OVERVIEW
Preliminary Overview of Programs and Changes Included in the No Child Left Behind Act of 2001
Archived Information

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Title VI

    Grants for State Assessments and Related Activities
    (Title VI, Part A, Subpart 1)

    Overview

    Authorizes $490 million for: (1) formula grants to States to assist States in developing the assessments required under No Child Left Behind; and (2) competitive grants to States, or consortia of States, to support collaborative efforts with IHEs or research institutions to improve the quality of assessments (Enhanced Assessment Instruments Grants).

    Program Description

    • Appropriations - Provides a single authorization of appropriations for the two programs. Requires that any amount appropriated in a fiscal year less than or equal to the amount required by statute ("trigger amount") for State assessments be used for State formula grants. Under the assessment trigger, the Title I requirement for States to administer annual assessments in grades 3 through 8 is contingent on the appropriation of specifically authorized funding levels for assessment development grants in fiscal years 2002 through 2005.

      Requires that any amount appropriated in a fiscal year that exceeds the statutory trigger be used for competitive awards.

    • Uses of Funds - States may use their formula funds to pay the costs of the development of the additional State standards and assessments required by NCLB Act. If a State has already developed the required standards and assessments, it may use its funds to: (1) administer the assessments; or (2) carry out other activities designed to hold LEAs and schools accountable for results, such as:

      • developing challenging State academic content and student academic achievement standards and aligned assessments in subjects areas other than those required under Title I;

      • developing or improving assessments of English language proficiency;

      • ensuring the validity and reliability of State assessments;

      • refining State assessments to ensure continued alignment with the State's standards and to improve the alignment of curricula and instructional materials;

      • developing multiple measures to increase the reliability and validity of State assessment systems;

      • strengthening the capacity of LEAs and schools to improve student achievement;

      • expanding the range of accommodations available to students with limited English proficiency and students with disabilities to improve the rates of inclusion of such students; and

      • improving the dissemination of information on student achievement and school performance.

    • States may use their competitive awards to: (1) improve the quality, validity, and reliability of State assessments; (2) use multiple measures of student academic achievement; (3) chart the progress of students over time; and (4) develop comprehensive academic assessment instruments, such as performance and technology-based academic assessments, to evaluate student achievement.

    Accountability

    • Federal - No specific accountability provisions.

    • State - States receiving an Enhanced Assessment Instruments Grant must provide the Secretary with an annual report describing the activities it carried out under the grant and the results of those activities. Ultimately, States are required to meet the Title I accountability requirements.

    Allocations

    • Formula Allocations - Requires that the amount less than, or equal to, the annual trigger amount ($370 million in 2002 rising to $400 million by 2005) flow to States in the following manner: (1) each State receives $3 million; and (2) the remaining amount is allocated based on each State's share of 5 to 17 population.

    • Competitive Grants - Requires that any funds appropriated in excess of the trigger amount needed for formula allocations be used for competitive Enhanced Assessment Instrument Grants to States. Requires that a State receive, at a minimum, the same amount as it would receive if the amount available for the competition was allocated on the basis of 5-to-17 population.

      Requires that any amount remaining after the Secretary has funded all approvable applications for competitive awards flow to States based on States' shares of 5-to-17 population.

    Set-Asides

    • Formula Allocations - one-half of 1 percent for the BIA; and one-half of 1 percent for the Outlying Areas.

    • Competitive Allocations - None


    ESEA Flexibility Provisions
    (Title VI, Part A, Subparts 2-4)

    Overview

    The reauthorized ESEA provides States and LEAs with increased flexibility in their use of Federal funds. NCLB amends the ESEA to authorize several flexibility mechanisms allowing States and LEAs to transfer or consolidate funds. In addition, NCLB extends the authorization, included in the Department's fiscal year 2001 appropriations act, that provides additional flexibility in the use of certain Federal formula funds to small, rural LEAs, and updates the programs included in the Education Flexibility Partnership Act of 1999 to conform to the reauthorized ESEA.


         •  State and Local Transferability
      (Title VI, Part A, Subpart 2)
           
      • State Authority - Allows a State to transfer up to 50 percent of the funds it receives for State administration and State-level activities under the Teacher Quality State Grants, Educational Technology, Innovative Programs, Safe and Drug-Free Schools (including funds reserved for the Governor's Program with the consent of the Governor), and 21st Century Community Learning Centers programs to supplement its State reservation under any of the programs listed above. In addition, a State may use the transferred funds to carry out State-level activities authorized under Part A of Title I.

        Requires each State transferring funds to: (1) notify the Department, at least 30 days prior to the transfer, of its intent to transfer funds; (2) modify each State plan affected by the transfer; and (3) provide the Department, not later than 30 days after the transfer, with a copy of the modified plans.

      • LEA Authority - Allows an LEA that has not been identified as in need of improvement or corrective action under Title I to transfer up to 50 percent of its formula allocation under the Teacher Quality State Grants, Educational Technology State Grants, Innovative Programs, or Safe and Drug-Free Schools programs to supplement its allocation under any of the programs listed above. It also may use the funds to supplement its Title I allocation.

        An LEA identified as in need of improvement may transfer up to 30 percent of its allocation for the programs listed above only if it transfers the funds to: (1) supplement its school improvement allocation; or (2) carry out Title I LEA improvement activities. An LEA identified as in need of corrective action may not transfer any funds.

        Requires each LEA transferring funds to: (1) notify the SEA, at least 30 days prior to the transfer, of its intent to transfer funds; (2) modify each local plan affected by the transfer; and (3) provide the SEA, not later than 30 days after the transfer, with a copy of the modified plans.


         •  State Flexibility Demonstration Program
      (Title VI, Part A, Subpart 3, Chapter A)
           
      • Program Authorized - Authorizes the Secretary to provide up to 7 States with the authority to consolidate the entire amount available for State-level activities and State administration under: (1) Part A of Title I; (2) Reading First, except for the amount reserved for State-level professional development activities; (3) Teacher Quality State Grants; (4) Educational Technology State Grants; (5) Safe and Drug-Free Schools, including programs reserved for the Governor's Program (with the consent of the Governor); (5) Innovative Programs; and (6) 21st Century Community Learning Centers programs. In addition, a State exercising the flexibility authority may stipulate how LEAs within the State use their Innovative Programs funds.

        Within a State-Flex State, at least 4 and up to 10 LEAs also receive the authority to consolidate their formula allocations under certain Federal programs. These LEAs are subject to the same requirements as LEAs participating in the Local Flexibility Demonstration Program described below, except that they enter into performance agreements with their SEAs rather than the Secretary. At least half of the LEAs given the flexibility authority in a State must have child-poverty rates of at least 20 percent.

      • Selection of SEAs - Requires the Secretary to select the SEAs competitively using a peer-review process.

      • Eligible States - To be eligible, an SEA must submit an application and identify 4 to 10 LEAs (of which at least half must have child-poverty rates of at least 20 percent) that have: (1) entered into performance agreements with the SEA; and (2) agreed to use their consolidated funds in a manner consistent with the SEA's use of its consolidated funds.

      • Applications - Requires each State desiring to be granted the flexibility authority to submit an application that, among other things: (1) demonstrates substantial promise of: (a) assisting the SEA in making adequate yearly progress; (b) aligning State and local reforms; and (c) assisting the LEAs that have entered into performance agreements with the State to make adequate yearly progress; (2) includes the performance agreements entered into by the SEA and LEAs; and (3) includes a 5-year plan describing how the SEA would use the consolidated funds to meet adequate yearly progress and advance the education priorities of the State.

      • SEA Agreements with LEAs - Requires an SEA's performance agreement with an LEA to, among other things: (1) include a plan for the LEA to use its consolidated funds in a manner consistent with the SEA's plan; and (2) stipulate that the LEA is subject to the same requirements as an LEA entering into a performance agreement with the Secretary under the Local Flexibility Demonstration Program (described below).

      • Use of Consolidated Funds - A State may use consolidated funds for any educational purpose authorized under the ESEA.

      • Termination and Renewal - Requires the Secretary to terminate the flexibility authority of an SEA that fails to make adequate yearly progress for 2 consecutive years or fails to comply with the terms of its agreement with the Secretary.

        Prohibits the Secretary from renewing the flexibility authority for any SEA that failed to meet the requirements of its agreement with the Secretary.

        Requires the Secretary to renew, for an additional 5 years, the agreement of any SEA that meets the requirements of its agreement.


         •  Local Flexibility Demonstration
      (Title VI, Part A, Subpart 3, Chapter B)
           
      • Program Authorized - Authorizes the Secretary to enter into performance agreements with up to 80 LEAs to enable them to consolidate funds received by formula under the: (1) Teacher Quality State Grants; (2) Educational Technology State Grants; (3) Innovative Programs; and (4) Safe and Drug-Free Schools programs.

      • Selection of LEAs - Requires the Secretary to select LEAs competitively using a peer-review process. Requires the Secretary to provide for an equitable distribution of LEAs serving urban and rural areas when selecting LEAs. Prohibits the Secretary from entering into agreements with more than 3 LEAs from any one State.

        Prohibits an LEA from entering into an agreement with the Secretary for 4 months after the date of enactment of the No Child Left Behind Act of 2001. This provides an SEA with an opportunity to notify the Secretary of its intent to submit an application under the State Flexibility Demonstration program. In addition, an LEA in a State participating in the State-Flex Demonstration program may not enter into a performance agreement with the Secretary.

      • Terms of a Local-Flex Agreement - Similar to the State-Flex application.

      • Use of Consolidated Funds - A State may use consolidated funds for any educational purpose authorized under the ESEA. Prohibits an LEA from using more than 4 percent of the consolidated funds for administrative expenses.

      • Termination and Renewal - Same as State-Flex.

      Accountability

      • Local - Not later than 1 year after an LEA enters into an agreement, and annually thereafter, the LEA must disseminate widely, and transmit to the Secretary and the SEA, a report on how it used the consolidated funds to improve student achievement and reduce achievement gaps.

      • Federal - Not later than 60 days after receiving a local report, the Secretary must make it available to Congress.


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Last Modified: 01/19/2005