[Federal Register Volume 59, Number 45 (Tuesday, March 8, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-5190]
[[Page Unknown]]
[Federal Register: March 8, 1994]
_______________________________________________________________________
Part VII
Department of Education
_______________________________________________________________________
34 CFR Parts 75 and 693
Direct Grant Programs; National Early Intervention Scholarship and
Partnership Program; Proposed Rule
DEPARTMENT OF EDUCATION
34 CFR Parts 75 and 693
RIN 1840-AB79
Direct Grant Programs; National Early Intervention Scholarship
and Partnership Program
AGENCY: Department of Education.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The Secretary proposes regulations to implement the new
National Early Intervention Scholarship and Partnership (NEISP) Program
in accordance with the provisions in chapter 2, subpart 2, part A,
title IV, of the Higher Education Amendments of 1992, enacted July 23,
1992, (Pub. L. 102-325) (1992 amendments), which amended the Higher
Education Act of 1965 (HEA). These proposed regulations for the NEISP
Program specify the role of the Secretary and the responsibilities of
the States in the administration of the program. The proposed
regulations also specify the State and student applicant eligibility
requirements and the criteria by which the Secretary approves a State's
application to participate in the program.
DATES: Comments must be received on or before April 7, 1994.
ADDRESSES: All comments concerning these proposed regulations should be
addressed to Fred H. Sellers, U.S. Department of Education, 400
Maryland Avenue, SW., room 4018, ROB-3, Washington, DC 20202-5447.
A copy of any comments that concern information collection
requirements also should be sent to the Office of Management and Budget
at the address listed in the Paperwork Reduction Act section of this
preamble.
FOR FURTHER INFORMATION CONTACT: Daniel Sullivan, U.S. Department of
Education, 400 Maryland Avenue, SW., room 4018, ROB-3, Washington, DC
20202-5447. Telephone: (202) 708-4607. Individuals who use a
telecommunications device for the deaf (TDD) may call the Federal
Information Relay Service (FIRS) at 1-800-877-8339 between 8 a.m. and 8
p.m., Eastern time, Monday through Friday.
SUPPLEMENTARY INFORMATION: The Secretary proposes regulations to
implement the National Early Intervention Scholarship and Partnership
(NEISP) Program, a new program authorized under the amended HEA. The
Secretary also proposes a technical amendment to insert a reference to
the NEISP Program into 34 CFR 75.60 of the regulations for the Direct
Grant Programs. The Secretary proposes to make technical amendments in
a separate notice of proposed rulemaking to insert references to the
NEISP Program into the appropriate sections of 34 CFR part 668 of the
Student Assistance General Provisions regulations. The NEISP Program
provides States with Federal financial incentives to establish or
maintain a program with matching State-originated funds. It provides
for: (1) A scholarship component that, to the extent possible,
guarantees the financial assistance necessary for eligible low-income
students who graduate from high school to attend an institution of
higher education, and (2) an early intervention component that uses
State-wide resources, both government and private, to provide
additional counseling, financial aid counseling, mentoring, academic
support, outreach, and supportive services to preschool, elementary,
middle, and secondary school students who are at risk of dropping out
of school. These proposed regulations specify the role of the Secretary
and the responsibilities of the States in administering the NEISP
Program. The proposed regulations also specify State and student
applicant eligibility requirements and the criteria by which the
Secretary approves a State's plan for participating in the program.
Section 404C of the amended HEA provides that a participating State
shall demonstrate to the satisfaction of the Secretary that the State
will provide comprehensive mentoring, tutoring, outreach, and other
academic and counseling services to students participating in programs
under this chapter who are enrolled in preschool through grade 12. The
Secretary believes that these services should be provided as early in a
student's schooling as necessary to be effective. By way of example,
some currently successful programs begin with classroom students at the
preschool or elementary school level. However, in order to provide
services at any point in a student's education, under this program the
Congress also permits a State to assist students through the twelfth
grade, including pre-freshman summer programs. The Secretary finds that
a State should take into account existing comparable services within
the State to avoid duplicating existing administrative entities and
services. Therefore, under Sec. 693.20(h) of the proposed regulations,
when establishing its early intervention component, a State would be
required to coordinate its efforts with existing Federal, State, local
and private programs offering these services; for example, the Talent
Search, Upward Bound, and Student Support Services programs and
Educational Opportunity Centers, collectively known as the Federal TRIO
programs.
The NEISP Program's early intervention component supports National
Education Goals 2 (High School Completion), 3 (Student Achievement and
Citizenship), and 4 (Science and Mathematics). The NEISP Program's
scholarship component also supports National Education Goal 5 (Adult
Literacy and Lifelong Learning).
Some areas in which the proposed regulations clarify or amplify the
statutory requirements are explained below.
Definitions
Section 693.5(b) of the proposed NEISP Program regulations defines
the terms ``academic year,'' ``award year,'' and ``institution of
higher education'' as they are defined in section 481 of the HEA. These
amendments to section 481 of the HEA require that the Secretary amend
definitions in the Student Assistance General Provisions regulations in
34 CFR part 668. When the Secretary publishes final regulations
amending these definitions, he also will amend the definitions in
Sec. 693.5(b) in the NEISP Program regulations to reference those
changes.
Name of State Program
Under Sec. 693.10(b)(2) of the proposed regulations, the Secretary
proposes to require that each State desiring to participate in the
program must, as a part of its plan to carry out the program, agree to
name its State program the ``[State name] National Early Intervention
Scholarship and Partnership Program,'' which can be referred to as the
``[State name] NEISP Program,'' and to name recipients of scholarships
as ``[State name] National Partnership Scholars.'' These requirements
are in accord with the changes made in the 1992 amendments that require
recipients of title IV, HEA student financial assistance to understand
clearly that they are recipients of financial assistance provided by
the Federal Government. In addition, the Secretary believes that naming
recipients ``[State name] National Partnership Scholars'' will enhance
student motivation and participation in the program by providing the
prestige and recognition of a student's accomplishments that are
associated with being a recipient of a national scholarship.
State Plan and Application
Section 404B of the amended HEA requires each State to submit a
plan to the Secretary for review and approval that describes how the
State will carry out the NEISP Program. The plan, as described in the
program statute, prescribes the information and data each State must
submit to the Secretary in order for the Secretary to approve the
State's participation in the NEISP Program. The Secretary finds that,
while some of the information required under section 404B will have to
be submitted each year the State participates in the program, a
significant amount of the information and data required for the State
plan will have to be reported only once, in the initial fiscal year
that the State wants to participate in the program. Under the proposed
regulations, once a State plan has been approved by the Secretary, in
subsequent fiscal years the State will not be required to submit a
State plan for the review and approval of the Secretary unless the
State, at its own initiative or the Secretary's initiative, must make
changes to the previously approved State plan.
Therefore, to simplify and reduce the amount of reporting burden on
the States, the Secretary proposes the following--
(1) For the first fiscal year that a State wants to participate
in the NEISP Program, a State shall submit to the Secretary a one-
time State plan containing all the information and data required
under Secs. 693.10, 693.11, 693.12, 693.13, and 693.20 of the
proposed regulations; and
(2) In each subsequent fiscal year that a State wants to
continue to participate in the NEISP Program, the State shall submit
for the review and approval of the Secretary an annual application
containing the information and data as required under Sec. 693.13 of
the proposed regulations.
State Agency Responsible for Administering the Program
Under the plan to administer the program required by section 404B
of the amended HEA, the Secretary proposes in Sec. 693.10(b)(1) that
the Governor of each State designate the State agency that will be
responsible for carrying out the NEISP Program. In doing so the
Governor must designate the State agency that administers the State
Student Incentive Grant (SSIG) Program, the State educational agency,
or another agency that the Secretary approves. The Secretary believes
that requiring the Governor of a State to designate an agency within
his or her State to be responsible for the NEISP Program will ensure
that program funds are allocated to an appropriate and responsible
State agency and is consistent with other Federal and State-
administered student financial aid programs, such as the SSIG Program.
Federal Funds Supplementing, Not Supplanting, State and Local Funds
Section 404B(b)(3) of the amended HEA requires each State in its
State plan to propose provisions designed to assure the Secretary that
funds provided under this part will supplement and not supplant funds
expended for existing State and local early intervention and
postsecondary education scholarship programs. Under Sec. 693.13(a)(4),
the Secretary proposes that on its annual application each State
provide the supporting documentation to assure the Secretary that the
amount of funds the State is projecting to provide under its NEISP
Program for that fiscal year exceeds the amount of funds the State
expended for State and local early intervention programs and State
need- and non-need-based student financial grant assistance programs
during the fiscal year two years prior to the fiscal year in which the
State first received funds under this program.
Allotment Requirements
Section 404B(d) of the amended HEA requires that from the State's
allotment calculated under section 404D, the Secretary shall disburse
an amount to each State equal to no more than one-half of the total
amount the State documented that it expended on its NEISP Program for
the same fiscal year. The Secretary proposes to collect that
expenditure information from each participating State by means of an
annual performance report, authorized under 34 CFR 80.40 of the
Education Department General Administrative Regulations, to be
submitted after the end of each NEISP Program award year.
However, to be able to allot funds to eligible States at the
beginning of each award year, under Sec. 693.21(b) of the proposed
regulations the Secretary will disburse to each eligible State an
amount from that State's allotment equal to not more than one-half of
the total amount of funds from all sources the State projects that it
will expend on its NEISP Program for the fiscal year as reported on its
annual application under Sec. 693.13(a) of the proposed regulations.
Under Sec. 693.21(c) of the proposed regulations, when the Secretary
disburses an NEISP Program allotment to a State on the basis of the
total funds the State projects that it will expend on the NEISP Program
in a fiscal year, the State may actually expend from its Federal
allotment no more than one-half of the total amount of funds the State
actually expends under its NEISP Program for that fiscal year.
Uses of Funds
Section 404C(b)(1) of the amended HEA requires that the Secretary
shall establish by regulation criteria for determining whether
comprehensive mentoring, counseling, outreach, and supportive services
programs may be used to meet the requirements in section 404C(a) of the
amended HEA. The Secretary proposes to provide that information in
Secs. 693.11, 693.13, and 693.20 of these proposed regulations.
Scholarship Funds
There is no provision for an administrative cost allowance under
the scholarship component of the NEISP Program. Therefore, each
participating State shall expend all Federal and State matching funds
in the NEISP Program's scholarship component on scholarship assistance
for NEISP Scholars.
Scholarship Amount
Section 404D(b) provides a formula for a minimum scholarship amount
to be awarded to each recipient and also requires each participating
State to establish its own maximum scholarship amount. The maximum
scholarship amount, however, may not, when combined with a student's
Federal Pell Grant award, all other Federal student financial
assistance, and any other grant or scholarship assistance, exceed the
student's cost of attendance. The Secretary proposes to implement these
requirements under Sec. 693.12 (e) and (g) of the proposed regulations.
Priority on Awarding Scholarships to Recipients of Federal Pell
Grants
Section 404D(e) of the program statute requires that the Secretary
ensure that each State place a priority on awarding NEISP Program
scholarships to recipients of Federal Pell Grants. The Secretary
proposes to implement this requirement in Secs. 693.3(b) and 693.12(c)
of these regulations. Under Sec. 693.3(b), the Secretary believes that
requiring States to award NEISP Program scholarships to low-income
students attending institutions of higher education participating in
the Federal Pell Grant Program helps ensure that States will place a
priority on awarding NEISP Program scholarships to Federal Pell Grant
recipients. The Secretary believes that the majority of institutions of
higher education that participate in the Federal student financial
assistance programs are participating in the Federal Pell Grant
Program. As a result, the Secretary believes that requiring NEISP
Program scholarships be awarded to students attending institutions
participating in the Federal Pell Grant Program will not unfairly limit
educational options to NEISP scholarship recipients.
Under Sec. 693.12(c) of the proposed regulations, the Secretary is
ensuring that States place first priority on awarding NEISP Program
scholarships to Federal Pell Grant recipients by requiring the States
to award NEISP Program scholarships to students who have the most
financial need as demonstrated by having the lowest expected family
contributions and who also are recipients of Federal Pell Grant awards.
The Secretary believes that these proposed regulatory requirements,
while not specifically required under the statute, are consistent with
the intent of the program.
Targeting Early Intervention Services to Priority Students
Section 404C(a) of the program statute requires a State to
demonstrate to the Secretary the methods by which the State will target
services on priority students. The Secretary proposes to implement this
requirement in Sec. 693.20(a)(2)(v) of these regulations. The Secretary
plans to provide States with extensive flexibility in adopting methods
for targeting services on priority students. A State must provide in
its State plan a clear description of the methods a State will use to
target services to priority students. Methods proposed by the State
must be based on the latest available State data. Methods for targeting
services on priority students may include targeting by elementary and
secondary schools with high concentrations of priority students within
the State, by appropriate identifiable geographic areas such as
counties or school districts (including both public and private
schools) with high concentrations of priority students within the
State, or by other methods proposed by a State and approved by the
Secretary.
Discretionary Grant Competition
Section 404E(a) of the program statute requires the Secretary to
award grant funds to States under this program on a competitive basis
if the program appropriation for a fiscal year is less than
$50,000,000. The Secretary proposes to implement this requirement in
Sec. 693.22 of these regulations.
The Secretary proposes to conduct a grant competition for the
States by means of a notice published annually in the Federal Register
that contains the information needed by a State to apply for funds
under a discretionary NEISP Program competition. The Secretary
evaluates a State's application for funds under a discretionary NEISP
Program competition on the basis of the extent to which the State
fulfills the requirements listed in Secs. 693.10, 693.11, 693.12,
693.13, and 693.20 and the selection criteria with point values listed
for each criterion in Sec. 693.22. '
The Secretary is seeking to select the best possible State programs
for the limited amount of discretionary grant funding available.
Therefore, the Secretary believes that, if two States have similarly
rated applications, the tiebreaker criteria in Sec. 693.22(c)(4)
(comprehensive State-wide early intervention and postsecondary
educational scholarship program, comprehensive long-term mentoring and
advising, and State grant funds for students' postsecondary education)
are essential elements for States to provide to fulfill the purposes of
the program.
The Secretary believes that equivalent selection criteria in
Sec. 693.22 for the scholarship component are unnecessary. The program
statute and Secs. 693.10 and 693.12 of the proposed regulations provide
States with sufficient information concerning the scholarship component
requirements and how ED will review and approve a State's plan and
application under a discretionary grant competition. However, the
Secretary notes that he has included in the selection criteria in
Sec. 693.22 consideration of availability of State grant aid available
to National Partnership Scholars if the scholarship component is not
funded. Further, the Secretary is requesting comment concerning the
extent to which he should require State standards or guidelines to
ensure that State scholarships will support and be available to
eligible students for an extended period.
Evaluation Report
Section 404F of the program statute requires each State receiving
an allotment under this part to prepare and submit to the Secretary
every two years an evaluation of the early intervention component of
its NEISP Program. The Secretary proposes to implement this requirement
in Sec. 693.52 of these regulations. The report must summarize and
evaluate the States' activities under the program and the performance
of the student participants. Each State's evaluation report design must
include measures that permit the State to track all participating
students' progress throughout each student's participation in the
program.
The biennial evaluation report of the early intervention component
of the program must at a minimum include, but is not limited to,
information on the program objectives that produce useful data and that
are quantifiable; the effectiveness of the State's program in meeting
the purposes of the program; the effect of the program on the student
recipients being served by the program, including measurable outcomes
such as improved academic performance, increased postsecondary
educational enrollment and retention, increased elementary and
secondary school grade retention, reduced elementary and secondary
school dropout rates, and reduced financial barriers to attendance at
institutions of higher education; the barriers to the effectiveness of
the program and recommendations for changes or improvements to the
program; the cost-effectiveness of the program; the extent to which the
student recipients comply with the requirements of the program; key
program information listed on an annual and biennial basis; other
pertinent program measurements concerning the early intervention
component that the State believes would be useful to the Secretary,
which may be displayed through analytical charts, tables, and graphs;
and any other information required by the Secretary to carry out the
evaluation report function.
Allowable and Nonallowable Costs
The proposed allowable and nonallowable costs in Secs. 693.50 and
693.51 are consistent with similar programs such as the Federal TRIO
(e.g., Upward Bound, Educational Opportunity Centers, Student Support
Services) programs.
Executive Order 12866
These proposed regulations have been reviewed in accordance with
Executive Order 12866. Under the terms of the order the Secretary has
assessed the potential costs and benefits of this regulatory action.
The potential costs associated with the proposed regulations are
those resulting from statutory requirements and those determined by the
Secretary to be necessary for administering this program effectively
and efficiently. Burdens specifically associated with information
requirements, if any, are identified and explained elsewhere in this
preamble under the heading
Paperwork Reduction Act of 1980
In assessing the potential costs and benefits--both quantitative
and qualitative--of these proposed regulations, the Secretary has
determined that the benefits of the proposed regulations justify the
costs.
The Secretary has also determined that this regulatory action does
not unduly interfere with State, local, and tribal governments in the
exercise of their governmental functions.
To assist the Department in complying with the specific
requirements of Executive Order 12866, the Secretary invites comment on
whether there may be further opportunities to reduce any potential
costs or increase potential benefits resulting from these proposed
regulations without impeding the effective and efficient administration
of the program.
Regulatory Flexibility Act Certification
The Secretary certifies that these proposed regulations would not
have a significant economic impact on a substantial number of small
entities. Because these proposed regulations would affect only States
and State agencies, the regulations would not affect small entities.
State and State agencies are not ``small entities'' under the
Regulatory Flexibility Act.
Paperwork Reduction Act of 1980
Sections 693.10, 693.11, 693.12, 693.13, 693.20, 693.22, and 693.52
of the NEISP Program proposed regulations contain information
collection requirements. As required by the Paperwork Reduction Act of
1980, the Department of Education will submit a copy of these sections
to the Office of Management and Budget (OMB) for its review. (44 U.S.C.
3504(h))
The public reporting burden for the information collection required
under Secs. 693.10, 693.11, 693.12, 693.13, 693.20, and 693.22 of these
proposed regulations is estimated to average 1,400 hours per State
response for approximately 57 respondents for a total burden of 79,800
hours for the first year of participation by all States. The reporting
burden for the information collection required under Sec. 693.52 of
these proposed regulations is estimated to average 1 hour per State
response for approximately 57 respondents for a total burden of 57
hours.
Organizations and individuals desiring to submit comments on the
information collection requirements contained in these proposed
regulations should direct them to the Office of Information and
Regulatory Affairs, OMB, room 3002, New Executive Office Building,
Washington, DC 20503; Attention: Daniel J. Chenok.
Intergovernmental Review
The NEISP Program is subject to the requirements of Executive Order
12372 and the regulations in 34 CFR part 79. The objective of the
Executive order is to foster an intergovernmental partnership and a
strengthened federalism by relying on processes developed by State and
local governments for coordination and review of proposed Federal
financial assistance.
In accordance with the order, this document is intended to provide
early notification of the Department's specific plans and actions for
the NEISP Program.
Invitation to Comment
Interested persons are invited to submit comments and
recommendations regarding these proposed regulations.
All comments submitted in response to these proposed regulations
will be available for public inspection, during and after the comment
period, in room 4018, ROB-3, 7th and D Streets, SW., Washington, DC,
between the hours of 8:30 a.m. and 4 p.m., Monday through Friday of
each week except Federal holidays.
Assessment of Educational Impact
The Secretary particularly requests comments on whether the
proposed regulations in this document would require transmission of
information that is being gathered by or is available from any other
agency or authority of the United States.
List of Subjects in 34 CFR Part 75
Education Department, Grant programs--education, Grant
administration.
List of Subjects in 34 CFR Part 693
Grant programs--education, Postsecondary education, State
administered--education, Student Aid--education, Reporting and
recordkeeping requirements.
Dated: February 28, 1994.
Richard W. Riley,
Secretary of Education.
(Catalog of Federal Domestic Assistance Number 84.272, National
Early Intervention Scholarship and Partnership Program)
The Secretary proposes to amend Title 34 of the Code of Federal
Regulations by amending part 75 and by adding a new part 693 as
follows:
PART 75--DIRECT GRANT PROGRAMS
1. The authority citation for part 75 continues to read as follows:
Authority: 20 U.S.C. 1221e-3(a)(1) and 3474, unless otherwise
noted.
Sec. 75.60 [Amended]
2. In Sec. 75.60, paragraph (b)(1) is amended by adding the term
``National Early Intervention Scholarship and Partnership (NEISP)
Program (20 U.S.C. 1070a-21, et seq.),'' after ``(20 U.S.C. 1070a, et
seq.),''.
3. A new part 693 is added to read as follows:
PART 693--NATIONAL EARLY INTERVENTION SCHOLARSHIP AND PARTNERSHIP
PROGRAM
Subpart A--General
Sec.
693.1 What is the National Early Intervention Scholarship and
Partnership Program?
693.2 Who is eligible to participate under this program?
693.3 What kinds of activities may be assisted under this program?
693.4 What regulations apply to this program?
693.5 What definitions apply to this program?
Subpart B--How Does a State Obtain a Grant?
693.10 What must a State do to obtain a grant under this program?
693.11 What requirements must be met by the State under the
program's early intervention component?
693.12 What requirements must be met by the State under the
program's scholarship component?
693.13 What information must a State provide in its annual
application to receive a grant under the NEISP Program?
Subpart C--How Does the Secretary Make a Grant to a State?
693.20 What criteria does the Secretary use to determine whether a
State's proposed early intervention component meets the requirements
under this program?
693.21 How does the Secretary allot funds to a State?
693.22 How does the Secretary allot funds to States on a
competitive basis?
Subpart D--How Does a Student Participate in the Early Intervention
Component under the NEISP Program?
693.30 What are the requirements for a student to be a participant
in the early intervention component of this program?
Subpart E--How Does a State Award a Scholarship to a Student?
693.40 What are the requirements for a student to receive a
scholarship under this program?
Subpart F--What Postaward Conditions Must Be Met by a State?
693.50 What are allowable costs attributable to administration of
the early intervention component?
693.51 What are nonallowable costs that may not be charged to
administration of the early intervention component?
693.52 What requirements must a State meet in preparing and
submitting an evaluation report?
Authority: 20 U.S.C. 1070a-21 through 1070a-27, unless otherwise
noted.
Subpart A--General
Sec. 693.1 What is the National Early Intervention Scholarship and
Partnership Program?
Under the National Early Intervention Scholarship and Partnership
(NEISP) Program, the Secretary provides grants to States to--
(a) Encourage the States to provide or maintain a guaranteed amount
of financial assistance necessary to permit eligible low-income
students who obtain high school diplomas or the equivalent to attend an
institution of higher education; and
(b) Provide financial incentives to enable States, in cooperation
with local educational agencies, institutions of higher education,
community organizations, and businesses, to provide--
(1) Additional counseling, mentoring, academic support, outreach,
and supportive services to preschool, elementary, middle, and secondary
school students who are at risk of dropping out of school; and
(2) Information to students and their parents about the advantages
of obtaining a postsecondary education and their college financing
options.
(Authority: 20 U.S.C. 1070a-21)
Sec. 693.2 Who is eligible to participate under this program?
(a) States that meet the requirements of Secs. 693.10, 693.11,
693.12, 693.13, 693.20, 693.21, and 693.22 are eligible to receive
grants under this program.
(b) Under the early intervention component, students who meet the
requirements of Sec. 693.30 are eligible to participate in the State-
administered programs under this part.
(c) Under the scholarship component, students who meet the
requirements of Sec. 693.40 are eligible to receive scholarships from
States under this program.
(Authority: 20 U.S.C. 1070a-22 to 1070a-24)
Sec. 693.3 What kinds of activities may be assisted under this
program?
Under the NEISP Program, a State may use its allotment under
Sec. 693.21 or Sec. 693.22 to--
(a) Provide a variety of early intervention services such as
comprehensive mentoring, counseling, outreach, and other supportive
services to eligible students enrolled in preschool through grade 12,
including pre-freshman summer programs; and
(b) Award scholarships to eligible low-income students for
attendance at any institution of higher education participating in the
Federal Pell Grant Program.
(Authority: 20 U.S.C. 1070a-22 to 1070a-24)
Sec. 693.4 What regulations apply to this program?
The following regulations apply to the NEISP Program:
(a) The regulations in this part 693.
(b) The Education Department General Administrative Regulations
(EDGAR) as follows:
(1) If the amount appropriated for the program is less than
$50,000,000, 34 CFR part 75 (Direct Grant Programs).
(2) If the amount appropriated for the program is $50,000,000 or
more, 34 CFR part 76 (State-Administered Programs).
(3) 34 CFR part 77 (Definitions That Apply to Department
Regulations).
(4) 34 CFR part 79 (Intergovernmental Review of Department of
Education Programs and Activities).
(5) 34 CFR part 80 (Uniform Administrative Requirements for Grants
and Cooperative Agreements to State and Local Governments).
(6) 34 CFR part 82 (New Restrictions on Lobbying).
(7) 34 CFR part 85 (Governmentwide Debarment and Suspension
(Nonprocurement) and Governmentwide Requirements for Drug-Free
Workplace (Grants).
(8) 34 CFR part 86 (Drug-Free Schools and Campuses).
(c) Institutional Eligibility Under the Higher Education Act of
1965, as Amended in 34 CFR part 600.
(d) The Student Assistance General Provisions in 34 CFR part 668.
(Authority: 20 U.S.C. 1070a-21 through 1070a-27)
Sec. 693.5 What definitions apply to this program?
(a) Definitions in EDGAR. The following terms used in this part are
defined in 34 CFR 77.1:
Applicant
Application
Award
Budget
Budget Period
Department
Elementary school
Fiscal Year
Grant
Grantee
Local educational agency (LEA)
Private
Project
Project Period
EDGAR
Secretary
State
(b) Definitions in Section 481 (a) and (d) of the HEA. The
following terms used in this part are defined in section 481 of the
HEA:
Academic year
Award year
Institution of higher education
(c) Definitions in subpart A of the Institutional Eligibility
regulations, 34 CFR 600.1. The following term used in this part is
defined in 34 CFR 600.1:
Recognized equivalent of a high school diploma
(d) Other definitions that apply to this part. The following
definitions also apply to this part:
At-risk student means a preschool through grade 12 student whom a
State identifies as being a potential dropout from secondary or
postsecondary school.
Disadvantaged student means a student who is either
(1) A low-income individual who is also a first-generation college
student; or
(2) A student with disabilities.
Early intervention program means a program that provides education-
related activities such as counseling, mentoring, academic support,
outreach, and other supportive services, including providing
information on opportunities for postsecondary student financial aid,
to students enrolled in preschool through grade 12.
First-generation college student means--
(1) A student neither of whose parents completed a baccalaureate
degree; or
(2) A student who regularly resides with and receives support from
only one parent who did not complete a baccalaureate degree.
HEA means the Higher Education Act of 1965, as amended.
Limited proficiency in English with reference to an individual,
means an individual--
(1)(i) Who was not born in the United States;
(ii) Whose native language is other than English;
(iii) Who comes from an environment in which a language other than
English is most relied on for communication; or
(iv) Who is an American Indian or Alaskan Native student and comes
from an environment in which a language other than English has had a
significant impact on his or her level of proficiency in English; and
(2) Who, as a result of the circumstances described in paragraph
(1) of this definition, is unable to learn successfully in classrooms
in which instruction is in English because he or she cannot adequately
understand, speak, read, or write English.
Low-income individual means an individual whose taxable family
income for the year before the year in which he or she is scheduled to
receive assistance under this part did not exceed 150 percent of an
amount equal to the poverty level determined by using criteria of
poverty established by the U.S. Bureau of the Census or a resident who
is considered to be a low-income resident by the State in which he or
she lives.
Postsecondary education means a program of education beyond the
secondary school level.
Priority student means any student within a State in preschool
through grade 12 who is eligible--
(1) To be counted as attending an institution receiving Federal
funds under chapter 1 of the Elementary and Secondary Education Act of
1965;
(2) To receive free or reduced-price meals under the National
School Lunch Act; or
(3) To receive assistance under the Aid to Families with Dependent
Children Act.
Scholarship means an award made to an individual under this part.
Secondary school, as defined under section 1471(21) of the
Elementary and Secondary Education Act of 1965, means a day or
residential school that provides secondary education, as determined
under State law, except that it does not include any education beyond
grade 12.
State educational agency (SEA), as defined under section 1471(23)
of the Elementary and Secondary Education Act of 1965, means the
officer or agency primarily responsible for the State supervision of
public elementary and secondary schools.
Student with a disability, as defined in section 3(2) of the
Americans with Disabilities Act of 1990 (42 U.S.C. 12102(2)), means a
student with a physical or mental impairment that substantially limits
one or more of the major life activities of the student and thus
requires special education and related services.
(Authority: 20 U.S.C. 1070a-21 through 1070a-27)
Subpart B--How Does a State Obtain a Grant?
Sec. 693.10 What must a State do to obtain a grant under this program?
(a) To obtain a grant, a State shall submit to the Secretary for
review and approval an initial plan and annual application for carrying
out the activities under the NEISP Program.
(b) The Secretary approves a State plan that--
(1) By direction of the State's Governor, designates as the State
agency for administering the program under this part, either--
(i) The State agency that administers the State Student Incentive
Grant Program under title IV, part A, subpart 4 of the HEA;
(ii) The State educational agency; or
(iii) Another appropriate State agency approved by the Secretary;
(2) Provides that the State program under this part shall be known
as the ``[insert name of the State] National Early Intervention
Scholarship and Partnership Program'' which may be referred to as the
``[State name] NEISP Program,'';
(3) Demonstrates to the satisfaction of the Secretary that the
State will provide for the conduct under the State's NEISP Program of
both--
(i) An early intervention component meeting the requirements under
Sec. 693.11 as evaluated by the Secretary under the criteria in
Sec. 693.20; and
(ii) A scholarship component meeting the requirements under
Sec. 693.12;
(4) Describes the administrative plan for implementing the State's
NEISP Program, including those functions that will be carried out by
public and private organizations; and
(5) Provides assurances that the State will--
(i) Ensure that the funds provided under this part supplement and
do not supplant funds expended for State and local early intervention
programs and State need- and non-need-based student financial grant
assistance programs during the fiscal year 2 years prior to the fiscal
year in which the State first received funds under this program;
(ii) Expend, from State, local, or private funds or other
acceptable funding methods, not less than one-half of the cost of the
program under this part;
(iii) Specify the methods by which such share of the costs will be
paid;
(iv) Not use less than 25 percent or more than 50 percent of its
total NEISP Program funds for the early intervention component, unless
the State can satisfactorily demonstrate in its plan submitted to the
Secretary that the State has additional means to provide scholarships
to students, in accordance with the waiver provision in Sec. 693.13(b);
(v) Expend all of the NEISP Program funds under the scholarship
component only to provide scholarships to eligible students; and
(vi) Conduct and submit to the Secretary a biennial evaluation of
the early intervention program assisted under this part in accordance
with the requirements in Sec. 693.52.
(c) With the exception of its initial year of participation when
each State also must submit the application required under Sec. 693.13
at the same time as the State plan under paragraph (b) of this section,
the State shall submit annually an application to participate in the
NEISP Program in accordance with the requirements in Sec. 693.13.
(Authority: 20 U.S.C. 1070a-22 and 1070a-26)
Sec. 693.11 What requirements must be met by the State under the
program's early intervention component?
(a) A State shall demonstrate to the Secretary in its plan
submitted according to Sec. 693.10(b) how its early intervention
component provides services designed to meet the unique needs of the
State's eligible students enrolled in preschool through grade 12,
including, but not limited to, the following kinds of activities--
(1) A continuing system of mentoring and advising that--
(i) Is coordinated with the Federal and State community service
initiatives; and
(ii) Includes such support services as--
(A) Instruction in reading, writing, study skills, mathematics, and
other subjects necessary for success in education beyond secondary
school;
(B) After-school and summer tutoring;
(C) Assistance in obtaining summer jobs;
(D) Career mentoring;
(E) Academic counseling and assistance in secondary school course
selection;
(F) Financial aid counseling that provides information on the
opportunities for postsecondary student financial assistance;
(G) Instruction designed to prepare students participating in the
program for careers in which students from disadvantaged backgrounds
are particularly underrepresented, as determined by the State; and
(H) Programs and activities specifically designed for students with
limited proficiency in English.
(2) Activities designed to ensure high school completion and
college enrollment of at-risk students by providing, in addition to the
activities specified under paragraph (a) of this section, the
following:
(i) Assessment to identify at-risk students.
(ii) Skills assessment.
(iii) Activities to encourage volunteer and parent involvement in
the activities planned under this section.
(iv) Programs that involve the participation of former or current
scholarship recipients as mentors or peer counselors.
(v) Personal and family counseling, including home visits.
(vi) Staff development to provide the services under this part.
(3) Activities that encourage students to complete secondary school
and pursue postsecondary education by requiring each student to enter
into an agreement under which the State will provide postsecondary
tuition assistance to a student, during a period of time to be
established by the State, if the student agrees to achieve certain
academic milestones, such as--
(i) Completing the prescribed set of secondary courses required for
an individual to be eligible for a Presidential Access Scholarship
under chapter 3, subpart 2, part A, title IV of the HEA; and
(ii) Maintaining satisfactory academic progress according to the
requirements in 34 CFR 668.7 in a postsecondary education program.
(4) Pre-freshman summer programs that--
(i) Are at institutions of higher education that also have academic
support services for disadvantaged students through projects regulated
by 34 CFR part 646, Student Support Services, or through comparable
projects as certified by the SEA or other appropriate State agency
funded by the State or other sources;
(ii) Assure the participation of students who qualify as
disadvantaged students or who are eligible for comparable programs
funded by the State and certified under paragraph (a)(4)(i) of this
section;
(iii) Provide summer services, including--
(A) instruction in remedial, developmental, or supportive courses;
(B) counseling, tutoring, or orientation; and
(C) grant aid to students to cover pre-freshman summer costs for
books, supplies, living costs, and personal expenses; and
(iv) Assure that participating students will receive financial aid
during each academic year they are enrolled at the participating
institution after the pre-freshman summer.
(5) Other activities as the State proposes and the Secretary
approves as supportive of the purposes of the NEISP Program.
(b) The State shall indicate to the Secretary which of the
following permissible service providers will conduct the early
intervention component activities:
(1) Community-based organizations.
(2) Elementary or secondary schools.
(3) Institutions of higher education.
(4) Public and private agencies.
(5) Nonprofit and philanthropic organizations.
(6) Businesses.
(7) Institutions and agencies sponsoring programs authorized under
the State Student Incentive Grant Program, subpart 4, part A, title IV
of the HEA.
(8) Institutions and agencies sponsoring programs authorized under
the Federal TRIO Programs, chapter 1, subpart 2, part A, title IV of
the HEA.
(9) Religious organizations.
(10) Other organizations proposed by the State that are
subsequently deemed appropriate by the Secretary.
(c) The State shall describe how the service providers listed in
paragraph (b) of this section will administer the early intervention
component activities.
(d) The State shall propose for review by and approval of the
Secretary the methods by which it will target its early intervention
services on priority students.
(Authority: 20 U.S.C. 1070a-23)
Sec. 693.12 What requirements must be met by the State under the
program's scholarship component?
A State shall provide for a scholarship component that--
(a) As described in the State's plan approved by the Secretary
under Sec. 693.10, is closely coordinated with other Federal, State,
local, and private scholarship programs within the State;
(b) Awards scholarships only to students who meet the eligibility
requirements in Sec. 693.40;
(c) Places a priority on awarding scholarships to students who will
receive Federal Pell Grant awards for the academic year in which the
award is being made under this part by--
(1) Selecting those eligible students with the lowest expected
family contributions as calculated under part F of title IV of the HEA
who will also receive Federal Pell Grants; and
(2) If the State has NEISP Program scholarship funds remaining
after making NEISP awards to all of the eligible Federal Pell Grant
recipients, awarding the remaining NEISP Program scholarship funds to
those eligible students with the lowest expected family contributions
who will not receive Federal Pell Grant awards;
(d) Awards continuation scholarships in successive award years to
each student who received an initial scholarship and who continues to
meet the student eligibility requirements under Sec. 693.40;
(e) Establishes the maximum amount of a scholarship that each
eligible student is to receive and ensures that no scholarship is less
than the lesser of--
(1) 75 percent of the average cost of attendance, as determined
under section 472, part F of the HEA, for an in-State student in a 4-
year program of instruction at public institutions of higher education
in the State; or
(2) The maximum Federal Pell Grant award funded for that fiscal
year;
(f) Ensures that, for each recipient of a scholarship under this
part, a Federal Pell Grant be awarded first, other public and private
grant and scholarship assistance be awarded second, a scholarship under
this part be awarded third, and then other financial assistance be
awarded;
(g) Ensures that no scholarship awarded under this part, combined
with other title IV, HEA financial assistance and any other grant or
scholarship assistance exceeds the student's total cost of attendance,
as determined under section 472, part F of the HEA;
(h) Expends all NEISP Program funds under the scholarship
component, as determined according to Sec. 693.10(b)(5)(iv), on
scholarships to students;
(i) Notifies recipients of scholarships under this part that they
are to be known as ``[insert name of the State] National Partnership
Scholars''; and
(j) Describes to the satisfaction of the Secretary the procedures
the State will use to award scholarships to eligible students in the
event that the State receives reduced or no Federal funding under the
NEISP Program during any fiscal year.
(Authority: 20 U.S.C. 1070a-24)
Sec. 693.13 What information must a State provide in its annual
application to receive a grant under the NEISP Program?
(a) Each State desiring to participate in the program under this
part shall submit an application annually through the State agency
designated to administer the NEISP Program under Sec. 693.10(b) that
contains information required by the Secretary to demonstrate that the
State meets its fund-matching assurances provided for in its plan,
including--
(1) The total amount of non-Federal funds, listed by each source,
that the State expects to expend during the next award year that will
total one-half or more of the cost of the NEISP Program such as--
(i) The amount of the scholarships paid to students from State,
local, or private funds under the NEISP Program;
(ii) The amount of tuition, fees, room, or board waived or reduced
for recipients of grants under the NEISP Program; and
(iii) The amount expended on documented, targeted, long-term
mentoring and counseling provided by volunteers or paid staff of
nonschool organizations, including businesses, religious organizations,
community groups, postsecondary educational institutions, nonprofit or
philanthropic organizations, and other organizations proposed by the
State and approved by the Secretary;
(2) A description of the specific methods by which the State's
share of the costs under the NEISP Program will be paid;
(3) The percentage of the State's Federal allotment that it plans
to expend for the early intervention component of its NEISP Program
and, if the State requests a waiver from the Secretary under paragraph
(b) of this section, the State shall submit supporting documentation,
including the amount and source of its additional assistance;
(4) The documentation that assures the Secretary that the amount of
funds provided in paragraph (a)(1) of this section will supplement and
not supplant funds expended for State and local early intervention
programs and State need- and non-need-based student financial grant and
scholarship assistance expended during the fiscal year 2 years prior to
the fiscal year in which the State first received funds under this
program; and
(5)(i) Proposed changes to the initial State plan that was approved
by the Secretary, according to Sec. 693.10(b), for the review and
approval of the Secretary; or
(ii) If no changes to its initial plan are proposed, an assurance
that the State will continue to operate its NEISP Program according to
the existing State plan approved by the Secretary under Sec. 693.10(b).
(b) The Secretary waives the requirement in Sec. 693.10(b)(5)(iv)
and allows the State to exceed the 50 percent limit on expenditure of
its Federal allotment for the early intervention component if the State
can demonstrate to the satisfaction of the Secretary that the State has
another adequate means to provide scholarships to eligible students
under the NEISP Program.
(Authority: 20 U.S.C. 1070a-22)
Subpart C--How Does the Secretary Make a Grant to a State?
Sec. 693.20 What criteria does the Secretary use to determine whether
a State's proposed early intervention component meets the requirements
under this program?
The Secretary uses the following criteria to determine whether a
State's early intervention component proposed under
Sec. 693.10(b)(3)(i) meets the requirements of Sec. 693.11:
(a) Plan of operation. (1) The Secretary reviews each State's plan
for information that shows the quality of the operating plan of the
early intervention component.
(2) The Secretary looks for information that shows--
(i) High quality in the design of the component;
(ii) An effective plan of management that ensures proper and
efficient administration of the component;
(iii) A clear description of how the State's proposed early
intervention component relates to the purpose of the program;
(iv) The way that the State plans to use its resources and
personnel to achieve the objectives of the component;
(v) A clear description of the methods that the State will use to
target early intervention services to priority students. The State must
base the proposed methods on the latest available State data. The State
may target services on priority students by--
(A) Elementary and secondary schools with high concentrations of
priority students within the State;
(B) Appropriate identifiable geographic areas such as counties or
school districts (including both public and private schools) with high
concentrations of priority students within the State; or
(C) Other methods proposed by a State and approved by the
Secretary;
(vi) A clear description of the comprehensive long-term mentoring
and advising that the State plans to provide to eligible students; and
(vii) The extent to which other State grant funds are available to
eligible NEISP students for postsecondary educational scholarships if
the Federal scholarship component of the program is unfunded or
reduced.
(b) Quality of key personnel. (1) The Secretary reviews each State
plan for information that shows the qualifications of the key personnel
the State plans to use to administer its early intervention component.
(2) The Secretary looks for information that shows--
(i) The qualifications of the director of the early intervention
component;
(ii) The qualifications of each of the other key personnel to be
used in the component; and
(iii) The amount of time each person referred to in paragraphs
(b)(2)(i) and (ii) of this section will spend working in the activities
under this component.
(3) To determine the qualifications of the key personnel, the
Secretary considers evidence of past experience and training in fields
related to the objectives of the early intervention component as well
as other information the State provides.
(c) Budget and cost effectiveness. (1) The Secretary reviews each
State's plan for information that shows that the early intervention
component has an adequate budget and is cost-effective.
(2) The Secretary looks for information that shows--
(i) The budget for the project is adequate to support the early
intervention component activities; and
(ii) Costs are reasonable in relation to the activities under the
component.
(3) The Secretary reviews the State's budget for the early
intervention component to verify that not more than 50 percent of the
State's allotment is projected to be spent on its early intervention
component unless the State requests and is granted a waiver under
Sec. 693.13(b).
(d) Adequacy of resources. (1) The Secretary reviews each State's
plan for information that shows that the State plans to devote adequate
resources to its early intervention component.
(2) The Secretary looks for information that shows--
(i) The facilities that the State plans to use are adequate; and
(ii) The equipment and supplies that the State plans to use are
adequate.
(e) Need for the program. (1) The Secretary reviews each State's
plan for information that shows the need for the early intervention
component and the methods for targeting its early intervention
component activities on eligible students.
(2) The Secretary looks for information that shows--
(i) The number and percentage of students who are eligible to be
served by the State's early intervention component, including students
who are priority students and students who are disadvantaged;
(ii) The extent to which the State documents its need for the
services and activities that the State proposes to provide under its
early intervention component;
(iii) The ratio of secondary school counselors to all students and
to early intervention eligible students, if the data is available;
(iv) For each of the 3 preceding years, if available, the estimated
dropout rates for the State, including the dropout rate for all
students and for students eligible for the early intervention component
as proposed by the State; and
(v) For each of the 3 preceding years, if available, the estimated
number and percentage of students in the State who enrolled in
postsecondary institutions for--
(A) All students who were eligible to enroll; and
(B) Students who would have been eligible for the State's proposed
early intervention component.
(f) Likelihood for success. (1) The Secretary reviews each State
plan for information that shows the likelihood of success of its early
intervention component.
(2) The Secretary looks for information that shows the extent to
which the State's early intervention component is likely to--
(i) Enable the participants to develop academic skills, such as
reading, writing, mathematics, and study skills, that are essential for
postsecondary education;
(ii) Improve academic skills and motivate the participants to
complete a secondary educational program and subsequently gain
admission to postsecondary education institutions; and
(iii) Increase the secondary and postsecondary readmission rates of
those participants who have not completed secondary or postsecondary
education.
(3) The Secretary also looks for information that shows how
comprehensively the State's proposed early intervention component--
(i) Identifies and selects eligible participants;
(ii) Diagnoses each participant's need for academic support in
order to successfully pursue a program of postsecondary education;
(iii) Develops a plan of program support to improve each
participant's skills; and
(iv) Provides the services and activities listed in Sec. 693.11(a)
that relate to the goals of the NEISP Program.
(g) Public and private support. (1) The Secretary reviews each
State's plan for information that shows how the State will put in place
a partnership of public and private organizations within the State to
administer the early intervention component of the program under this
part.
(2) The Secretary looks for information that shows--
(i) The extent to which the State has received and has included in
its plan written commitments by organizations that will provide early
intervention services under Sec. 693.11(b); and
(ii) The existence of a plan to inform the residents of the State
of the NEISP Program services and eligibility criteria.
(h) Coordination with other early intervention activities.
(1) The Secretary reviews each State's plan for information that
shows how the State will coordinate its early intervention component
with existing early intervention activities within the State.
(2) The Secretary looks for information that shows--
(i) The extent to which the State has investigated early
intervention program activity and included in its plan the number and
types of currently operating public and private early intervention
programs within the State;
(ii) The extent to which the State's proposed plan will supplement
existing Federal, State, local, and private early intervention programs
within the State, such as the Federal Head Start, Chapter 1 Program in
Local Educational Agencies, and TRIO programs; and
(iii) The written plans and commitments submitted to the State by
other early intervention program providers that the State plans to use
as either early intervention service providers under Sec. 693.11(b) or
as support organizations for those service providers.
(i) Evaluation report plan. (1) The Secretary reviews each State's
plan to evaluate the quality of the proposed biennial evaluation report
of the early intervention component of the program.
(2) The Secretary looks for information that shows--
(i) The quality of the design of the component;
(ii) The extent that the methods of evaluation are appropriate for
the program and the extent they are objective and produce useful data
that are quantifiable;
(iii) The State's commitment to design an evaluation report to
measure objectively performance against, at a minimum, the following
standards:
(A) The effectiveness of the State's program in meeting the
purposes of the program.
(B) The effect of the program on the student recipients being
served by the program.
(C) The barriers to the effectiveness of the program and
recommendations for changes or improvements to the program.
(D) The cost-effectiveness of the program.
(E) The extent to which the student recipients comply with the
requirements of the program; and
(iv) Any other pertinent program measurements concerning the early
intervention component that the State believes would be useful to the
Secretary, which may be displayed through analytical charts, tables,
and graphs.
(Authority: 20 U.S.C. 1070a-23)
Sec. 693.21 How does the Secretary allot funds to a State?
(a) If the amount appropriated for the program under this part for
a fiscal year is $50,000,000 or more, the Secretary allots to each
State that has submitted an approved plan under Sec. 693.10 and an
approved application under Sec. 693.13, an amount that bears the same
ratio to the total appropriation as the amount allocated to the LEAs in
the State under 34 CFR part 200 bears to the total amount allocated to
all LEAs in all States using the most recently available data.
(b) If the amount appropriated for the program under this part for
a fiscal year is less than $50,000,000, the Secretary allots funds to
each State in accordance with the provisions in Sec. 693.22.
(c) From the allotment calculated in this section, the Secretary
disburses to a State an amount equal to not more than one-half of the
total amount of funds from all sources the State projects that it will
expend on its NEISP Program for a fiscal year as reported on its annual
application under Sec. 693.13(a).
(d) A State may expend from its Federal allotment no more than one-
half of the total amount of funds the State expends under its NEISP
Program for that fiscal year.
(Authority: 20 U.S.C. 1070a-25)
Sec. 693.22 How does the Secretary allot funds to States on a
competitive basis?
(a) The Secretary allots funds to States under this program on a
competitive basis if the program appropriation for a fiscal year is
less than $50,000,000.
(b) The Secretary conducts a grant competition for the States by
means of a notice published in the Federal Register that contains the
information needed by a State to apply for funds under a discretionary
NEISP Program competition. The Secretary evaluates a State's
application for funds under a discretionary NEISP Program competition
on the basis of the extent to which the State fulfills the requirements
listed in Secs. 693.10, 693.11, 693.12, 693.13, and 693.20, and the
selection criteria in this section.
(c)(1) The Secretary uses the selection criteria in paragraph (d)
of this section to evaluate applications for grants under this program.
(2) The maximum score, not including prior grant recipient priority
points in paragraph (d)(12) of this section, for all of these criteria
is 140 points.
(3) The maximum score for each criterion is indicated in
parentheses in paragraph (d).
(4) In the final selection of similarly rated applications, the
Secretary considers the extent to which a State provides--
(i) A comprehensive State-wide early intervention and postsecondary
educational scholarship program;
(ii) Eligible students with comprehensive long-term mentoring and
advising; and
(iii) Eligible students with State grant funds for their
postsecondary education as compared to the other States who apply for
grant funds.
(d)(1) Need for the program. (20 points) The Secretary reviews each
State's application for information that shows the need for the State-
wide early intervention component and the methods for targeting its
early intervention component activities on eligible students including
consideration of--
(i) The number and percentage of students who are eligible to be
served by the State's early intervention component, including students
who are priority students and students who are disadvantaged;
(ii) The extent to which the State documents its need for the
services and activities that the State proposes to provide under its
early intervention component;
(iii) The ratio of secondary school counselors to all students and
to early intervention eligible students, if the data is available;
(iv) For each of the three preceding years, if available, the
estimated dropout rates for the State, including the dropout rate for
all students and for students eligible for the early intervention
component as proposed by the State; and
(v) For each of the three preceding years, if available, the
estimated number and percentage of students in the State who enrolled
in postsecondary institutions for--
(A) All students who were eligible to enroll; and
(B) Students who would have been eligible for the State's proposed
early intervention component; and
(vi) Describes the procedures the State will use to award
postsecondary education scholarships to eligible students in the event
that the State receives reduced or no Federal funding under the NEISP
Program during any fiscal year.
(2) Plan of operation. (30 points) The Secretary reviews each
State's application for information that shows the quality of the
operating plan of the State-wide early intervention component,
including--
(i) (3 points) The quality of the design of the component;
(ii) (3 points) An effective plan of management that ensures proper
and efficient administration of the component;
(iii) (3 points) A clear description of how the State's proposed
early intervention component relates to the purpose of the program;
(iv) (3 points) The way that the State plans to use its resources
and personnel to achieve the objectives of the component;
(v) (3 points) A clear description of the methods that the State
will use to target early intervention services to priority students.
The State must base the proposed methods on the latest available State
data. The State may target services on priority students by--
(A) Elementary and secondary schools with high concentrations of
priority students within the State;
(B) Appropriate identifiable geographic areas such as counties or
school districts (including both public and private schools) with high
concentrations of priority students within the State; or
(C) Other methods proposed by a State and approved by the
Secretary;
(vi) (7 points) A clear description of the comprehensive long-term
mentoring and advising that the State plans to provide to eligible
students; and
(vii) (8 points) The extent to which other State grant funds are
available to eligible NEISP students for their postsecondary education
if the Federal scholarship component of the program is unfunded or
reduced.
(3) Quality of key personnel. (10 points) (i) The Secretary reviews
each State application for information that shows the qualifications of
the key personnel the State plans to use to administer its State-wide
early intervention component including--
(A) The qualifications of the director of the early intervention
component;
(B) The qualifications of each of the other key personnel to be
used in the component; and
(C) The amount of time each person referred to in paragraphs
(d)(3)(i) (A) and (B) of this section will spend working in the
activities under this component.
(ii) To determine the qualifications of the key personnel, the
Secretary considers evidence of past experience and training in fields
related to the objectives of the early intervention component as well
as other information the State provides.
(4) Budget and cost effectiveness. (5 points) The Secretary reviews
each State's application for information that shows that the early
intervention component has an adequate budget and is cost-effective
including--
(i) The budget for the project is adequate to support the early
intervention component activities; and
(ii) Costs are reasonable in relation to the activities under the
component.
(5) Adequacy of resources. (5 points) The Secretary reviews each
State's application for information that shows that the State plans to
devote adequate resources to its early intervention component
including--
(i) The facilities that the State plans to use are adequate; and
(ii) The equipment and supplies that the State plans to use are
adequate.
(6) Likelihood for success. (20 points) The Secretary reviews each
State application for information that shows the extent to which the
State's early intervention component is likely to--
(i) Enable the participants to develop academic skills, such as
reading, writing, mathematics, and study skills, that are essential for
postsecondary education;
(ii) Improve academic skills and motivate the participants to
complete a secondary educational program and subsequently gain
admission to postsecondary education institutions;
(iii) Increase the secondary and postsecondary readmission rates of
those participants who have not completed secondary or postsecondary
education;
(iv) Identify and select eligible participants;
(v) Diagnose each participant's need for academic support in order
to successfully pursue a program of postsecondary education; and
(vi) Develop a plan of program support to improve each
participant's skills.
(7) Public and private support. (15 points) The Secretary reviews
each State's application for information that shows how the State will
put in place a partnership of public and private organizations within
the State to administer the early intervention component of the program
including--
(i) The extent to which the State has received and has included in
its plan written commitments by organizations that will provide early
intervention services; and
(ii) The existence of a plan to inform the residents of the State
of the NEISP Program services and eligibility criteria.
(8) Coordination with other early intervention activities. (15
points) The Secretary reviews each State's application for information
that shows how the State will coordinate its early intervention
component with existing early intervention activities within the State
including--
(i) The extent to which the State has investigated early
intervention program activity and included in its plan the number and
types of currently operating public and private early intervention
programs within the State;
(ii) The extent to which the State's proposed plan will supplement
existing Federal, State, local, and private early intervention programs
within the State, such as the Federal Head Start, Chapter 1 Program in
Local Educational Agencies, and TRIO programs; and
(iii) The written plans and commitments submitted to the State by
other early intervention program providers that the State plans to use
as either early intervention service providers or as support
organizations for those service providers.
(9) Willingness to overmatch. (10 points) The Secretary reviews
each State's application to determine whether the State is willing to
contribute more than one-half the cost of the program and the extent to
which the State will overmatch its Federal allotment.
(10) Evaluation report plan. (10 points) The Secretary reviews each
State's application to evaluate the quality of the proposed biennial
evaluation report of the early intervention component of the program
including--
(i) The quality of the design of the component;
(ii) The extent that the methods of evaluation are appropriate for
the program and the extent they are objective and produce useful data
that are quantifiable; and
(iii) The State's commitment to design an evaluation report to
measure objectively performance against, at a minimum, the following
standards:
(A) The effectiveness of the State's program in meeting the
purposes of the program.
(B) The effect of the program on the student recipients being
served by the program.
(C) The barriers to the effectiveness of the program and
recommendations for changes or improvements to the program.
(D) The cost-effectiveness of the program.
(E) The extent to which the student recipients comply with the
requirements of the program; and
(iv) Any other pertinent program measurements concerning the early
intervention component that the State believes would be useful to the
Secretary, which may be displayed through analytical charts, tables,
and graphs.
(11) Prior experience. (20 points) In any award year subsequent to
the 1994-95 award year, the initial year for which Federal funds were
appropriated for this program, the Secretary gives priority to each
State applicant that has conducted a NEISP Program within the fiscal
year prior to the fiscal year for which the State applicant is applying
in accordance with the following procedures:
(i) To determine the number of priority points to be awarded each
eligible State applicant, the Secretary considers the State's prior
experience of program participation in accordance with paragraphs
(d)(11) (ii) and (iii) of this section.
(ii) The Secretary may add from one to twenty points to the point
score obtained on the basis of the selection criteria, based on the
State applicant's success in meeting the administrative requirements
and programmatic objectives of paragraph (d)(11)(iii) of this section.
(iii) The Secretary--based on information contained in one or more
of the following: performance reports, audit reports, site visit
reports, program evaluation reports, the previously funded application,
the negotiated program plan or plans, previous State matching funds,
and the application under consideration--considers information that
shows--
(A) (5 points) The extent to which the State's program has served
the number of student participants it was funded to serve;
(B) (5 points) The extent to which the State's program has achieved
the goals and objectives as stated in the previously funded application
or negotiated program plan;
(C) (5 points) The extent to which the State has met the
administrative requirements--including recordkeeping, reporting, and
financial accountability--under the terms of the previously funded
award; and
(D) (5 points) The extent to which the State has provided funds to
match its Federal allotment.
(e) The Secretary disburses to each State selected in the
competition conducted under paragraph (b) of this section an amount
equal to not more than one-half of the total amount of funds from all
sources the State projects that it will expend on its NEISP Program for
a fiscal year as reported on its annual application under
Sec. 693.13(a)(1).
(Authority: 20 U.S.C. 1070a-25)
Subpart D--How Does a Student Participate in the Early Intervention
Component Under the NEISP Program?
Sec. 693.30 What are the requirements for a student to be a
participant in the early intervention component of this program?
The State agency administering the NEISP Program, as approved by
the Secretary under Sec. 693.10(b)(1), shall select students in
preschool through grade 12 to participate in the State's early
intervention component, each of whom--
(a)(1) Is a citizen or a national of the United States;
(2) Is a permanent resident of the United States;
(3) Provides evidence from the Immigration and Naturalization
Service that he or she is in the United States for other than a
temporary purpose with the intention of becoming a citizen or permanent
resident; or
(4) Is a permanent resident of the Trust Territory of the Pacific
Islands;
(b) Is, at the time of initial selection, a priority student, an
at-risk student, a disadvantaged student, or a student with a limited
proficiency in English;
(c) Has a need for academic support, as determined by the State, to
pursue his or her education successfully;
(d) Resides within the State;
(e) Is not currently enrolled in a program of postsecondary
education;
(f) Meets such other criteria as the State includes in its plan in
order to meet the unique needs of the State and that are approved by
the Secretary; and
(g) For an otherwise eligible student who is attending secondary
school, is a student whom the State determines can reasonably be
expected to meet the student eligibility requirements of 34 CFR 668.7
for Federal student financial assistance and such other requirements as
necessary to qualify for State, local, or private student financial
assistance, at such time as the student enrolls in postsecondary
education.
(Authority: 20 U.S.C. 1070a-23)
Subpart E--How Does a State Award a Scholarship to a Student?
Sec. 693.40 What are the requirements for a student to receive a
scholarship under this program?
To be eligible for a scholarship under the scholarship component of
this program, a student must--
(a) Apply for the scholarship by following the application
procedures and deadlines established by the State agency approved by
the Secretary under Sec. 693.10(b)(1) to administer the NEISP Program
in the State in which the individual resides;
(b) Meet the relevant eligibility requirements contained in 34 CFR
668.7;
(c) Be less than 22 years old at the time his or her first
scholarship is awarded;
(d) Be enrolled or accepted for enrollment in a program of
instruction at an institution of higher education that is located
within the State's boundaries, except that a State, at its option, may
offer such a scholarship to a student who attends an eligible
institution of higher education outside of the State; and
(e)(1) Have participated in the early intervention component of the
program under this part; or
(2) Be a student whom the State documents as having successfully
participated in a Federal TRIO program funded under chapter 1, subpart
2, part A of title IV of the HEA as determined by an administrator of
the appropriate Federal TRIO program in which the student participated.
(Authority: 20 U.S.C. 1070a-24)
Subpart F--What Postaward Conditions Must Be Met by a State?
Sec. 693.50 What are allowable costs attributable to administration of
the early intervention component?
A State may use its NEISP Program funds for the following allowable
costs not specifically covered by 34 CFR parts 76 or 80 that are
reasonably related to carrying out the early intervention component of
the NEISP Program:
(a) In-service training of project staff.
(b) Transportation and meal costs for participants and staff for--
(1) Approved visits to postsecondary educational institutions in
the area;
(2) Participation in ``College Days'' and ``College Fair''
activities; and
(3) Field trips to observe and meet with people who are employed in
various career fields and who can act as role models for early
intervention participants.
(c) Purchasing testing materials.
(d) Admission fees, transportation, and other costs necessary to
participate in field trips, attend educational activities, visit
museums, and attend other events that have as their purpose the
intellectual, social, and cultural development of early intervention
participants.
(e) Courses in English language instruction for participants with
limited proficiency in English, if these classes are limited to early
intervention component participants and if these classes are not
otherwise available to those participants.
(f) For participants in an early intervention residential summer
activity, room and board--computed on a weekly basis--not to exceed the
weekly rate a host institution charges regularly enrolled students at
the institution.
(g) Room and board for those people responsible for dormitory
supervision of early intervention component participants during a
residential summer activity.
(h) Transportation costs of early intervention component
participants for regularly scheduled component activities.
(i) Transportation, meals, and overnight accommodations for staff
members if they are required to accompany participants in program
activities such as field trips.
(j) Costs of remedial and special classes if--
(1) These classes are limited to early intervention component
participants; and
(2) Identical instruction is not readily available through another
Federal program or a State, local, or privately funded program.
(Authority: 20 U.S.C. 1070a-22)
Sec. 693.51 What are nonallowable costs that may not be charged to
administration of the early intervention component?
A State may not use its NEISP Program funds for costs incurred for
the early intervention component of the NEISP Program such as--
(a) Duplication of services that are available to participants
through--
(1) State, local, or private sources not included in the State plan
under Sec. 693.11; or
(2) Other Federal programs, such as projects under the Federal TRIO
programs;
(b) Research not directly related to the evaluation or improvement
of the program;
(c) Purchase of any equipment, unless the State demonstrates to the
Secretary's satisfaction that purchase is less expensive than renting
or leasing;
(d) Meals for program staff except as provided in Sec. 693.50.
(e) Clothing;
(f) Construction, renovation, or remodeling of any facilities; or
(g) Tuition, stipends, or any other form of student financial
support for program staff.
(Authority: 20 U.S.C. 1070a-22)
Sec. 693.52 What requirements must a State meet in preparing and
submitting an evaluation report?
(a) Each State receiving an allotment under this part shall prepare
and submit to the Secretary every two years an evaluation of the early
intervention component of its NEISP Program. The report must summarize
and evaluate a State's activities under the program and the performance
of the student participants. Each State's evaluation report design must
include measures that permit the State to track all participating
students progress throughout each student's participation in the
program.
(b) The biennial evaluation report of the early intervention
component of the program must include, but is not limited to--
(1) Quantifiable information on the extent to which the State's
program is fulfilling the program objectives;
(2) The effect of the program on the student recipients being
served by the program, including measurable outcomes such as improved
academic performance, increased postsecondary education enrollment and
retention, increased elementary and secondary school grade retention,
reduced elementary and secondary school dropout rates, and reduced
financial barriers to attendance at institutions of higher education;
(3) The barriers to the effectiveness of the program and
recommendations for changes or improvements to the program;
(4) The cost-effectiveness of the program;
(5) The extent to which the student recipients comply with the
requirements of the program;
(6) Key program information listed on an annual and biennial basis;
(7) Other pertinent program measurements concerning the early
intervention component that the State believes would be useful to the
Secretary, which may be displayed through analytical charts, tables,
and graphs; and
(8) Any other information required by the Secretary in order to
carry out the evaluation report function.
(Authority: 20 U.S.C. 1070a-26)
[FR Doc. 94-5190 Filed 3-7-94; 8:45 am]
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