 FR 43545, Oct. 25, 1985; 60
FR 46493, Sept. 6, 1995]
Sec. 76.104 A State shall include certain certifications in its State
plan.
(a) A State shall include the following certifications in each State
plan:
(1) That the plan is submitted by the State agency that is eligible
to submit the plan.
(2) That the State agency has authority under State law to perform
the functions of the State under the program.
(3) That the State legally may carry out each provision of the plan.
(4) That all provisions of the plan are consistent with State law.
(5) That a State officer, specified by title in the certification,
has authority under State law to receive, hold, and disburse Federal
funds made available under the plan.
(6) That the State officer who submits the plan, specified by title
in the certification, has authority to submit the plan.
(7) That the agency that submits the plan has adopted or otherwise
formally approved the plan.
(8) That the plan is the basis for State operation and
administration of the program.
(b) [Reserved]
(Authority: 20 U.S.C. 1221e-3 and 3474)
Sec. 76.106 State documents are public information.
A State shall make the following documents available for public
inspection:
(a) All State plans and related official materials.
(b) All approved subgrant applications.
(c) All documents that the Secretary transmits to the State
regarding a program.
(Authority: 20 U.S.C. 1221e-3 and 3474)
Consolidated Grant Applications for Insular Areas
Authority: Title V, Pub. L. 95-134, 91 Stat. 1159 (48 U.S.C. 1469a).
Sec. 76.125 What is the purpose of these regulations?
(a) Sections 76.125 through 76.137 of this part contain requirements
for the submission of an application by an Insular Area for the
consolidation of two or more grants under the programs described in
paragraph (c) of this section.
(b) For the purpose of Sec. Sec. 76.125-76.137 of this part the
term Insular Area means the Virgin Islands, Guam, American Samoa, the
Trust Territory of the Pacific Islands, or the Commonwealth of the
Northern Mariana Islands.
(c) The Secretary may make an annual consolidated grant to assist an
Insular Area in carrying out one or more State-administered formula
grant programs of the Department.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[47 FR 17421, Apr. 22, 1982, as amended at 54 FR 21776, May 19, 1989; 57
FR 30341, July 8, 1992]
Sec. 76.126 What regulations apply to the consolidated grant
applications for insular areas?
The following regulations apply to those programs included in a
consolidated grant:
(a) The regulations in Sec. Sec. 76.125 through 76.137; and
(b) The regulations that apply to each specific program included in
a consolidated grant for which funds are used.
(Authority: 48 U.S.C. 1469a)
[47 FR 17421, Apr. 22, 1982]
Sec. 76.127 What is the purpose of a consolidated grant?
An Insular Area may apply for a consolidated grant for two or more
of the programs listed in Sec. 76.125(c). This procedure is intended
to:
(a) Simplify the application and reporting procedures that would
otherwise apply for each of the programs included in the consolidated
grant; and
(b) Provide the Insular Area with flexibility in allocating the
funds under the consolidated grant to achieve any of the purposes to be
served by the programs that are consolidated.
(Authority: 48 U.S.C. 1469a)
[47 FR 17421, Apr. 22, 1982]
Sec. 76.128 What is a consolidated grant?
A consolidated grant is a grant to an Insular Area for any two or
more of the programs listed in Sec. 76.125(c). The amount of the
consolidated grant is the sum of the allocations the Insular Area
receives under each of the programs included in the consolidated grant
if there had been no consolidation.
Example. Assume the Virgin Islands applies for a consolidated grant
that includes programs under the Adult Education Act, Vocational
Education Act, and Chapter 1 of the Education Consolidation and
Improvement Act. If the Virgin Islands' allocation under the formula for
each of these three programs is $150,000; the total consolidated grant
to the Virgin Islands would be $450,000.
(Authority: 48 U.S.C. 1469a)
[47 FR 17421, Apr. 22, 1982]
Sec. 76.129 How does a consolidated grant work?
(a) An Insular Area shall use the funds it receives under a
consolidated grant to carry out, in its jurisdiction, one or more of the
programs included in the grant.
Example. Assume that Guam applies for a consolidated grant under the
Vocational Education Act, the Handicapped Preschool and School Programs-
Incentive Grants, and the Adult Education Act and that the sum of the
allocations under these programs is $700,000. Guam may choose to
allocate this $700,000 among all of the programs authorized under the
three programs. Alternatively, it may choose to allocate the entire
$700,000 to one or two of the programs; for example, the Adult
Education Act Program.
(b) An Insular Area shall comply with the statutory and regulatory
requirements that apply to each program under which funds from the
consolidated grant are expended.
Example. Assume that American Samoa uses part of the funds under a
consolidated grant for the State program under the Adult Education Act.
American Samoa need not submit to the Secretary a State plan that
requires policies and procedures to assure all students equal access to
adult education programs. However, in carrying out the program, American
Samoa must meet and be able to demonstrate compliance with this equal
access requirement.
(Authority: 48 U.S.C. 1469a)
[47 FR 17421, Apr. 22, 1982]
Sec. 76.130 How are consolidated grants made?
(a) The Secretary annually makes a single consolidated grant to each
Insular Area that meets the requirements of Sec. Sec. 76.125 through
76.137 and each program under which the grant funds are to be used and
administered.
(b) The Secretary may decide that one or more programs cannot be
included in the consolidated grant if the Secretary determines that the
Insular Area failed to meet the program objectives stated in its plan
for the previous fiscal year in which it carried out the programs.
(c) Under a consolidated grant, an Insular Area may use a single
advisory council for any or all of the programs that require an advisory
council.
(d) Although Pub. L. 95-134 authorizies the Secretary to consolidate
grant funds that the Department awards to an Insular Area, it does not
confer eligibility for any grant funds. The eligibility of a particular
Insular Area to receive grant funds under a Federal education program is
determined under the statute and regulations for that program.
(Authority: 48 U.S.C. 1469a)
[47 FR 17421, Apr. 22, 1982]
Sec. 76.131 How does an insular area apply for a consolidated grant?
(a) An Insular Area that desires to apply for a grant consolidating
two or more programs listed in Sec. 76.125(c) shall submit to the
Secretary an application that:
(1) Contains the assurances in Sec. 76.132; and
(2) Meets the application requirements in paragraph (c) of this
section.
(b) The submission of an application that contains these
requirements and assurances takes the place of a separate State plan or
other similar document required by this part or by the authorizing
statutes and regulations for programs included in the consolidated
grant.
(c) An Insular Area shall include in its consolidated grant
application a program plan that:
(1) Contains a list of the programs in Sec. 76.125(c) to be
included in the consolidated grant;
(2) Describes the program or programs in Sec. 76.125(c) under which
the consolidated grant funds will be used and administered;
(3) Describes the goals, objectives, activities, and the means of
evaluating program outcomes for the programs for which the Insular Area
will use the funds received under the consolidated grant during the
fiscal year for which it submits the application, including needs of the
population that will be met by the consolidation of funds; and
(4) Contains a budget that includes a description of the allocation
of funds--including any anticipated carryover funds of the program in
the consolidated grant from the preceding year--among the programs to be
included in the consolidated grant.
(Approved by the Office of Management and Budget under control number
1880-0513)
(Authority: 48 U.S.C. 1469a)
[47 FR 17421, Apr. 22, 1982, as amended at 53 FR 49143, Dec. 6, 1988]
Sec. 76.132 What assurances must be in a consolidated grant
application?
(a) An Insular Area shall include in its consolidated grant
application assurances to the Secretary that it will:
(1) Follow policies and use administrative practices that will
insure that non-Federal funds will not be supplanted by Federal funds
made available under the authority of the programs in the consolidated
grant;
(2) Comply with the requirements (except those relating to the
submission of State plans or similar documents) in the authorizing
statutes and implementing regulations for the programs under which funds
are to be used and administered, (except requirements for matching
funds);
(3) Provide for proper and efficient administration of funds in
accordance with the authorizing statutes and implementing regulations
for those programs under which funds are to be used and administered;
(4) Provide for fiscal control and fund accounting procedures to
assure proper disbursement of, and accounting for, Federal funds
received under the consolidated grant;
(5) Submit an annual report to the Secretary containing information
covering the program or programs for which the grant is used and
administered, including the financial and program performance
information required under 34 CFR 74.51-74.52 and 34 CFR 80.40-80.41.
(6) Provide that funds received under the consolidated grant will be
under control of, and that title to property acquired with these funds
will be in, a public agency, institution, or organization. The public
agency shall administer these funds and property;
(7) Keep records, including a copy of the State Plan or application
document under which funds are to be spent, which show how the funds
received under the consolidated grant have been spent.
(8) Adopt and use methods of monitoring and providing technical
assistance to any agencies, organizations, or institutions that carry
out the programs under the consolidated grant and enforce any
obligations imposed on them under the applicable statutes and
regulations.
(9) Evaluate the effectiveness of these programs in meeting the
purposes and objectives in the authorizing statutes under which program
funds are used and administered;
(10) Conduct evaluations of these programs at intervals and in
accordance with procedures the Secretary may prescribe; and
(11) Provide appropriate opportunities for participation by local
agencies, representatives of the groups affected by the programs, and
other interested institutions, organizations, and individuals in
planning and operating the programs.
(b) These assurances remain in effect for the duration of the
programs they cover.
(Authority: 48 U.S.C. 1469a)
[47 FR 17421, Apr. 22, 1982, as amended at 64 FR 50392, Sept. 16, 1999]
Sec. 76.133 What is the reallocation authority?
(a) After an Insular Area receives a consolidated grant, it may
reallocate the funds in a manner different from the allocation described
in its consolidated grant application. However, the funds cannot be used
for purposes that are not authorized under the programs in the
consolidated grant under which funds are to be used and administered.
(b) If an Insular Area decides to reallocate the funds it receives
under a consolidated grant, it shall notify the Secretary by amending
its original application to include an update of the information
required under Sec. 76.131.
(Authority: 48 U.S.C. 1469a)
[47 FR 17421, Apr. 22, 1982]
Sec. 76.134 What is the relationship between consolidated and non-
consolidated grants?
(a) An Insular Area may request that any number of programs in Sec.
76.125(c) be included in its consolidated grant and may apply separately
for assistance under any other programs listed in Sec. 76.125(c) for
which it is eligible.
(b) Those programs that an Insular Area decides to exclude from
consolidation--for which it must submit separate plans or applications--
are implemented in accordance with the applicable program statutes and
regulations. The excluded programs are not subject to the provisions for
allocation of funds among programs in a consolidated grant.
(Authority: 48 U.S.C. 1469a)
[47 FR 17421, Apr. 22, 1982]
Sec. 76.135 Are there any requirements for matching funds?
The Secretary waives all requirements for matching funds for those
programs that are consolidated by an Insular Area in a consolidated
grant application.
(Authority: 48 U.S.C. 1469a)
[47 FR 17421, Apr. 22, 1982]
Sec. 76.136 Under what programs may consolidated grant funds be spent?
Insular Areas may only use and administer funds under programs
described in Sec. 76.125(c) during a fiscal year for which the Insular
Area is entitled to receive funds under an appropriation for that
program.
(Authority: 48 U.S.C. 1469a)
[47 FR 17421, Apr. 22, 1982, as amended at 57 FR 30341, July 8, 1992]
Sec. 76.137 How may carryover funds be used under the consolidated
grant application?
Any funds under any applicable program which are available for
obligation and expenditure in the year succeeding the fiscal year for
which they are appropriated must be obligated and expended in accordance
with the consolidated grant application submitted by the Insular Area
for that program for the succeeding fiscal year.
(Authority: 20 U.S.C. 1225(b); 48 U.S.C. 1469a)
Amendments
Sec. 76.140 Amendments to a State plan.
(a) If the Secretary determines that an amendment to a State plan is
essential during the effective period of the plan, the State shall make
the amendment.
(b) A State shall also amend a State plan if there is a significant
and relevant change in:
(1) The information or the assurances in the plan;
(2) The administration or operation of the plan; or
(3) The organization, policies, or operations of the State agency
that received the grant, if the change materially affects the
information or assurances in the plan.
(Authority: 20 U.S.C. 1221e-3, 1231g(a), and 3474)
Sec. 76.141 An amendment requires the same procedures as the document
being amended.
If a State amends a State plan under Sec. 76.140, the State shall
use the same procedures as those it must use to prepare and submit a
State plan.
(Authority: 20 U.S.C. 1221e-3 and 3474)
Sec. 76.142 An amendment is approved on the same basis as the document
being amended.
The Secretary uses the same procedures to approve an amendment to a
State plan--or any other document a State submits--as the Secretary uses
to approve the original document.
(Authority: 20 U.S.C. 1221e-3 and 3474)
EDGAR version June 23, 2005
