[Federal Register Volume 59, Number 91 (Thursday, May 12, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-11499]
[[Page Unknown]]
[Federal Register: May 12, 1994]
_______________________________________________________________________
Part V
Department of Education
_______________________________________________________________________
34 CFR Parts 75 and 693
National Early Intervention Scholarship and Partnership Program; Final
Rule and Notice
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: Final Regulations
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SUMMARY: The Secretary provides final 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, (1992
amendments), which amended the Higher Education Act of 1965 (HEA).
These final regulations for the NEISP Program specify the role of the
Secretary and the responsibilities of the States in the administration
of the program. The final 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.
EFFECTIVE DATE: These regulations take effect either 45 days after
publication in the Federal Register or later if the Congress takes
certain adjournments. If you want to know the effective date of these
regulations, call or write the Department of Education contact person.
A document announcing the effective date will be published in the
Federal Register.
FOR FURTHER INFORMATION CONTACT: Daniel Sullivan or Priscilla Zink
Mulford, 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 provides final regulations to
implement the National Early Intervention Scholarship and Partnership
(NEISP) Program, a new program authorized under the amended HEA, (Pub.
L. 102-325). The Secretary also amends a reference to the NEISP Program
in 34 CFR 75.60 of the regulations for the Direct Grant Programs. The
Secretary also is making technical amendments in separate final
regulations to insert references to the NEISP Program into the
appropriate sections of 34 CFR part 668, 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 Statewide 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.
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).
On March 8, 1994, the Secretary published a notice of proposed
rulemaking (NPRM) for this program in the Federal Register (59 FR
10926-10937). The major issues addressed by the proposed regulations
are discussed in the preamble to the NPRM. Except for minor editorial
and technical revisions, there are no differences between the NPRM and
these final regulations. One of the technical revisions is that the
Secretary is including in Sec. 693.40(d) the requirement under section
404D(d)(2) of the HEA that, to be eligible for a NEISP Program
scholarship, a student must have received a high school diploma or a
certificate of high school equivalence on or after January 1, 1993.
Analysis of Comments and Changes
In response to the Secretary's invitation in the NPRM, six parties
submitted comments on the proposed regulations. An analysis of the
comments and of the changes in the regulations since publication of the
NPRM follows.
Substantive issues are discussed under the section of the
regulations to which they pertain. Technical and other minor changes--
and suggested changes the Secretary is not legally authorized to make
under the applicable statutory authority--are not addressed.
PART 693--NATIONAL EARLY INTERVENTION SCHOLARSHIP AND PARTNERSHIP
PROGRAM
Comment: One commenter applauded the Department's efforts to date,
and another commenter noted the many good aspects of the proposed
regulations, including their overall clarity and sensitivity to State
issues.
Discussion: The Secretary agrees with the commenters and thanks
them for their support.
Changes: None.
Section 693.10 What must a State do to obtain a grant under this
program?
Comment: One commenter recommended Sec. 693.10(b)(1) be modified to
have the State agency that administers the State Student Incentive
Grant (SSIG) Program be the only designated agency for administering
the NEISP Program. The commenter believed that, since the SSIG agency
was already involved with the administration of grant and loan programs
as well as early intervention programs, the agency would be able to
ensure that the Statewide efforts would be well-coordinated.
Discussion: While the circumstances described by the commenter may
be true in some States, the States vary with respect to how they
distribute various responsibilities among State agencies. The
Secretary, therefore, continues to believe that requiring the Governor
of a State to designate the agency responsible for the NEISP Program
provides necessary flexibility for the States. In addition, it ensures
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.
Changes: None.
Section 693.10 What must a State do to obtain a grant under this
program? And Section 693.13 What information must a State provide in
its annual application to receive a grant under the NEISP Program?
Comment: One commenter believed that a State would have to identify
private funds expended within the State under Sec. 693.10(b)(5)(i) and
Sec. 693.13(a)(4) to ensure that the funds provided under the NEISP
Program will supplement and not supplant funds expended for State and
local early intervention programs and State need- and non-need-based
student financial grant assistance programs. The commenter believed
that it would be sufficient to document the amount of State funds
expended on need-based student financial aid alone or the amount
expended for State-matching funds for the NEISP Program. One commenter
was also concerned that, in the Supplementary Information section of
the preamble to the NPRM (59 FR 10927), the discussion of this
requirement can be interpreted to mean that a State's matching
expenditures under the NEISP Program should be an amount that exceeds,
as opposed to being an amount that is in addition to, the amount of
funds the State previously expended. Another commenter questioned
whether State funds appropriated to postsecondary institutions and used
for student assistance in the State could be used as matching funds
under Sec. 693.10(b)(5).
Discussion: The Secretary notes that the texts of
Sec. 693.10(b)(5)(i) and Sec. 693.13(a)(4) refer only to ``State and
local,'' i.e., public, expenditures as does the applicable statutory
provision (section 404B(b)(3) of the HEA). Under Sec. 693.10(b)(5)(i)
and Sec. 693.13(a)(4), a State's matching funds under the NEISP Program
represent expenditures that are in addition to the level of funds
previously expended instead of a matching amount that exceeds the
previous level of expenditures, and these funds may include State funds
appropriated to postsecondary educational institutions and used for
student grant aid including tuition waivers at public institutions.
Changes: None.
Section 693.11 What requirements must be met by the State under
the program's early intervention component?
Comment: Two commenters requested clarification concerning whether
under Sec. 693.11(a) the States were required to provide all of the
early intervention services listed or whether the activities cited are
examples that States may choose to incorporate into their NEISP
Program.
Discussion: Under section 404C(b)(3) of the NEISP Program statute,
the early intervention activities listed are given as examples of
permissible activities. Section 693.11(a) therefore provides States
with examples of acceptable early intervention activities.
Changes: The Secretary is amending Sec. 693.11(a) to clarify that
the activities listed in Sec. 693.11(a) are examples of appropriate
activities.
Section 693.12 What requirements must be met by the State under
the program's scholarship component?
Comment: One commenter recommended modifying Sec. 693.12(c) (1) and
(2) to include an option for a State to award scholarships based on the
State's definition and prioritization of low-income students as an
alternative to the expected family contribution (EFC) as calculated
under part F of title IV of the HEA. Another commenter recommended the
Secretary adopt as a standard for defining low-income students the
standard used for the Federal TRIO programs.
Discussion: The Secretary agrees with the commenter that there are
additional standards for identifying low-income students and agrees
that a State should be able to use the State's criteria for identifying
low-income students in prioritizing eligible students as an alternative
to using the EFC. However, the Secretary believes that using the EFC
represents a proven methodology for identifying low-income students and
that it is in the Federal interest for any departures from using the
EFC to be subject to approval by the Secretary.
Changes: The Secretary is amending Sec. 693.12(c) (1) and (2) to
provide a State the option of developing and using its own criteria for
identifying a low-income student if approved by the Secretary.
Comment: One commenter recommended changing the wording under
Sec. 693.12(f) to clarify that the assumption should not be made that
NEISP recipients must receive other student financial assistance in
order to be eligible to receive an NEISP Program scholarship.
Discussion: The Secretary agrees that an NEISP recipient need not
be receiving other student financial assistance in order to be eligible
to receive an NEISP Program scholarship.
Changes: The Secretary is amending Sec. 693.12(f) to clarify that
this provision applies to a NEISP Program scholarship recipient who
also is eligible for and receiving other student assistance.
Section 693.20 What criteria does the Secretary use to determine
whether a State's proposed early intervention component meets the
requirements under this program as a formula grant program?
Comment: One commenter believed that the extensive data requested
under Sec. 693.20(e)(2) should be collected for the targeted area in
which the State plans to operate its program rather than providing data
covering the entire State.
Discussion: The Secretary believes that, in order to be able to
target the areas in which the NEISP Program will be most beneficial, it
is necessary for States to collect and analyze Statewide data as
required under Sec. 693.20(e)(2). The Secretary notes that this
requirement is not intended to be overly prescriptive and that a State
is expected to have sufficient information available to make a
reasonable determination of Statewide needs for early intervention
activities.
Changes: None.
Section 693.22 How does the Secretary allot funds to States on a
competitive basis?
Comment: One commenter believed that the ``tie-breaker'' to be used
in the selection of similarly rated applications under
Sec. 693.22(c)(4) should not give preference to Statewide programs. Due
to the limited Federal funding, the commenter proposed that priority be
given to programs that will serve a targeted population well, rather
than serving students Statewide but in a less effective way.
Discussion: The Secretary believes that the emphasis placed on
selecting applicants with Statewide, coordinated programs is
appropriate. Since this provision is a ``tie-breaker'' for otherwise
similarly rated applications, the Secretary does not believe that the
State providing services to more areas will be less effective.
Changes: None.
Comment: One commenter believed that early intervention programs
should be provided as early in a student's schooling as necessary to be
effective and, therefore, believed that there should be a stronger
preference for long-term early intervention programs in the selection
criteria.
Discussion: During the development of the NPRM, the Secretary gave
careful consideration to the need to emphasize long-term mentoring and
advising and believes that adequate emphasis on long-term mentoring and
advising has been incorporated into Sec. 693.22 after taking into
consideration the overall objectives of the early intervention program.
Changes: None.
Section 693.40 What are the requirements for a student to receive
a scholarship under this program?
Comment: One commenter recommended adding to the scholarship
requirements under Sec. 693.40 that a student (1) must meet or exceed
the academic milestones listed in the student agreement and (2) be
determined at the time of application to be a low-income student.
Discussion: If a State, as part of its early intervention program
under Sec. 693.11, requires a student to sign an agreement that
includes academic milestones, the Secretary agrees that the State
should be able to require that a student meet these milestones as one
of the student eligibility requirements for a scholarship. However, if
a student has participated in the early intervention program, the
student should be eligible for scholarship consideration since income
level is not necessarily the basis for determining scholarship
eligibility in the NEISP Program under section 404D(d) of the HEA.
Changes: The Secretary is amending Sec. 693.40 to provide that if a
State includes academic milestones in a written agreement signed by a
student under Sec. 693.11(a)(3), it may include meeting these
milestones as a scholarship eligibility requirement.
Comment: One commenter believed that under proposed Sec. 693.40(e)
(1) and (2) the Secretary should not limit scholarship eligibility to
those students who participated in the NEISP Program or a Federal
Upward Bound Program. The commenter believed that accepting early
intervention programs comparable to those described in section 404C of
the program statute as meeting the requirement would allow States the
flexibility to identify additional students as eligible to receive
scholarships.
Discussion: The Secretary agrees with the commenter and further
notes that section 404D(d)(4) of the HEA clearly provides for such an
option since it does not require that the early intervention program
establishing student eligibility for a scholarship be funded under the
NEISP Program as is required in the case of the Federal Upward Bound
Program in section 404D(e)(2) of the HEA.
Changes: The Secretary is amending Sec. 693.40 to add
Sec. 693.40(g)(3) which provides the option to a State to consider
other comparable early intervention programs as also meeting this
student eligibility requirement.
Section 693.52 What requirements must a State meet in preparing
and submitting an evaluation report?
Comment: One commenter believed that, due to the comprehensive
nature of the biennial evaluation report under Sec. 693.50(b), it would
not be reasonable to estimate one hour to complete the report. In the
commenter's opinion, the report could not be designed and implemented
in less than two staff months.
Discussion: The Secretary agrees and is amending the burden hour
estimate to reflect two staff months. The Secretary encourages each
State to work with the Departmental program staff to streamline its
evaluation study while still providing relevant policy information.
Changes: None.
Comment: One commenter recommended that under Sec. 693.52(b) the
Secretary should not require that a State's biennial evaluation report
include all the listed items and, instead, should require only that a
State address the listed items to the extent possible.
Discussion: The Secretary believes that, in order to have a
comprehensive evaluation of the early intervention program, States must
include at a minimum the types of information listed in Sec. 693.53(b).
The Secretary recognizes a State's evaluation report may place varying
emphasis on the different items listed.
Changes: None.
Executive Order 12866
These final 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 final regulations are those
resulting from statutory requirements and those determined by the
Secretary to be necessary for administering this program effectively
and efficiently.
In assessing the potential costs and benefits--both quantitative
and qualitative--of these final regulations, the Secretary has
determined that the benefits of the final 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.
Assessment of Educational Impact
In the notice of proposed rulemaking, the Secretary requested
comments on whether the proposed regulations would require transmission
of information that is being gathered by or is available from any other
agency or authority of the United States.
Based on the response to the proposed rules and on its own review,
the Department has determined that the regulations in this document do
not 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
34 CFR Part 75
Education Department, Grant programs--education, Grant
administration.
34 CFR Part 693
Grant programs--education, Postsecondary education, State
administered--education, Student Aid--education, Reporting and
recordkeeping requirements.
Dated: May 2, 1994.
Richard W. Riley,
Secretary of Education.
(Catalog of Federal Domestic Assistance Number 84.272, National
Early Intervention Scholarship and Partnership Program)
The Secretary amends 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 as a formula grant 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 (formula grant program), 693.21, and 693.22
(discretionary grant program) 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 prefreshman 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 subpart A of the Institutional Eligibility
regulations, 34 CFR part 600. The following terms used in this part are
defined in 34 CFR part 600:
Award year
Institution of higher education
Recognized equivalent of a high school diploma
(c) Definition in the Student Assistance General Provisions
regulations, 34 CFR part 668. The following term used in this part is
defined in 34 CFR part 668:
Academic year
(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 (formula grant program) and Sec. 693.22 (discretionary
grant program); 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)
(Approved by the Office of Management and Budget under control
number 1840-0677)
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. These
services may include, but are 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) Prefreshman 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 prefreshman 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 prefreshman 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)
(Approved by the Office of Management and Budget under control
number 1840-0677)
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 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 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 who will receive Federal Pell
Grants and who--
(i) Have the lowest expected family contributions as calculated
under part F of title IV of the HEA; or
(ii) Are the neediest students as prioritized under the State's
criteria for low-income students if the State's criteria are approved
by the Secretary; 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 who will not receive Federal Pell Grant awards
and who--
(i) Have the lowest expected family contributions; or
(ii) Are the neediest students as prioritized under the State's
criteria for low-income students if the State's criteria are approved
by the Secretary;
(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 who is eligible for and receiving other postsecondary student
financial assistance, 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)
(Approved by the Office of Management and Budget under control
number 1840-0677)
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)
(Approved by the Office of Management and Budget under control
number 1840-0677)
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 as a formula grant 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)
(Approved by the Office of Management and Budget under control
number 1840-0677)
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, and 693.13, 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) of this section.
(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)
(Approved by the Office of Management and Budget under control
number 1840-0677)
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) Have a high school diploma or a certificate of high school
equivalence received on or after January 1, 1993;
(e) 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;
(f) If a State includes academic milestones in a student agreement
under Sec. 693.11(a)(3) and requires the student to meet the milestones
to be eligible for a scholarship, have met or exceeded the academic
milestones to receive a scholarship; and
(g)(1) Have participated in the early intervention component of the
program under this part;
(2) At the State's option, be a student whom the State documents as
having successfully participated in a Federal Upward Bound Program
funded under section 402C, chapter 1, subpart 2, part A of title IV of
the HEA as determined by an administrator of the Federal Upward Bound
program in which the student participated; or
(3) At the State's option, be a student whom the State determines
as having successfully participated in an early intervention program
comparable to the early intervention component of the program under
this part.
(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)
(Approved by the Office of Management and Budget under control
number 1840-0677)
[FR Doc. 94-11499 Filed 5-11-94; 8:45 am]
BILLING CODE 4000-01-P