Title I, Part D Nonregulatory Guidance State Agency Programs (Part D, Subpart 1)

You are here

Introduction

  1. State Agency Programs For Neglected And Delinquent Children (Part D, Subpart 1)
    1. Federal Allocation of Funds
    2. State Subgrants to Eligible State Agencies
    3. Carryover of Subpart 1 Funds
    4. Eligible Institutions under Subpart 1
    5. Eligible Children and Youth
    6. State Plan
    7. State Agency Applications
    8. Use of Funds
    9. Parental Involvement
    10. Institution-wide Projects
    11. Transition Services
  1. Local Programs For At-Risk Youth (Part D, Subpart 2)
  2. Program Evaluations (Part D, Subpart 3)

A. Federal Allocation of Funds

A-1. How does ED allocate Subpart 1 funds to SEAs?

ED determines State allocations through a formula based on annual counts of N or D children and youth, aged 20 or younger, who are in (1) State-operated adult correctional facilities and who are enrolled in a regular program of instruction for at least 15 hours per week; and (2) State N or D institutions or community day programs for children and youth 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 the State's per-pupil expenditure (PPE) and proportionately reduced to the amount appropriated. The SEA is responsible for annually collecting and submitting counts of eligible children and youths from individual SAs that operate programs for N or D children and youth within the State.

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 was taken of children and youth who are N or D and enrolled in a regular program of education. 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 became 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 number of children and youth enrolled, by the number of days per year the regular program of instruction operates, and (b) dividing that number by a number that represents the number of school days in the academic year for the State (e.g., 180).

A-2. How does an SA determine the number of children and youth to include in the annual survey of eligible children, which the SEA submits to ED for determining Subpart 1 allocations?

Exhibit 1 (MS Word) illustrates (1) the steps an SA uses in determining the count of children and youth who are N or D 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 (2) the steps an SA should use in adjusting the count to reflect the relative length of the SA's annual program.

The SA is responsible for totaling 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 then for providing the adjusted count to the SEA. The State count submitted to ED by the SEA is the sum of the individual SA counts.

A-3. May SAs include out-of-State children in annual survey counts for the Subpart 1 fund allocation?

Yes. If out-of-State N or D children and youth reside in an institution located within a State, those children are eligible to be included in the State's count, provided those children and youth are under the age of 21 and are enrolled in a regular program of instruction operated or supported by SAs in institutions or community day programs for N or D children and youth and adult correctional institutions as specified in 34 CFR 200.91(a) and (b) of the Title I, Part D regulations.

A-4. How is a "regular program of instruction" defined?

As noted in item A-1, Subpart 1 allocations are based on counts of children and youth who are N or D and who are in a "regular program of instruction." Section 200.90(b) of the Title I, Part D regulations defines a "regular program of instruction" as an educational program (not beyond grade 12) that is in an institution or in a community day program for children who are N or D and 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.

A-5. Must the 15 or 20 hours of instruction that an SA is required to provide to qualify for Subpart 1 funds be entirely from State funding, or could the instruction time include education programs funded by other Federal agencies?

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 with Title I of ESEA or other Federal funds.

A-6. May an SEA transfer funds from Subpart 1 to Subpart 2?

No. Subpart 1 and Subpart 2 have separate authorizations. Only SAs are eligible to receive funds from SEAs under Subpart 1, and only LEA s are eligible to receive funds from SEAs under Subpart 2.

 

B. State Subgrants to Eligible State Agencies

B-1. How does the SEA make subgrants to SAs?

Once ED determines a State's Subpart 1 allocation, the SEA makes subgrants to each SA on the basis of its proportionate share of the State's adjusted enrollment count of children and youth who are N or D.

B-2. What are the eligibility requirements for an SA to receive Subpart 1 funds?

An SA is eligible to receive Subpart 1 funds if it is responsible for providing free public education for children and youth who are in educational programs in N or D institutions, who attend community day programs for children who are N or D, or who are 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 institutions for youth who are delinquent. States also may have a Department of Youth Services, or part of such an agency (e.g., a Division of Youth Services within a Department of Human Services), that administers institutions for children and youth who are delinquent. In States serving children who are neglected, a separate SA often administers institutions for these children. Several States have created a correctional education agency that provides education to students in institutions and community day programs.

B-3. In order to receive a subgrant under Subpart 1, must the SA directly operate schools for children and youth who are N or D?

No. The SA may provide educational services directly in State-operated schools, through contracts or other arrangements with another SA, an LEA , a junior or community college, a private provider, or a university. Whether or not services are provided directly by the SA, the SA is responsible for ensuring that the program operates in accordance with all applicable statutory and regulatory requirements.

B-4. Is an SEA eligible to receive Subpart 1 funds as an SA?

Yes. An SEA may be an eligible SA if it receives a specific State appropriation for the education of children who are N or D and provides educational services to children and youth who are N or D, either directly or through another agency, such as an LEA , another SA, or an institution of higher education. Regardless of whether the SEA is an eligible SA, the SEA has administrative responsibility for ensuring that the program operates in accordance with all applicable statutory and regulatory requirements.

B-5. Can an SA allocate its Subpart 1 funds to one facility rather than to each facility that generated a count?

Yes. With SEA approval, the SA determines the facilities to which it allocates Subpart 1 funds. The SA has the discretion, based on its needs assessment, to concentrate Subpart 1 services on those institutions that have children and youth with the greatest need.

B-6. If an SA does not submit an application for Subpart 1 funds, should the SEA return Subpart 1 grant funds to ED?

The SEA should consider providing these funds to one or more SAs, or use the funds directly to provide services, with the SEA serving as an SA. However, if the funds cannot be used in these ways, they must be returned to ED.

^ Top

 

C. Carryover of Subpart 1 Funds

C-1. Can the SEA allow an SA to carry over Subpart 1 funds?

Yes. If the SEA determines that the amount of an SA's subgrant exceeds the amount needed by the SA, it may allow the SA to carry over the excess funds for use in subsequent years. The SEA also may decide to reallocate the excess funds to another SA to use for Subpart 1 purposes.

C-2. Is there a carryover limitation for the SA's programs for N or D children?

No. There is no carryover limitation. Most States apply carryover amounts to the next year. With SEA approval, an SA may carry over funds from one fiscal year to the next. However, under section 421(b) of the General Education Provisions Act (GEPA), both the SEA and the SA must obligate all funds made available in a given fiscal year within 27 months.

^ Top

 

D. Eligible Institutions under Subpart 1

D-1. What types of institutions are eligible to receive Subpart 1 funds from SAs?

Once an SA receives Subpart 1 funds, it 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 that operates for the care of children who are N or D and that provides 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 to minimum-security facilities for juvenile delinquents to maximum-security facilities in adult correctional institutions or prisons. Institutions must be one of the four following types:

  • An adult correctional institution is a facility in which persons (including persons under 21 years of age) are confined as a result of conviction for a criminal offense. An adult correctional institution that confines persons under 21 years of age is eligible to receive Subpart 1 funds if it provides them with a regular program of instruction (not beyond grade 12) by using State funds.
  • An institution for delinquent children and youth is, as determined by the SEA, 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 adjudicated delinquent or in need of supervision and have had an average length of stay in the institution of at least 30 days.
  • An institution for neglected children and youth is, as determined by the SEA, 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 in the institution under applicable State law due to (1) abandonment; (2) neglect; or (3) death of their parents or guardians and have had an average length of stay in the institution of at least 30 days.
  • A community day program is a regular program of instruction provided by an SA at a community day school operated specifically for neglected or delinquent children and youth.

D-2. Are short-term institutions (those with an average length of stay of fewer than 30 days) eligible to receive Subpart 1 funds?

No. Although some short-term institutions, such as detention, diagnostic, and reception centers, provide basic education services for youth, Subpart 1 services are most effective in institutions where the duration of the stay is longer. Therefore, the average length of stay or participation in an institution for delinquent children and youth, an institution for neglected children and youth or an adult correctional facility should be at least 30 days for these institutions to be eligible to receive Subpart 1 funds (see 34 CFR 200.90(b) of the Title I, Part D regulations). This average length of stay requirement does not apply to community day school programs serving neglected or delinquent children and youth.

D-3. May an SA use its Subpart 1 allocation to serve children and youth in privately operated facilities?

Yes. Subpart l authorizes the SEA to provide financial support to SAs that operate educational programs for children and youth in institutions or community day programs for children who are N or D as well as for children or youth in adult correctional facilities. An SA may contract with private facilities to serve N or D children and youth. However, the SA is responsible for ensuring that a private facility operates a program in accordance with all applicable statutory and regulatory requirements.

D-4. May a State include SA N or D children and youth served in private facilities in the annual count of eligible children submitted to ED for Subpart 1 allocation purposes?

Yes, provided that the N or D children and youth counted are (1) the responsibility of the SA; (2) under the age of 21; and (3) enrolled in a regular program of instruction operated or supported by SAs in institutions or community day programs for N or D children and youth and adult correctional institutions as specified in 34 CFR 200.91 of the Title I, Part D regulations.

^ Top

 

E. Eligible Children and Youth

E-1. Which children and youth are eligible for services under Subpart 1?

To participate in the SA's N or D program, a child or youth must be:

  • 21 years of age or younger;
  • Entitled to free public education up to 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 youth who are N or D; 15 hours per week if in an adult correctional institution).

E-2. Is a youth who has completed the General Education Development (GED) program eligible to receive Subpart 1 services?

Yes. A student aged 21 or younger who is otherwise eligible to receive services under Subpart 1 (see item E-1 above) and who has earned a GED, but takes courses that lead to a high school diploma, is eligible to receive Subpart 1 services. Earning a high school diploma would fall within the definition of "regular program instruction" found in 34 CFR 200.90(b) of the Title I, Part D regulations, that is limited to an educational program not beyond grade 12. Subpart 1 funds also may be used for dual-enrollment courses in which a student concurrently earns high school and college credit, but may not be used for courses that award college credits only. Additionally, Subpart 1 funds may be used for placement services designed to place the youth in a university, college, or junior college program, such as SAT and ACT preparation courses, as well as for fees associated with college applications.

E-3. How does an SA identify and select children and youth to be served?

An SA that receives Subpart 1 funds must assess, on the basis of educationally objective criteria, the educational needs of all eligible children and youth in eligible institutions and community day programs. The needs assessment enables the SA to identify the unique educational needs of these children and youth and the general instructional areas on which the program will focus. Using the assessment data, an SA can select those most in need of special assistance and determine the specific needs of participating children and youth to ensure that the services provided will be of sufficient size, scope, and quality to enable the participants to make significant progress toward meeting State performance standards. If available funds are insufficient to meet the needs of all eligible youth, those most in need should be served first.

^ Top

 

F. State Plan

F-1. What is required in the Subpart 1 State plan?

To receive Subpart 1 funds, an SEA must submit for ED approval either (1) an individual State plan in accordance with section 1414(a) of ESEA; or (2) a consolidated plan that meets the requirements of section 9302 of ESEA. Whether the State plan is submitted individually or as part of a consolidated plan, it must describe the program goals, objectives, and performance measures established by the State that will be used to assess the effectiveness of the program in improving the academic, vocational, and technical skills of children in the program. The SEA must also provide assurances that the agency will both monitor and evaluate subgrantees.

F-2. May a State plan be revised?

Yes. The statute allows for plans to be reviewed and revised periodically by States. However, if substantive changes are made to a State plan, those changes must be submitted to ED for approval.

^ Top

 

G. State Agency Applications

G-1. What are the requirements of a Subpart 1 SA application?

Section 1414 of ESEA enumerates the 19 required elements of SA applications to SEAs. For example, SA applications must describe the procedures to be used to assess the educational needs of the children to be served; how the SA will carry out the program evaluation requirements of section 9601 of ESEA; how the results of the most recent evaluation will be used to plan and improve the program; and how the SA will endeavor to coordinate with businesses for training and mentoring of participating children and youth.

G-2. May an SEA approve an SA's application for more than 1 year?

Yes. If an SA operates a program or project under Subpart 1 in which individual children or youth are likely to participate for more than 1 year, the SEA may approve the SA's application for a subgrant under this subpart for a period not to exceed three years.

G-3. How often must SA applications to the SEA be updated?

Although the law allows the SEA to approve an SA's application for up to three years, the SEA may require an SA to update annually information included in its original application if substantial changes occur in the numbers and needs of the children to be served or the services to be provided.

G-4. When must an SA submit its application to the SEA?

Each SEA sets the deadline for submission of applications. Therefore, the deadline may vary from State to State.

G-5. Who prescribes the format of the application an SA submits for its Subpart 1 subgrant?

The SEA prescribes the format for the SA application and determines the specific information the SA must submit as part of its application and to carry out its responsibilities under Subpart 1. The SEA, however, may not use the application process to impose requirements that are inconsistent with the requirements under Title I of ESEA or other applicable Federal statutes and regulations.

G-6. May an SA submit an application that consists only of separate applications from each of its facilities?

No. The SA must submit its own application addressing the requirements in section 1414(c) of ESEA because the SA is the entity that applies for and receives the Subpart 1 subgrant and is responsible for the administration and control of funds. However, the SA may incorporate individual program plans from each of its facilities into its application.

G-7. Does an SA apply to the SEA for Subpart 1 funds when a contractor or other party provides the education services to children in institutions or community day programs?

Yes. The SA, not the contractor, must apply to the SEA for funds because the SA is responsible for providing a free public education to the children in the institutions and community day programs. The SA may contract with or arrange for another agency (such as an LEA , a junior or community college, a private provider, or a university) to provide the education services either at the institution or off-site. An 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.

G-8. May the SA allow individual institutions to apply directly to the SEA for a Subpart 1 grant?

No. Only an SA may apply to the SEA for Subpart 1 funds.

G-9. If the eligible SA is the SEA, must it complete an SA application that is approved by the chief state school officer (CSSO)?

Yes. An SEA that receives Subpart 1 funds as an SA must have an application on file that meets all the SEA's requirements for an SA application. The CSSO may delegate responsibility for the approval of this application to the appropriate official within the SEA.

G-10. If the subgrantee under Subpart 1 is the SEA, does the SEA compute maintenance of effort, and how should it monitor itself to ensure compliance?

Like other SAs, the SEA must compute maintenance of effort, and the CSSO should monitor the Subpart 1 program for compliance with all statutes and regulations.

G-11. What are the monitoring responsibilities of the SEA for SAs under Subpart 1?

SEAs are required to monitor their grantees for implementation of requirements of the program statute and regulations. Those requirements include monitoring the implementation of the SA program under Subpart 1. Additionally, SAs are responsible for monitoring every facility or institution with which they have contracted for services.

^ Top

 

H. Use of Funds

H-1. What activities may Subpart 1 funds support?

Under the authorizing statute, an SA must use Subpart 1 funds to support educational services that (1) except for institution-wide projects (see section 1415(a)(2)(B)(i)), are provided to children and youth identified by the SA as failing, or most at-risk of failing, to meet the State's challenging academic content and student academic achievement standards; and (2) supplement and improve the quality of educational services provided to these children and youth by the SA. The statute further provides that Subpart 1 funds may be used to acquire equipment that will be used to help the children and youth the SA serves to meet challenging State academic content and student academic achievement standards, and to cover the costs of meeting the evaluation requirements of section 9601 of ESEA.

Projects may use Subpart 1 funds to pay the necessary and reasonable costs that provide a variety of services, including reading, mathematics, language arts, and vocationally oriented programs that include academic classroom instruction so long as these are supplementary services and materials. For example, past Subpart 1 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;
  • Procure needed educational materials and equipment for Title I instruction, including books, computers, audiovisual equipment and supplies, and classroom materials for industrial arts and vocational training; and
  • Hire transition coordinators or buy new equipment to assist students' transitions (e.g., purchasing scanners to scan individualized education program (IEP) documents).

The following three examples describe how several projects for N or D children and youth have used their funds.

Use of Funds—Example 1

A project in one State provided in-service training to help teachers of Title I programs 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.

Use of Funds—Example 2

A State's Department of Correctional Education developed a curriculum guide for social living skills for both its adult and juvenile populations to address the fact that many of the individuals in these institutions had not previously had opportunities to learn and practice these skills. Teachers in Title I programs used this guide to improve the academic and social skills of incarcerated juvenile students. Students entering the program were given a criterion-referenced test on social living skills. The results of this test and other evaluations were then used to identify the deficiencies in academic and social skills that the social skills curriculum guide was designed to address.

Use of Funds—Example 3

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 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:

  • Carrying out historical and geographical research;
  • Writing research reports, short stories, and poetry;
  • Using mathematics to solve real-life problems;
  • Creating products in the performing and visual arts; and
  • Assessing individual social skills.

H-2. May Subpart 1 funds be used for regular education instructional activities?

No. An SA must use Subpart 1 funds to provide services that supplement, not supplant, those services that would, in the absence of Subpart 1 funds, be provided to children participating in the regular school educational program. However, Subpart 1 funds may be used to increase the total number of hours of instruction in any subject area that students receive with State or local funds.

H-3. May an SEA reserve 1 percent from its Subpart 1 allocation for State administration activities?

Yes. Section 1004 of ESEA authorizes an SEA to reserve for State administration up to 1 percent from funds allocated to the State under Title I, Part A (Grants to LEA s), Part C (Migrant Education), and Part D, Subpart 1 (State Agency Neglected or Delinquent Program). The 1 percent reservation is a maximum. An SEA may reserve less than 1 percent from each of Parts A, C, and D (Subpart 1) of Title I of ESEA. Moreover, an SEA does not need to reserve the same percentage from each part.

If the amount calculated as available to be reserved for State administration through this process totals less than $400,000 ($50,000 in the case of an Outlying Area), an SEA may reserve up to $400,000. In any State reserving $400,000 for State administration, the SEA is not required to reserve funds proportionately from each of Parts A, C, and D (Subpart 1) and may, for example, take the reserve entirely out of Title I, Part A funds. However, in reserving $400,000, an SEA may not reserve more funds for State administration from Part C or Part D than it would have, had it reserved proportionate funds from Parts A, C, and D. For more details about this process, see page 32 of the guidance on SEA allocation procedures (MS Word).

^ Top

 

I. Parental Involvement

I-1. What are the SA's parental involvement requirements?

In its application, an SA must assure that it will work with parents to secure their assistance in improving their children's and youth's educational achievement and, as appropriate, 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 and youth'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.

^ Top

 

J. Institution-wide Projects

J-1. What are institution-wide projects?

Section 1416 of Title I, Part D, Subpart 1 of ESEA authorizes an SA that provides free public education for children and youth in an institution for N or D children and youth (other than an adult correctional institution) or attending a community-day program for N or D children and youth to use Subpart 1 funds to serve all children in, and upgrade the entire educational effort of, that institution or program, provided the SEA has approved the SA's comprehensive plan for that institution or program. (Requirements for the comprehensive plan are specified in section 1416(1) through (8) of ESEA.) The purpose of the institution-wide approach is similar to that of school-wide programs operated under Title I, Part A. The authority enables 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;
  • Combine Part D, Subpart 1 funds with other State and Federal funds for education programs to support comprehensive approaches that meet the educational needs of all children and youth in N or D institutions; and
  • Use Part D, Subpart 1 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 to show that Subpart 1 funds pay for supplemental services that would otherwise not be provided, or to account for Federal dollars separately. Instead, an SA may use these funds in any manner it chooses, so long as the use is consistent with the SA's comprehensive plan approved by the SEA.

Institution-wide Projects—Example

A State's Training School for Youth (TSY), an institution that serves preadjudicated and adjudicated boys and girls, uses its Subpart 1 funds in combination with other Federal and State funds to provide a comprehensive educational program that helps its students meet high academic standards. The TSY academic program has several key components:

  • Staff development. In addition to providing instructors and other education staff with ongoing training in teaching this population of students, the staff development component emphasizes collaboration between the teaching staff and correctional staff at the institution.
  • Instructional materials and strategies. Along with the purchase and use of appropriate technology to enhance teaching and student learning, a crucial element of this component is training staff to use the equipment effectively and helping students to take advantage of the technology as part of the TSY effort to have students take responsibility for their own learning.
  • Transitional aides and classroom aides. In addition to supporting teaching assistants who help students develop academic and life skills, TSY makes use of bilingual teacher aides to serve a growing Hispanic population who have a limited knowledge of English. Aides also provide counseling services for youth who are returning to their home communities and schools.
  • Linkages with the community. An important component in helping students make the transition back to their communities is the development of links with local social service agencies in each student's home community and school.
  • Tutors and mentors. The TSY program also provides tutors and mentors in the residential units outside school hours.
  • Assessment of student progress. The TSY assesses the reading and math skills of all students who remain at the institution for at least 6 months.

J-2. How does an SA apply to operate an institution-wide project?

An SA applies for institution-wide project funding under Subpart 1 by submitting a comprehensive plan to the SEA. Section 1416 of Title I of ESEA requires that the plan developed by an SA for an institution-wide project in a specific institution include eight elements. For example, the plan must provide a comprehensive assessment of the educational needs of all children and youth in the institution or program and must describe the measures and procedures that the program will use to assess student progress.

J-3. May an adult correctional institution use its funds for an institution-wide project?

No. Institution-wide programs may only be operated in an institution for neglected or delinquent children and youth, or for neglected or delinquent children and youth attending a community day program.

J-4. Must an SA's plan for institution-wide projects include a comprehensive assessment of the educational needs of children who are neglected in a program to be conducted in an institution specifically for these children?

Yes.

^ Top

 

K. Transition Services

 

K-1. What are an SA's requirements for providing transition services?

Helping institutionalized children and youth who are N or D and those in adult correctional facilities to make the transition into the community for further education or employment is an important element in the success of the Subpart 1 program. Section 1418 of ESEA requires that each SA reserve not less than 15 percent or more than 30 percent of the amount it receives in any year under Subpart 1 to support "transition services" for these children and youth. An SA also may use the reserved funds to provide transition educational services to children and youth in schools other than State-operated institutions.

The SA should describe in its Subpart 1 application budget the required reservation of 15 to 30 percent of Title I, Part D funds for transition services. SEAs may wish to identify a section of the SA application for this provision. Scroll to page 11 of the Nonregulatory Guidance (PDF) to view an example from one State of such an application.

K-2. What are examples of transition services?

Transition services focus on helping children and youth who are N or D to reenter 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 children and youth who are N or D;
  • Services of in-school advocates to act on behalf of individual children and youth who are N or D;
  • Tutoring and mentoring;
  • Reentry orientation programs, including transition centers and reentry centers in high schools;
  • Instruction and training at alternative schools and learning centers; and
  • Parental 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. Group homes might care for the released youth 24 hours a day; provide classroom instruction; arrange for work-study programs, 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. For example an SA could arrange for children and youth leaving a facility to 1) attend public or private institutions with LEA s paying assessment or application fees; or 2) participate in local vocational education programs, GED preparation programs offered by community colleges, or entrance into job training programs for older youth.

Transition Activities—Example

A State's 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. This ongoing interaction between student and teacher 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 that 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.

K-3. Do pre-release activities, as well as post-release activities, count as transition services?

Yes. "Transition" includes within-institution pre-release activities as well as post-release activities.

K-4. Do activities undertaken with the 15–30 percent transition reservation have to be transition activities not in any way already provided by the institution's school program?

No. The list of activities suggested in section 1418 of ESEA includes many activities that institutional programs already provide. However, transition activities, like other activities funded by Subpart 1, must supplement and not supplant services that would in the absence of Subpart 1 funds be provided through State or local funds.

Funds reserved for transition purposes do not need to be broken out for each activity on a cost basis. A statement of activities is sufficient to demonstrate compliance with section 1418 of ESEA. The example below shows what one State might report to ED to demonstrate compliance.

Compliance with Transition Reservation Requirements—Example

A State reports to ED the following:

"Of the $67,000 one SA receives under Subpart 1, $10,500 (or 15 percent) is used for transition in the following ways: onsite transition planning, course materials, software, and assessment to provide classroom activities on preemployment aptitude and interest building; workplace social and behavioral skill-building; guidance services, GED preparation, and assessments; developing transition plans; assisting with transfer from the institution; providing referrals; teaching money management skills; teaching how to access community and agency resources; and assisting with college information."

K-5. May a State waive the transition reservation requirement if an SA has an existing comprehensive transition system?

No. A State may not waive the reservation requirements for SA transition services. If a State has what it regards as a comprehensive transition system, Subpart 1 funds may be used only to supplement that system.