shall not preclude the use of funds appropriated and allotted under other parts or sections of the Act for the same purpose or category of expenditure: Provided, That all of the conditions and requirements applicable to the use of funds appropriated and allotted under all such parts and sections of the Act are met.

SUBPART E-PAYMENTS AND REPORTS § 102.151 Conditions for payments to

States. Payments to States under the Act will be made only after the Commissioner determines that:

(a) The State has on file in the Office of Education a State plan (including the long-range and annual program plan for the fiscal year of the allotment from which payment is to be made) which was adopted by the State board after consultation with the State advisory council and approved by the Commissioner;

(b) The State has certified to the Commissioner the establishment and membership of a State advisory council pursuant to § 102.21 (c); and

(c) Total State and local expenditures for "vocational education" (as defined in § 102.3 (aa)) in that State for the preceding fiscal year were not less than total State and local expenditures for vocational education in the second preceding fiscal year. Total State and local expenditures for vocational education in the preceding fiscal year shall not be deemed to be reduced from those in the second preceding fiscal year unless the per-student expenditure for vocational education within the State in the preceding fiscal year is less than that in the second preceding fiscal year by more than 5 percent.

§ 102.152

Withholding of payments.

Whenever the Commissioner, after reasonable notice and opportunity for hearing to the State board, determines on the basis of information available to him that (a) the State plan has been so changed that it no longer complies with any State plan requirements in the Act and the regulations in this part, or (b) in the administration of the State plan, there is a failure to comply substantially with any such requirement, the Commissioner will notify such State board that no further payments will be made to the State until he is satisfied that the State has complied with such requirements. At his discretion, the Commissioner may

notify the State board that payment of Federal funds will be limited to support of programs under the State plan or portions of the State plan not affected by the State's failure to comply with such requirements.

§ 102.153 Payment to State advisory council.

Upon his approval of the budget submitted by the State advisory council pursuant to § 102.23 (e), the Commissioner will pay the amount requested by the State advisory council in its approved budget; Provided, That such amount does not exceed the maximum entitlement of the State advisory council determined pursuant to section 104 (c) of the Act and applicable appropriation acts.

[35 F.R. 16634, Oct. 27, 1970]

§ 102.156 Transfer of allotments.

(a) Any portion of the amount allotted to any State for any fiscal year from funds appropriated under section 102(a) of the Act for the purposes of part B or part C of the Act which the Commissioner determines will not be required for such purposes in the period during which such allotment is available may, upon the approval of the Commissioner pursuant to paragraph (c) of this section, be transferred to or combined with one or more of the other allotments to the State for the same fiscal year under the Act. The amount so transferred is subject to the same conditions and requirements as the allotment to which it is transferred, and is no longer subject to the conditions and requirements as the allotment from which it was transferred. Thus, any reference in this part to "funds allotted under the Act" refers also to transferred funds included as a part of an allotment under the Act.

(b) A State board desiring to transfer funds from its allotment of funds appropriated under section 102(a) of the Act to another allotment under the Act shall submit as part of its annual State plan or amendment thereto a request for such a transfer. Such request shall indicate how the annual plan will be affected by the transfer and will provide information to permit application of the following criteria:

(1) The need for the funds to be transferred is substantially greater for the - purpose of the allotment to which the transfer will be made than for the purposes of part B or part C of the Act, as the case may be;

(2) The transfer will permit a use of funds for a purpose or in a manner which would not be permitted under part B or part C of the Act;

(3) The funds to be transferred will be used effectively for the purpose of the allotment to which they are to be transferred; and

(4) The transfer of funds will result in the most effective use of such funds. (c) The Commissioner will approve the State board's request for transfer of funds if he is satisfied that the transfer will meet the criteria set forth in paragraph (b) of this section; otherwise, he will disapprove such request. Such approval or disapproval will be based on information submitted by the State board with its request pursuant to paragraph (b) of this section, or on any other estimates, reports, and information available to the Commissioner which have been submitted by the State board or obtained by the Commissioner through independent investigation.

[35 F.R. 7334, May 9, 1970, as amended at 35 FR. 16634, Oct. 27, 1970]

(a) (1) Any amount of any State's allotment under any part of the Act except part D which the Commissioner determines is not required for carrying out the State's plan under that part and which has not been transferred to another allotment within the State pursuant to § 102.156 will be available for reallotment to other States on such dates as the Commissioner may fix for the purpose for which the amount was originally allotted.

(2) Any amount of any State's allotment under parts B and F of the Act which the State is required by §§ 102.59 and 102.92 (c) to expend for a particular purpose (i.e., vocational education for disadvantaged persons, vocational education for handicapped persons, postsecondary vocational education, or consumer and homemaking education in economically depressed and high unemployment areas) and which the Commissioner determines will not be expended for such purpose shall be available for reallotment to other States only for such purpose.

(3) The amount of any reallotment pursuant to subparagraphs (1) and (2) of this paragraph shall be deemed to be part of the State's allotment for such fiscal year. Thus, any reference in this

part to "funds allotted under the Act" refers also to reallotted funds included as a part of an allotment under the Act.

(b) Any determination by the Commissioner pursuant to paragraph (a) of this section will be made on the basis of (1) a certified statement submitted by the State affirming that the State does not require the full amount of one or more of its original allotment(s) to carry out its plan, (2) reports and information acquired by the Commissioner either from the State or from independent investigation indicating that the State does not require the full amount of one or more of its original allotment(s), or (3) both. Within a reasonable time prior to the date fixed for reallotment of funds, the Commissioner will notify the State of his determination affecting the State's allotment(s) and either modify the amount certified for payment to the State or, if payment has already been made, direct the State to return to the United States whatever amount the Commissioner determines the State does not need.

(c) Reallotments will be made to other States in proportion to their original allotment for the fiscal year in which the original allotment was made; except that, subject to the provisions in paragraph (d) of this section, such reallotments to such other States will be reduced to the extent which the Commissioner estimates such State needs and will be able to use under its plan without delay for such fiscal year. The total of such reductions will then be reallotted among those States not suffering such a reduction in proportion to their original allotment except to the extent specified in the preceding sentence, and then reallotted as many times as necessary to exhaust such amount. Such estimate by the Commissioner will be made on the basis of (1) the certified statement submitted by the State pursuant to paragraph (b) of this section affirming that the State does not require the full amount of its original allotment to carry out its plan, (2) a request for reallotment by the State and its supporting certified statement indicating the amount of additional funds it needs and will be able to use effectively to carry out its plan, (3) reports and information acquired by the Commissioner either from the State board or from independent investigation, or (4) any or all of the above. Within a reasonable time before the date fixed for

reallotment, the Commissioner will notify the State of the amount of reallotted funds (if any) the State shall receive.

(d) Any State which the Commissioner has determined, either on the basis of certified statements from the State or from other reports or information available to him, (1) does not require the full amount of its original allotment to carry out its plan, or (2) does not need or will not be able to use effectively the full amount of its proportionate share of funds to be reallotted, may, on or before the date fixed for reallotment, request that the Commissioner reconsider his determination affecting the original allotment or anticipated reallotment to such State, and submit with its request additional supporting information and data. If the Commissioner's determination is based in whole or in part on certified statements submitted by the State itself, the State may submit to the Commissioner an amendment to such certification on or before the date fixed for reallotment. The Commissioner, in making his reallotment of funds to the States, will take into consideration all such amendments and additional information furnished by the State with its request for reconsideration of the Commissioner's determination. All decisions made by the Commissioner regarding the reallotment of funds are final once reallotment is made.

§ 102.159 Annual evaluation report.

(a) The State board shall submit to the Commissioner and the National Advisory Council, on or before December 1 of each year, an annual evaluation report prepared by the State advisory council pursuant to § 102.23 (c), in accordance with procedures established by the Commissioner. This report shall contain (1) the results of the evaluations by the State advisory council of the effectiveness of programs, services, and activities carried out under the State plan in the year under review in meeting the program objectives set forth in the long-range and annual program plans required by §§ 102.33 and 102.34; and (2) such recommended changes in the content and administration of the State's programs, services, and activities as may be deemed by the State advisory council to be warranted by its evaluation results.

(b) The annual evaluation report of the State advisory council may be accom

panied by such comments of the State board as it deems appropriate. The recommendations of the State advisory council shall be considered by the State board in developing the State plan for the ensuing year. Response in writing to each recommendation shall accompany the State plan and may include, among other matters, the results of evaluations by the State board of programs, services, and activities which support, supplement, or differ with the evaluation results of the State advisory council. [37 F.R. 2882, Feb. 9, 1972]

§ 102.160 Annual report of program activities.

The State board shall submit on or before October 1 of each year in accordance with procedures established by the Commissioner an annual report concerning the conduct of activities described in the annual plan pursuant to § 102.34(a) and the extent to which these activities carried out the objectives set forth in the long-range program plan pursuant to § 102.34 (c) for the preceding fiscal year. The annual report shall also set forth the total receipts and expenditures of Federal funds for that year. This report shall consist of three parts: Fiscal, statistical, and descriptive.

(a) The fiscal report shall show the expenditures of each of the several allotments made to the State under the Act, that the Federal funds expended from each of the allotments in the States have been matched by the non-Federal share, if any, required for such allotment, that the maintenance-of-effort requirement set forth in § 102.151 (c) has been met, and that all other conditions and requirements of the Act of a fiscal nature have been satisfied. All expenditures of non-Federal funds which meet the requirements of the Act, the regulations in this part, and the State plan and eligible for Federal financial participation under the Act shall be included, whether or not such expenditures are required for inclusion in the non-Federal share under any one of the allotments under the Act. Such information shall be compiled and submitted to the Commissioner on forms furnished to the State board by the Commissioner.

(b) The statistical report shall include supporting data with respect to programs, services, and activities under the State plan for which expenditures of funds are reported in the fiscal report.

Such data shall be compiled and submitted to the Commissioner on forms furnished to the State board by the Commissioner.

(c) The descriptive report shall be a narrative account of the programs, services, and activities under the State plan for which expenditures of funds are reported in the fiscal report. Such information shall be compiled and submitted to the Commissioner in accordance with such forms and instructions as may be furnished to the State board by the Commissioner.

§ 102.161 Final reports of programs or projects.

The State board shall submit to the Commissioner copies of final reports of programs or projects conducted by grantees or contractors under parts C and D of the Act.

103.22 Eligible programs and projects. 103.23 Eligible applicants.

103.24 Applications for grants or contracts. 103.25 Review of applications. 103.26 Distribution of grants and contracts among the States.

Subpart D-Curriculum Development Programs 103.31 Purpose.

103.32 Eligible programs and projects. 103.33 Eligible applicants.

APPENDIX A-Exemplary Projects in Vocational Education Additional Criteria.

APPENDIX B-Research Projects in Vocational Education Additional Criteria.

AUTHORITY: The provisions of this Part 103 issued under sections 131-134, 141-145, and 191, 82 Stat. 1078-1082 and 1091; 20 U.S.C. 1281-1284, 1301–1305, and 1391, as amended.

SOURCE: The provisions of this Part 103 appear at 35 F.R. 11976, July 24, 1970, unless otherwise noted.

(e) "Local educational agency" means a board of education or other legally constituted local school authority having administrative control and direction of public elementary or secondary schools in a city, county, township, school district, or political subdivision in a State, or any other public educational institution or agency (such as a junior or community college or State-operated area vocational school) having administrative control and direction of a vocational education program.

(f) "New careers" or "new occupations" includes careers or occupations in such fields as mental and physical health, crime prevention and correction, welfare, education, municipal services, child care, and recreation requiring less training than professional positions in such fields but providing opportunity for advancement within a career continuum or sequence.

(g) [Reserved]

(h) "State" means a State of the Union, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, and the Trust Territory of the Pacific Islands.

(i) "State board" means the State board designated or created under State

law as the sole State agency responsible for the administration of vocational education, or for supervision of the administration thereof by local educational agencies in the State, and designated in the State plan pursuant to the regulations governing State vocational education programs (45 CFR 102.32).

(j) "Training programs" means shortterm institutes, conferences, workshops, seminars, and other professional training programs of less than 10 weeks of duration undertaken pursuant to subparts B or D of this part.

means

(k) "Vocational education" both vocational education and technical education.

[35 FR 11976, July 24, 1970, as amended at 38 FR 30658, Nov. 6, 1973]

Subpart B-Research and Training Programs

§ 103.11 Eligible programs and projects.

Funds available under section 131(a) of the Act may be used by the Commissioner to award grants and contracts to eligible applicants to pay part of the cost of the following types of activities related to vocational education:

(a) Research in vocational education; (b) Training programs designed to familiarize persons involved in vocational education with research findings and successful pilot and demonstration projects in vocational education;

(c) Experimental, developmental, and pilot programs and projects designed to test the effectiveness of research findings;

(d) Demonstration and dissemination projects;

(e) The development of new vocational education curricula; and

(f) Projects in the development of new careers and occupations, such as

(1) Research and experimental projects designed to identify new careers and to delineate, within such careers, roles with the potential for advancement from one level to another;

(2) Training and development projects designed to demonstrate improved methods for securing the involvement, cooperation, and commitment of both the public and private sectors toward the end of achieving greater coordination and more effective implementation of programs for the employment of persons in new careers and occupations, including programs to prepare professionals (including administrators) to work effectively with aides; and

(a) Any applicant eligible for a grant or contract under § 103.12 may file on or before the cutoff date or dates announced by the Commissioner for each fiscal year an application in accordance with such forms and instructions as may be prescribed by him. Such an application shall contain

(1) A description of the nature, duration, purpose, and plan of the program or project (including a statement of its national, regional, or interstate significance, if any);

(b) All applications from local educational agencies shall be submitted to the Commissioner through the State board and shall be accompanied by a statement of the State board indicating its approval of the application. All applications from other than local educational agencies shall either be submitted in the same manner as applications from local educational agencies or be accompanied by a statement of the applicant, indicating the extent to which the proposed program or project has been developed in conjunction or in consultation with the State board or boards.

(c) The application shall be executed by an individual authorized to act for the applicant. Applications and requests for information shall be sent to: Research Analysis and Allocation Staff, National Center for Educational Research and Development, Office of Education, U.S.