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Texas Even Start Administrative Manual

June 2004, (Revised January 2008, September 2008)

FERPA, EDGAR, OMB

Model Notification of Rights under FERPA for Postsecondary Institutions

The Family Educational Rights and Privacy Act (FERPA) affords students certain rights with respect to their education records. These rights include:

1. The right to inspect and review the student's education records within 45 days of the day the University receives a request for access. Students should submit to the registrar, dean, head of the academic department, or other appropriate official, written requests that identify the record(s) they wish to inspect. The University official will make arrangements for access and notify the student of the time and place where the records may be inspected. If the records are not maintained by the University official to whom the request was submitted, that official shall advise the student of the correct official to whom the request should be addressed.

2. The right to request the amendment of the student's education records that the student believes is inaccurate. Students may ask the University to amend a record that they believe is inaccurate. They should write the University official responsible for the record, clearly identify the part of the record they want changed, and specify why it is inaccurate. If the University decides not to amend the record as requested by the student, the University will notify the student of the decision and advise the student of his or her right to a hearing regarding the request for amendment. Additional information regarding the hearing procedures will be provided to the student when notified of the right to a hearing.

3. The right to consent to disclosures of personally identifiable information contained in the student's education records, except to the extent that FERPA authorizes disclosure without consent.

One exception, which permits disclosure without consent, is disclosure to school officials with legitimate educational interests. A school official is a person employed by the University in an administrative, supervisory, academic or research, or support staff position (including law enforcement unit personnel and health staff); a person or company with whom the University has contracted (such as an attorney, auditor, or collection agent); a person serving on the Board of Trustees; or a student serving on an official committee, such as a disciplinary or grievance committee, or assisting another school official in performing his or her tasks.

A school official has a legitimate educational interest if the official needs to review an education record in order to fulfill his or her professional responsibility.

[Optional] Upon request, the University discloses education records without consent to officials of another school in which a student seeks or intends to enroll. [NOTE: FERPA requires an institution to make a reasonable attempt to notify the student of the records request unless the institution states in its annual notification that it intends to forward records on request.]

4. The right to file a complaint with the U.S. Department of Education concerning alleged failures by State University to comply with the requirements of FERPA. The name and address of the Office that administers FERPA is:

Family Policy Compliance Office
U.S. Department of Education
400 Maryland Avenue, SW
Washington, DC 20202-4605

Elementary and Secondary Education Act (ESEA)

The legislation for the Elementary and Secondary Education Act is found on this link:

http://www.ed.gov/policy/elsec/leg/esea02/index.html

Since the entire act is significantly large, here are the provisions that apply to Adult Education Programs. These following special provisions apply to all programs funded under the Elementary and Secondary Education Act, as amended by P. L. 103-382, Title XIV, Section 14306. No Child Left Behind Act, 2001-Title 1, Part B

Each such program will be administered in accordance with all applicable statutes, regulations, program plans, and applications.
The control of funds provided under each such program and title to property acquired with program funds will be in a public agency or in a nonprofit private agency, institution, organization, or Indian tribe, if the law authorizing the program provides for assistance to such entities.
The public agency, nonprofit private agency, institution, or organization, or Indian tribe will administer such funds and property to the extent required by the authorizing statutes.
The applicant will adopt and use proper methods of administering each such program, including the enforcement of any obligations imposed by law on agencies, institutions, organizations, and other recipients responsible for carrying out each program and the correction of deficiencies in program operations that are identified through audits, monitoring, or evaluation.
The applicant will cooperate in carrying out any evaluation of each such program conducted by or for the Texas Education Agency, the Secretary of Education or other federal officials.
The applicant will use such fiscal control and fund accounting procedures as will ensure proper disbursement of, and accounting for, federal funds paid to such applicant under each such program.
The applicant will make reports to the Texas Education Agency and the Secretary of Education as may be necessary to enable the Agency and the Secretary to perform their duties under each such program and maintain such records, provide such information, and afford access to the records as the Agency or the Secretary may find necessary to carry out the Agency's or the Secretary's duties.
Before the application was submitted, the applicant afforded a reasonable opportunity for public comment on the application and has considered such comment.
The contractor will provide that adults enrolled in Adult Basic Education programs, including ESL and English Literacy and Civics, will not be charged tuition, fees, or any other charges, or be required to purchase any books or any other materials that are needed for participation in the program.
The contractor will coordinate with and not duplicate other programs, services, and activities made available to adults under other Federal, State, and local programs, including the Workforce Investment Act, the Carl D. Perkins Vocational and Applied Technology Education Act, the Rehabilitation Act of 1973, the Individuals with Disabilities Education Act, the Immigration Reform and Control Act of 1986, the Higher Education Act of 1965, the Family Support Act of 1988, and the Domestic Volunteer Service Act.
If the contractor purchases capital outlay to accomplish the objective(s) of the program, title will remain with the applicant for the period of the contract. Agency reserves the right to transfer capital outlay items for contract non-compliance during the contract period or as needed after the ending date of the contract.
The contractor will provide the agency with an annual financial audit report of the project.
The contractor will provide supervision and staff development for all personnel.
The administration and fiscal procedures for this proposal and program operations are developed for full compliance with the requirements as established in 34 CFR 74, 34 CFR 75-80, 34 CFR 460, 34 CFR 461, TEC 29.252, Title 19, Chapter 89, Subchapter B.
Each quarter of the program, the contractor will enter complete and accurate program data into the Texas Educating Adults Management System (TEAMS).
The contractor will assess students using the standardized assessments required by TEA.

Who is Behind the Elementary and Secondary Education Act?

The United States Congress is a body of elected officials from each state across the nation that consists of two chambers: the United States Senate and the United States House of Representatives. Two United States Senators represent each state on the federal level and the number of the U.S. House of Representatives for each state varies according to the population in each state. Since 1934, the legislative sessions of Congress convene on January 3 of odd-numbered years and adjourn on January 3 of the following odd-numbered year. Names of congressional members from Texas may be found at http://www.capitol.state.tx.us/

The U.S. House Committee on Education and Labor is the federal House of Representatives’ committee that created the WIA and continues to amend the act. The link to the list of all the members is: http://edworkforce.house.gov/about/index.shtml

On the senate side, the federal senate committee in charge of education policy and the reauthorization of WIA is the U.S. Senate Committee on Health, Education, Labor, and Pensions. The committee’s website is: http://help.senate.gov/./Education_index.html

Summary of the Changes from the No Child Left Behind Act

The No Child Left Behind Act.

The No Child Left Behind Act is the most sweeping reform of the Elementary and Secondary Education Act (ESEA) since it was enacted in 1965. It redefines the federal role in K-12 education to help improve the academic achievement of all American students.

On January 23, 2001, President Bush sent his No Child Left Behind plan for comprehensive education reform to Congress. At that time, he asked members of Congress to engage in an active bipartisan debate on how we can use the federal role in education to close the achievement gap between disadvantaged and minority students and their peers. The agreements resulted in fundamental reforms in classrooms throughout America.

The NCLB Act, which reauthorizes the ESEA, incorporates the principles and strategies proposed by President Bush. These include increased accountability for States, school districts, and schools; greater choice for parents and students, particularly those attending low-performing schools; more flexibility for States and local educational agencies (LEAs) in the use of Federal education dollars; and a stronger emphasis on reading, especially for our youngest children.

Increased Accountability

The NCLB Act will strengthen Title I accountability by requiring States to implement statewide accountability systems covering all public schools and students.

These systems must be based on challenging State standards in reading and mathematics, annual testing for all students in grades 3-8, and annual statewide progress objectives ensuring that all groups of students reach proficiency within 12 years. Assessment results and State progress objectives must be broken out by poverty, race, ethnicity, disability, and limited English proficiency to ensure that no group is left behind. School districts and schools that fail to make adequate yearly progress (AYP) toward statewide proficiency goals will, over time, be subject to improvement, corrective action, and restructuring measures aimed at getting them back on course to meet State standards. Schools that meet or exceed AYP objectives or close achievement gaps will be eligible for State Academic Achievement Awards

More Choices for Parents and Students

The NCLB Act significantly increases the choices available to the parents of students attending Title I schools that fail to meet State standards, including immediate relief-beginning with the 2002-03 school year-for students in schools that were previously identified for improvement or corrective action under the 1994 ESEA reauthorization.

LEAs must give students attending schools identified for improvement, corrective action, or restructuring the opportunity to attend a better public school, which may include a public charter school, within the school district. The district must provide transportation to the new school, and must use at least 5 percent of its Title I funds for this purpose, if needed.

For students attending persistently failing schools (those that have failed to meet State standards for at least 3 of the 4 preceding years), LEAs must permit low-income students to use Title I funds to obtain supplemental educational services from the public- or private-sector provider selected by the students and their parents. Providers must meet State standards and offer services tailored to help participating students meet challenging State academic standards.

To help ensure that LEAs offer meaningful choices, the new law requires school districts to spend up to 20 percent of their Title I allocations to provide school choice and supplemental educational services to eligible students.

In addition to helping ensure that no child loses the opportunity for a quality education because he or she is trapped in a failing school, the choice and supplemental service requirements provide a substantial incentive for low-performing schools to improve. Schools that want to avoid losing students-along with the portion of their annual budgets typically associated with those students-will have to improve or, if they fail to make AYP for 5 years, run the risk of reconstitution under a restructuring plan.

Greater Flexibility for States, School Districts, and Schools

One important goal of No Child Left Behind was to breathe new life into the "flexibility for accountability" bargain with States first struck by President George H.W. Bush during his historic 1989 education summit with the Nation's Governors at Charlottesville, Virginia.

Prior flexibility efforts have focused on the waiver of program requirements; the NCLB Act moves beyond this limited approach to give States and school districts unprecedented flexibility in the use of Federal education funds in exchange for strong accountability for results.

New flexibility provisions in the NCLB Act include authority for States and LEAs to transfer up to 50 percent of the funding they receive under 4 major State grant programs to any one of the programs, or to Title I. The covered programs include Teacher Quality State Grants, Educational Technology, Innovative Programs, and Safe and Drug-Free Schools.

The new law also includes a competitive State Flexibility Demonstration Program that permits up to 7 States to consolidate the State share of nearly all Federal State grant programs-including Title I, Part A Grants to Local Educational Agencies-while providing additional flexibility in their use of Title V Innovation funds. Participating States must enter into 5-year performance agreements with the Secretary covering the use of the consolidated funds, which may be used for any educational purpose authorized under the ESEA. As part of their plans, States also must enter into up to 10 local performance agreements with LEAs, which will enjoy the same level of flexibility granted under the separate Local Flexibility Demonstration Program.

The new competitive Local Flexibility Demonstration Program would allow up to 80 LEAs, in addition to the 70 LEAs under the State Flexibility Demonstration Program, to consolidate funds received under Teacher Quality State Grants, Educational Technology State Grants, Innovative Programs, and Safe and Drug-Free Schools programs. Participating LEAs would enter into performance agreements with the Secretary of Education, and would be able to use the consolidated funds for any ESEA-authorized purpose.

Putting Reading First

No Child Left Behind stated President Bush's unequivocal commitment to ensuring that every child can read by the end of third grade. To accomplish this goal, the new Reading First initiative would significantly increase the Federal investment in scientifically based reading instruction programs in the early grades. One major benefit of this approach would be reduced identification of children for special education services due to a lack of appropriate reading instruction in their early years.

The NCLB Act fully implements the President's Reading First initiative. The new Reading First State Grant program will make 6-year grants to States, which will make competitive subgrants to local communities. Local recipients will administer screening and diagnostic assessments to determine which students in grades K-3 are at risk of reading failure, and provide professional development for K-3 teachers in the essential components of reading instruction.

The new Early Reading First program will make competitive 6-year awards to LEAs to support early language, literacy, and pre-reading development of preschool-age children, particularly those from low-income families. Recipients will use instructional strategies and professional development drawn from scientifically based reading research to help young children to attain the fundamental knowledge and skills they will need for optimal reading development in kindergarten and beyond.

Other Major Program Changes

The No Child Left Behind Act of 2001 also put the principles of accountability, choice, and flexibility to work in its reauthorization of other major ESEA programs. For example, the new law combines the Eisenhower Professional Development and Class Size Reduction programs into a new Improving Teacher Quality State Grants program that focuses on using practices grounded in scientifically based research to prepare, train, and recruit high-quality teachers. The new program gives States and LEAs flexibility to select the strategies that best meet their particular needs for improved teaching that will help them raise student achievement in the core academic subjects. In return for this flexibility, LEAs are required to demonstrate annual progress in ensuring that all teachers teaching in core academic subjects within the State are highly qualified.

The NCLB Act also simplified Federal support for English language instruction by combining categorical bilingual and immigrant education grants that benefited a small percentage of limited English proficient students in relatively few schools into a State formula program. The new formula program will facilitate the comprehensive planning by States and school districts needed to ensure implementation of programs that benefit all limited English proficient students by helping them learn English and meet the same high academic standards as other students.

Other changes will support State and local efforts to keep our schools safe and drug-free, while at the same time ensuring that students-particularly those who have been victims of violent crimes on school grounds-are not trapped in persistently dangerous schools. As proposed in No Child Left Behind, States must allow students who attend a persistently dangerous school, or who are victims of violent crime at school, to transfer to a safe school.

States also must report school safety statistics to the public on a school-by-school basis, and LEAs must use Federal Safe and Drug-Free Schools and Communities funding to implement drug and violence prevention programs of demonstrated effectiveness.

Department of Education Regulations (EDGAR)

The United States Department of Education is required by Congress to establish and enforce regulations for the agency. As result, the U.S. Department of Education created EDGAR, which are the established regulations that the agency must adhere to. It is important for an Adult Education Administrator to have access to the rules and regulations of EDGAR because he/she can become aware of the guidelines that the state and local agencies must follow when working with the DOE.

EDGAR on the U.S. Department of Education website.

Office Management and Budget (OMB) Circulars

The Office of Management and Budget resides in the Executive Office of the President. OMB's predominant mission is to assist the President in overseeing the preparation of the federal budget and to supervise its administration in Executive Branch agencies. In helping to formulate the President's spending plans, OMB evaluates the effectiveness of agency programs, policies, and procedures, assesses competing funding demands among agencies, and sets funding priorities. OMB ensures that agency reports, rules, testimony, and proposed and are consistent with the President's Budget and with Administration policies.

In addition, OMB oversees and coordinates the Administration's procurement, financial management, information, and regulatory policies. The OMB conducts in-depth regulatory review of significant rules proposed by federal agencies. In each of these areas, OMB's role is to help improve administrative management, to develop better performance measures and coordinating mechanisms, and to reduce any unnecessary burdens on the public.

The circulars of the OMB are instructions or information issued by OMB to federal agencies. These are expected to have a continuing effect of two years or more. The circulars that are relevant to administering adult education programs are included below with their appropriate link:

A-21 (Cost Principles for Educational Institutions)

http://www.whitehouse.gov/omb/circulars/a021/a021.html

A-87 (Cost Principles for State, Local, and Indian Tribal Governments)

http://www.whitehouse.gov/omb/circulars/a087/toc.html

A-110 (Uniform Administration Requirements for Grants and Other Agreements with Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations)

http://www.whitehouse.gov/omb/circulars/a110/a110.html

A-122 (Cost Principles for Non-profit Institutions)

http://www.whitehouse.gov/omb/circulars/a122/a122.html

A-133 (Audits for States, Local Governments, and Non-Profit Organizations)

http://www.whitehouse.gov/omb/circulars/a133/a133.html

Cost Principles

The following are current guidelines related to specific costs:

Guidelines Related to Specific Costs:

Advertisement for Recruitment of Grant Personnel

Advertisements are allowable only for recruitment of grant personnel and when the advertisement is not in color and not excessive in size.

Audit Fees

Audit fees and expenses may not be charged to state-funded grants.

Audit fees/expenses are allowable only when conducted in accordance with OMB Circular A-133, Audits. Audit fees/expenses may not be charged as direct cost when such audit services costs are part of the grantee organization’s indirect cost pool.

Awards for Recognition and Incentives for Participation

Minimal cost certificates, plaques, ribbons, small trophies, or instructionally-related items to be used in the classroom such as pens/pencils are acceptable incentives for participation in program activities or awards for recognition.

Gifts or items that appear to be gifts are not allowable.

Souvenirs, memorabilia, or promotional items, such as T-shirts, caps, tote bags, key chains, etc., are not allowable.

“Door prizes”, movie tickets, gift certificates, passes to amusement parks, etc. may be donated by others but may not be purchased with grant funds.

Food, snacks, beverages, refreshments, meals, etc. are not allowable incentives/awards.

Cellular Telephones for Personal Use

A cellular telephone for personal use is not an allowable cost.

Consultants

If this application is approved, the applicant shall not use or pay any consultant in the conduct of this application if the services to be rendered by such consultant could have been rendered by applicant's employees. Consultants must be selected based on demonstrated competence, qualifications, and experience and on the reasonableness of the proposed fee.

Employee Contributions to Voluntary Retirement Plan

Employer contributions to voluntary retirement plans such as 403b or 401k are not allowable costs.

Field Trips

Must be paid from other than grant funds.

Food and Beverage Costs (if allowable in the grant program)

Expenditures for light snacks, beverages, and/or refreshments are allowable only for students and/or parents under the following conditions:

Full meals are not allowable for these purposes under any circumstances.

Expenditures related to awards banquets/ceremonies, celebrations, or social events are not allowable under any circumstances.

Expenditures must be reasonable in cost, necessary to accomplish program objectives, and an integral part of the instructional program, including:

Nutritional snacks for students in extended day (i.e., after-school) programs;

Nutritional snacks for children in child care while parents are participating in grant activities;

Food necessary to conduct nutrition education programs for parents; and

Parent involvement activities where refreshments are necessary to encourage participation/attendance by parents, such as in low-income areas, and thus meet program objectives.

Interest Paid

Interest paid in a prior grant period may not be charged retroactively to this grant period.

Land Purchase and Improvements

Land purchase and improvements to land are not allowable costs, unless specifically authorized in the grant program.

Legal Fees

Legal fees/expenses are allowable only as necessary for the administration of the grant program. Retainer fees are not allowable costs.

Membership in Civic Organizations or

Memberships in civic organizations and memberships in organizations that are substantially engaged in lobbying are not allowable costs.

Personal Calendaring Systems

Calendaring systems to manage personal calendars—paper calendars, palm pilots, electronic/software calendars, etc. are not allowable costs.

Printing Costs

Printing costs are allowable for not more than two-color printing on any item. Any printing costs beyond the cost of two-color printing must be paid by the grantee from state or local sources.

Professional or Individual Liability Insurance

Professional liability insurance for individual employees is not an allowable cost.

Renovation, Remodeling, or Construction

Renovation, remodeling, or construction is unallowable unless specifically designated as allowable in the authorizing statute.

Substitute Pay for Private Nonprofit Schools

Substitute pay for private nonprofit school teachers is not allowable under any circumstances.

Training/Technical Assistance on Grant Writing or obtaining other grant funds is not allowable.

Funds may not be used for training/technical assistance on grant writing or obtaining grant funds. Funds may not be used for fundraising activities.

Transportation Costs

Transportation costs to/from grant activities, other than those incurred for the purpose of transporting students to and from the regular school day, are allowable expenditures. Field trips are not allowable from grant funds.

Tuition

Tuition fees, either paid directly to an institution or on a reimbursement basis are allowable only for courses directly related to the grant program.

The following chart of Cost Principles should be used as a quick reference to determine if a particular cost is generally allowed in the grant. This chart is not intended to reflect all allowable expenses, but rather to help make the most common determinations.

The following summary is provided for your convenience and as a "guide" only. TEA accepts no responsibility for the interpretation of the cost principles as outlined below. Grantees should consult the complete set of applicable cost principles to determine allowability and un-allowability of costs prior to expending funds. All costs must be budgeted and approved on the budget schedules in the applicable grant application prior to expenditure. Some costs require specific prior approval in the application, in which case the line item must be specifically budgeted and approved by TEA prior to expenditure.

Cost Principles Charts

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