Policy Guidance for Part D
Subpart 1 provides Federal financial assistance to SAs that operate educational programs for children and youth in institutions or community day programs for N or D children and children and youth in adult correctional facilities. This program was formerly authorized in Chapter 1, Part D, Subpart 3 of the ESEA.
ED determines State allocations through a formula based on annually collected counts of N or D children and youth under age 21 in (1) State-operated adult correctional facilities who are enrolled in a regular program of instruction for at least 15 hours per week and (2) in State N or D facilities or community day programs who are enrolled in a regular program of instruction for at least 20 hours per week. That count is then multiplied by 40 percent of each State's per-pupil expenditure (PPE) and ratably reduced to the amount appropriated. The SEA is responsible for annually collecting and submitting counts of eligible children and youth from individual SAs that operate programs for N or D children and youth.
In determining the count of N or D children and youth in a State for allocation purposes--
1. An SA must specify the date on which the count of N or D children and youth enrolled in a regular program of education is determined. That date must (a) be consistent for all institutions or community day programs operated by the SA; and (b) represent a school day in the calendar year preceding the year in which funds become available.
2. The SEA must adjust the count of children and youth enrolled in a regular program of instruction to reflect the relative length of the SA's annual programs by (a) multiplying the children and youth enrolled by the number of days per year the regular program of instruction operates; and (b) dividing that number by 180--a number that represents the number of school days in the academic year.
The following chart illustrates the steps an SA must use in determining the count of N or D children and youth enrolled in a regular program of instruction for at least 15 hours a week in adult correctional facilities and for at least 20 hours per week in State N or D facilities and community day programs and in adjusting the count to reflect the relative length of the SA's annual program. The SA totals the adjusted enrollment counts for children and youth in all of the N or D institutions, adult correctional facilities, or community day programs that it operates and provides the adjusted count to the SEA. The State count submitted to ED by the SEA is the sum of the individual SA counts.
Q. What is meant by the term, "regular program of instruction."
A. A regular program of instruction is an educational program (not beyond grade 12) in an institution or in a community day program for neglected or delinquent children that consists of classroom instruction in basic school subjects, such as reading, mathematics, and vocationally oriented subjects, and is supported by non-Federal funds. Neither the manufacture of goods within the institution or program nor activities related to institutional maintenance are considered classroom instruction.
Q. Must the 15 or 20 hours of instruction an SA is required to provide in order to qualify for N or D funds be entirely from State funding or could it include education programs funded by other Federal agencies?
A. The State's regular program of instruction must be State funded and must meet the required number of hours; the instructional program cannot include additional instructional time provided by Title I or other Federal funds.
Once ED determines a State's allocation, the SEA makes subgrants to each SA based on its proportionate share of the State's adjusted enrollment count of N or D children and youth.
The SEA may determine that the amount of an SA's subgrant exceeds the amount needed by such agency and may allow the SA to carry over the excess funds for use in subsequent years, or the SEA may reallocate the funds to another SA to use for Part D, Subpart 1 purposes.
An SA is eligible to receive Part D, Subpart 1 funds if it is responsible for providing free public education for children and youth in N or D institutions, attending community day programs for N or D children, or in adult correctional institutions. To receive funds, the SA must apply to the SEA.
The number of eligible SAs in a State may vary. Almost all States have one agency, usually named the Department of Correction(s), that administers adult correctional institutions and may also administer delinquent institutions. Many other States also have another agency, usually named the Department of Youth Services, or part of such an agency (Division of Youth Services in a Department of Human Services) that administers institutions for delinquent children and youth. In those States serving neglected children, a separate State agency often administers institutions for neglected children. Several States have created a correctional education agency that provides education to students in institutions and community day programs.
Q. May an SEA itself be an eligible State agency?
A. Yes. An SEA may be an eligible State agency if it receives a specific State appropriation for the education of N or D children and provides educational services to N or D children and youth either directly or through another agency such as an LEA, another SA, or an institution of higher education, etc. Regardless of whether the SEA is an eligible SA, it has administrative responsibility for ensuring that the program operates in accordance with all applicable statutory and regulatory requirements.
Q. Must the SA directly operate schools for the N or D children and youth to be eligible for a grant?
A. No. The SA may provide the education in State-operated schools or in schools under contract or other arrangement with another State agency. The SA, however, is responsible for ensuring that the program operates in accordance with all applicable statutory and regulatory requirements.
Once an SA receives funds it then distributes the funds to eligible institutions within its jurisdiction in accordance with the needs assessment described in its application submitted to the SEA. An eligible institution generally is a public or private facility operated for the care of N or D children that provides a free public education and a regular program of instruction to the children and youth who are in the institution. Eligible institutions may vary from facilities for orphans or minimum security facilities for juvenile delinquents to maximum security facilities in adult correctional institutions or prisons.
An adult correctional institution is a facility in which persons are confined as a result of conviction for a criminal offense, including youth under 21 years of age. An adult correctional institution that confines such youth is eligible to receive Title 1 services if it provides such youth with a regular program of instruction, not beyond grade 12, using State funds.
An institution for delinquent children and youth, as determined by the SEA, is a public or private residential facility that is operated primarily for the care of children and youth who have been adjudicated delinquent or in need of supervision. Children in such an institution must have an average length of stay of at least 30 days.
An institution for neglected children and youth, as determined by the SEA, is a public or private residential facility, other than a foster home, that is operated primarily for the care of children and youth who have been committed to the institution or voluntarily placed there under applicable State law due to abandonment, neglect, or death of their parents or guardians. Children such an institution must have had an average length of stay of at least 30 days.
A community day program, as determined by the SEA, is a regular program of instruction provided by an SA at a community day school operated primarily for delinquent children or at a community day school operated primarily for neglected children who participate in these programs for an average length of 30 days.
Q. Why are short-term institutions or programs that hold N or D children and youth for less than 30 days ineligible for Title I services?
A. Although some short-term institutions, such as detention, diagnostic, and reception centers do provide basic education services for their youth, the Secretary believes that Title I services are most effective in institutions where the duration of the stay is longer. Thus the length of stay or participation in these institutions and programs eligible for Title I funds must average at least 30 days.
To participate in the State agency N or D program the child or youth must be 21 years of age or younger, entitled to free public education not above grade 12, and enrolled in a regular program of instruction at either an eligible institution or community day program for the required length of time (20 hours per week if in an institution or community day program for N or D youth; 15 hours per week if in an adult correctional institution).
An SA that receives Part D, Subpart 1 funds must assess the educational needs of all eligible children and youth in eligible institutions and children attending community day programs for N or D children based on educationally objective criteria. The needs assessment enables the SA to identify the special educational needs of these children and youth and the general instructional areas on which the program will focus, select those most in needs of special assistance, and determine the specific needs of participating children and youth with sufficient specificity to ensure that the services provided will be of sufficient size, scope, and quality to enable the participants to make significant progress towards meeting challenging State performance standards. If available funds are insufficient to meet the needs of all eligible youth, those most in need must be served first.
Q. Is a youth who has completed the General Education Development (GED) program eligible to receive Title 1 services?
A. No. A child or youth who has received a GED and enrolls in a job training program is not eligible for services under Title I because Title I is an elementary and secondary education program. However, a youth may still receive Title I services for instruction needed to complete the GED.
In order to receive funding, a State must submit for ED approval either (1) an individual State plan in accordance with Subpart 1, Section 1414(a); or (2) a consolidated plan that meets the requirements of Section 14302 of ESEA.
An individual State plan must--
Describe how the State will meet the needs of N or D children and youth and, where applicable, youth at risk of dropping out and how it will integrate both its State N or D and local agency programs with other ESEA programs and the Goals 2000: Educate America Act.
Contain assurances that the SEA will--
Ensure that Part D programs are carried out in accordance with the State plan submitted;
Carry out the evaluation requirements of Section 1431 of Title I;
Ensure that SAs receiving subgrants will comply with statutory and regulatory provisions; and
Provide other information as the Secretary may reasonably require.
Eligible SAs wishing to receive Part D, Subpart 1 funds must apply to the SEA. The contents of the application are described in section 1414© of Title I. Although the law allows the SEA to approve an SA's application for up to three years, an SA must update information included in its original application if there are substantial changes in the number and needs of the children to be served or the services to be provided.
Q. If the eligible SA is the SEA, must it complete a State agency application that is approved by the Chief State School Officer (CSSO)? How does it compute maintenance of effort, and how does it monitor itself to ensure compliance?
A. An SEA that receives Part D, Subpart 1 funds as an SA must have an application on file that meets all the SEA's requirements for a State agency application. The CSSO may delegate responsibility for the approval of this application to the appropriate official within the SEA. Like other SAs, the SEA must compute maintenance of effort and establish procedures to monitor its own program.
Q. Does the SA apply when a contractor or other party provides the education services to children in institutions or community day programs?
A. Yes. The SA, not the contractor, must apply to the SEA for funds since the SA is responsible for providing a free public education to these children. The SA may contract with or arrange for another agency such as an LEA, junior or community college, or university to provide the education services either at the institution or off site. The SA, however, is responsible for exercising administrative control over the program and ensuring that the contractor or other party complies with all applicable statutory and regulatory requirements.
Q. When must the SA submit its application to the SEA?
A. Each SEA sets an annual date for submission of applications. The date may vary from State to State.
Q. Who prescribes the format of the application the SA submits for its subgrant?
A. The SEA prescribes the format for the application and determines the specific information the agency must submit as part of its application in order to carry out its responsibilities under Title I. The SEA, however, may not use the application process to impose requirements that are inconsistent with the requirements under Title I or other applicable Federal statutes and regulations.
Q. May the State agency submit an application that consists only of separate applications from each of its facilities?
A. No. The SA may incorporate individual program plans from each of its facilities into its application. The SA, however, must submit its own application addressing the requirements in the statute since it is the entity that applies for and receives the grant and is responsible for the administration and control of funds.
Q. May the SA allow individual institutions to apply directly to the SEA for a Title I grant?
A. No. Only the SA may apply to the SEA.
Q. Must the SA provide services for all eligible children in all of its eligible institutions?
A. No. Based on its needs assessment, the SA may, at its discretion, concentrate Part D, Subpart 1 services on children and institutions with the greatest need for the services. If the SA, however, receives sufficient Title I resources, it may serve all the eligible children in all of its eligible institutions.
Under the authorizing statute, an SA must use funds to support educational services that (1), except for institution-wide projects, help children and youth identified as failing, or at risk of failing, to meet State content and performance standards, and (2) supplement and improve the quality of educational services the SA provides. The statute further provides that funds may be used to: (1) acquire equipment that will be used to help children and youth it serves meet challenging State content and performance standards; and (2) cover evaluation costs.
Projects may use Part D, Subpart 1 funds to provide a variety of services that include reading, mathematics, language arts, and vocationally oriented programs that include academic classroom instruction. For example, projects have used funds to--
Hire additional teachers, aides, educational counselors, and other staff members to provide additional instruction in areas of greatest need;
Train teachers, aides, and other staff members who are actively involved in providing Title I services; and
Procure needed educational materials and equipment for Title I instruction, including books, computers, audio-visual equipment and supplies, and classroom materials for industrial arts and vocational training.
Following are some other examples of how several N or D projects identified by the Chapter 1 National Recognition program have used their funds:
A project in a southern State provided in-service training to help its Title I teachers improve their relationships with the regular teachers and students in several juvenile institutions. By maintaining a staff-to-student ratio of 1:8, the teachers were able to offer individualized instruction and attention to meet students' academic and social needs, particularly in the area of learning basic academic skills and self-discipline. Title I and regular teachers met daily to share information about students and learning strategies.
Another State's Department of Correctional Education developed a social living skills curriculum guide for both its adult and juvenile populations, most of whom were products of dysfunctional families and negative peer influences. Title I teachers used this guide to improve the academic and social skills of incarcerated juvenile students. Students entering the program were given a criteria-referenced social living skills test. The results of this test and other evaluations were then used to identify the academic and social skills deficiencies that the social skills curriculum guide was designed to address.
In a Midwestern State Title I and regular classroom teachers in one project collaborated to integrate academic curricula across several content areas. Teachers used thematic learning as an approach to meeting the needs of the students that focused on problem solving, cooperative learning, and writing. Themes were limited to several weeks duration to allow students with short stays in the institution to participate fully. Areas of instruction included--
An SA must use Part D, Subpart 1 funds to provide services that supplement those that would, in the absence of Part D, Subpart 1 funds, be provided to children participating in the program or to increase the total number of hours of instruction in any subject area that students receive with State funds.
The State-funded regular program of instruction in an institution provides the basic education with classes in English, mathematics, and vocational education. The Title 1 program provides remedial reading classes for eligible children and youth enrolled in the regular program of instruction who were selected to attend the remedial classes. Although reading is not part of the regular program of instruction, the Title 1 reading class is supplemental to the regular program of instruction because the Title 1 funds provide additional instructional time for participating children and youth.
In its application an SA must assure that it will work with parents to secure their assistance in improving their children's educational achievement and preventing further involvement in delinquent activities. Although distance and other factors may limit the involvement of parents an SA, to the extent possible, must give parents the opportunity to participate in their children's educational plans. In cases where such an arrangement may not be practicable, a person such as an instructional staff member or someone who is responsible for the individual's education may act in place of that person's parent.
An SA may use funds to operate institution-wide projects designed to upgrade the entire education program of an institution for N or D children (other than an adult correctional institution), provided the SEA has approved the SA's comprehensive plan for the institution or program. The purpose of this institution-wide approach is to enable an SA to --
Focus on strategies built on institution-wide reforms that improve the overall educational program of an institution rather than on add-on services for individual students.
Use Title I funds more flexibly. An SA operating an institution-wide project is not required to identify particular children in an institution as eligible for services, or show that Subpart 1 funds pay for supplemental services that would otherwise not be provided, or account for Federal dollars separately. Instead, an SA could use these funds in an institution in any manner its chooses, so long as it is consistent with the SA's comprehensive plan approved by the SEA.
Combine Subpart 1 funds with other State and Federal funds for education programs to support comprehensive approaches that meet the educational needs of the children and youth in N or D institutions.
Section 1416 of the Title I statute requires that a plan developed by an SA for an institution-wide program in a specific institution--
1. Provide for a comprehensive assessment of the educational needs of all youth in the institution or program serving juveniles;
2. Provide for a comprehensive assessment of the educational needs of youth aged 20 and younger in juvenile facilities who are expected to complete incarceration within a two-year period;
3. Describe the steps the SA has taken, or will take, to provide all children under age 21 with the opportunity to meet challenging State content standards and student performance standards in order to improve the likelihood that the students will complete secondary school, attain a secondary diploma or its recognized equivalent, or find employment after leaving the institution;
4. Describe the instructional program, pupil services, and procedures that will be used to meet the needs described in paragraph (1) above, including, to the extent feasible, the provision of mentors for students;
5. Specifically describe how such funds will be used;
6. Describe the measures and procedures that will be used to assess student progress;
7. Describe how the agency has planned, and will implement and evaluate, the institution-wide or program-wide project in consultation with personnel providing direct instructional and support services in the institution or community program for N or D children and personnel from the SEA; and
8. Include an assurance that the SA has provided appropriate training for teachers and other institutional and administrative personnel to enable such teachers and personnel to carry out the project effectively.
The Rhode Island Training School for Youth (RITSY), an institution that serves pre-adjudicated and adjudicated boys and girls, uses its Title I funds in combination with other Federal and State funds to provide a comprehensive educational program that helps its students meet high academic standards. RITSY's academic program has several key components:
Q. May an adult correctional institution use its funds for an institution-wide project?
Q. If not, why are State agency plans for institution-wide projects required to include a comprehensive assessment of the educational needs of youth aged 20 and younger in adult facilities who are expected to complete incarceration within a two-year period?
A. The requirement to include a comprehensive assessment of youth aged 20 and younger applies to institutions for delinquent children, not to adult correctional facilities.
Q. Must an SA's plan for institution-wide projects include a comprehensive assessment of the educational needs of neglected children in a program to be conducted in a neglected institution for these children?
Because helping institutionalized N or D children and youth and those in adult correctional facilities make the transition into the community for further education or employment is an important element in the success of the program, the statute requires that an SA reserve an amount, not to exceed 10 percent of what it receives in any year, to support "transition services" for these children and youth. These funds can be used to provide transition educational services to children and youth in schools other than State-operated institutions.
Transition services focus on helping N or D children and youth to re-enter school successfully or to find employment after they leave the institution and return to the local community. Allowable activities include but are not limited to--
Pupil services, including counseling, psychological, and social work services designed to meet the needs of N or D children and youth;
Services of in-school advocates to act on behalf of individual N or D children and youth;
Tutoring and mentoring;
Re-entry orientation programs, including transition centers and re-entry centers in high schools;
Instruction and training at alternative schools and learning centers; and
Parent involvement activities and parent counseling.
SAs may carry out transition activities in a variety of settings. For example, an SA may provide alternative schooling in group homes and transition centers that are operated directly by the SA or through a contract. Such homes might care for the released youth 24 hours a day, provide classroom instruction, arrange for work study, parent consultation, and counseling, and act as a liaison to the local school system.
An SA could also use a wide range of local resources and placements to provide transition activities. These could include arrangements for children and youth leaving a facility to attend private institutions with LEAs paying tuition; participate in local vocational education programs; participate in adult basic education and GED preparation programs offered by community colleges, or enter job training programs for older youth.
Arizona's Model Transition Program for Juvenile Offenders provides a modified teaching schedule that facilitates transitional support, a structured student/teacher interview process, and systemic and continual monitoring of student progress. The modified teaching schedule allows all housing unit and special education teachers to devote one day a week to transition activities. The housing unit teachers use their "transition day" to interview and advise students in the institutions and the community while each special education teacher acts as an education liaison between the housing unit teacher and the parole officer. Permanent substitute teachers are assigned to the teachers' classrooms on those days.
Structured student/teacher interviews assist students in making a successful transition back to school, work, or the community. The ongoing activity also allows teachers to help students develop academic and vocational goals and objectives that focus on activities the students will undertake once they return to the community. To ensure students are making progress toward their academic and vocational goals, systemic and continual monitoring is conducted as part of the overall transition program. The housing unit teacher responsible for monitoring student progress works with both the student and parole officers throughout the transition process.