CHAPTER 31 —GENERAL PROVISIONS CONCERNING EDUCATION
SUBCHAPTER I—FUNCTIONS OF DEPARTMENT OF EDUCATION
SUBCHAPTER II—APPROPRIATIONS AND EVALUATIONS
Part 1—Appropriations
Part 2—Planning and Evaluation of Federal Education Activities
SUBCHAPTER III—GENERAL REQUIREMENTS AND CONDITIONS CONCERNING OPERATION AND ADMINISTRATION OF EDUCATION PROGRAMS: GENERAL AUTHORITY OF SECRETARY
Part 1—General Authority
Part 2—Administration: Requirements and Limitations
Part 3—Administration of Education Programs and Projects by States and Local Educational Agencies
Part 4—Records; Privacy; Limitation on Withholding Federal Funds
SUBCHAPTER IV—ENFORCEMENT
SUBCHAPTER V—READY TO LEARN TELEVISION
Editorial Notes
Codification
§1221. Short title; applicability; definitions
(a) Short title
This chapter may be cited as the "General Education Provisions Act".
(b) Applicability of chapter
(1) Except as otherwise provided, this chapter applies to each applicable program of the Department of Education.
(2) Except as otherwise provided, this chapter does not apply to any contract made by the Department of Education.
(c) Definitions
As used in this chapter, the following terms have the following meanings:
(1) The term "applicable program" means any program for which the Secretary or the Department has administrative responsibility as provided by law or by delegation of authority pursuant to law. The term includes each program for which the Secretary or the Department has administrative responsibility under the Department of Education Organization Act [
(2) The term "applicable statute" means—
(A) the Act or the title, part, section, or any other subdivision of an Act, as the case may be, that authorizes the appropriation for an applicable program;
(B) this chapter; and
(C) any other statute that by its terms expressly controls the administration of an applicable program.
(3) The term "Department" means the Department of Education.
(4) The term "Secretary" means the Secretary of Education.
(d) Application of other laws unaffected
Nothing in this chapter shall be construed to affect the applicability of title VI of the Civil Rights Act of 1964 [
(
Editorial Notes
References in Text
The Department of Education Organization Act, referred to in subsec. (c)(1), is
The Civil Rights Act of 1964, referred to in subsec. (d), is
The Education Amendments of 1972, referred to in subsec. (d), is
The Rehabilitation Act of 1973, referred to in subsec. (d), is
The Age Discrimination Act, referred to in subsec. (d), probably means the Age Discrimination Act of 1975, which is title III of
Amendments
1994—
1974—Subsec. (a).
Subsec. (b).
Subsec. (c).
Subsec. (d).
Subsec. (e).
1970—
Subsecs. (b), (c).
1968—
Statutory Notes and Related Subsidiaries
Effective Date of 1994 Amendment
"(A) July 1, 1995 for noncompetitive programs in which funds are allocated on the basis of a formula; and
"(B) for programs that are conducted on a competitive basis, with respect to appropriations for use under such programs in fiscal year 1995 and in subsequent fiscal years."
Effective Date of 1974 Amendment
Short Title of 2013 Amendment
Short Title of 1988 Amendment
Short Title of 1978 Amendment
Short Title of 1974 Amendment
Executive Documents
Ex. Ord. No. 11155. Providing for the Recognition of Certain Students as Presidential Scholars
Ex. Ord. No. 11155, May 23, 1964, 29 F.R. 6909, as amended by Ex. Ord. No. 12158, Sept. 18, 1979, 44 F.R. 54451; Ex. Ord. No. 13697, June 22, 2015, 80 F.R. 36691, provided:
WHEREAS it is necessary in the national interest that the Federal Government encourage high attainment by students in secondary schools, both public and private, throughout the Nation, and
WHEREAS national recognition of scholastic attainments will tend to enhance the accomplishments of such students generally and their potential after graduation:
NOW, THEREFORE, by virtue of the authority vested in me as President of the United States, it is ordered as follows:
(1) The Presidential Scholars shall be chosen from among persons who have recently been graduated, or are about to be graduated, from secondary schools, public or private.
(2) They shall be chosen on the basis of their outstanding scholarship.
(3) One boy and one girl shall be chosen as Presidential Scholars from each of the following, namely:
(i) Each State of the United States.
(ii) The District of Columbia.
(iii) The Commonwealth of Puerto Rico.
(iv) The following, collectively: American Samoa, Canal Zone, Guam, Virgin Islands, Trust Territory of the Pacific Islands, and, if the Commission in its discretion shall so determine, other places overseas. In respect of the said other places overseas, only children whose parents are citizens of the United States shall be eligible to be chosen hereunder as Presidential Scholars from those places.
(4) In addition to the 106 Presidential Scholars provided for in paragraph (3), above, the Commission may choose other Presidential Scholars, not exceeding fifteen in number for any one year, to be chosen at large from the jurisdictions referred to in that paragraph.
(5) In addition to the Presidential Scholars provided for in paragraphs (3) and (4) above, the Commission may choose other Presidential Scholars not exceeding twenty in any one year. These Scholars shall be chosen at large, from the jurisdictions referred to in paragraph (3), on the basis of outstanding scholarship and demonstrated ability and accomplishment in the visual and performing arts or in creative writing.
(6) In addition to the Presidential Scholars provided for in paragraphs (3), (4), and (5) of this section, the Commission may choose other Presidential Scholars not exceeding twenty in any one year. These Scholars shall be chosen at large, from the jurisdictions referred to in paragraph (3), on the basis of outstanding scholarship and demonstrated ability and accomplishment in career and technical education fields.
Executive Order No. 11761
Ex. Ord. No. 11761, Jan. 17, 1974, 39 F.R. 2345, which provided for coordination of Federal educational programs and which continued Federal Interagency Committee on Education, was revoked by Ex. Ord. No. 12553, Feb. 25, 1986, 51 F.R. 7237.
Executive Order No. 12687
Ex. Ord. No. 12687, Aug. 15, 1989, 54 F.R. 34127, as amended by Ex. Ord. No. 12741, Dec. 31, 1990, 56 F.R. 475; Ex. Ord. No. 12785, Dec. 26, 1991, 56 F.R. 67451, which established the President's Education Policy Advisory Committee to advise the President with respect to objectives and conduct of overall education policy of the United States, was revoked by Ex. Ord. No. 12869, §4(e), Sept. 30, 1993, 58 F.R. 51751, formerly set out as a note under
§1221–1. National policy with respect to equal educational opportunity
Recognizing that the Nation's economic, political, and social security require a well-educated citizenry, the Congress (1) reaffirms, as a matter of high priority, the Nation's goal of equal educational opportunity, and (2) declares it to be the policy of the United States of America that every citizen is entitled to an education to meet his or her full potential without financial barriers.
(
Editorial Notes
Codification
Section was enacted as part of Education Amendments of 1974, and not as part of General Education Provisions Act which comprises this chapter.
Statutory Notes and Related Subsidiaries
Effective Date
"(1) Unless otherwise specified, each provision of this Act [see Tables for classification] and each amendment made by this Act shall be effective on and after the sixtieth day after the enactment of this Act [Aug. 21, 1974].
"(2) In any case where the effective date for an amendment made by this Act is expressly stated to be effective after June 30, 1973, or on July 1, 1973, such amendment shall be deemed to have been enacted on June 30, 1973."
Study of Civilian Aviation Training Programs
National Commission on Independent Higher Education
National Commission on Cost of Higher Education
Education Council Act of 1991
National Commission on Responsibilities for Financing Postsecondary Education
Study of Classroom Use of Volunteers
Native Hawaiian Education Study
Appropriations Not Authorized for Native Hawaiian Education Study for Fiscal Year 1982, 1983, or 1984
Financing of Elementary and Secondary Education; Studies and Surveys; Advisory Panel; Reports
White House Conference on Education: Report of Findings and Recommendations; National Conference Committee: Establishment, Membership, Report to President and Congress, Travel Expenses; Apportionment of Funds; Authorization of Appropriations
§1221–2. National policy with respect to museums as educational institutions
The Congress, recognizing—
(1) that museums serve as sources for schools in providing education for children,
(2) that museums provide educational services of various kinds for educational agencies and institutions and institutions of higher education, and
(3) that the expense of the educational services provided by museums is seldom borne by the educational agencies and institutions taking advantage of the museums' resources,
declares that it is the sense of the Congress that museums be considered educational institutions and that the cost of their educational services be more frequently borne by educational agencies and institutions benefiting from those services.
(
Editorial Notes
Codification
Section was enacted as part of Education Amendments of 1974, and not as part of General Education Provisions Act which comprises this chapter.
Statutory Notes and Related Subsidiaries
Effective Date
Section effective on and after sixtieth day after Aug. 21, 1974, see section 2(c) of
§1221–3. Repealed. Pub. L. 103–382, title II, §212(a)(1), Oct. 20, 1994, 108 Stat. 3913
Section,
SUBCHAPTER I—FUNCTIONS OF DEPARTMENT OF EDUCATION
Editorial Notes
Codification
§§1221a to 1221c. Repealed. Pub. L. 103–382, title II, §212(a)(1), Oct. 20, 1994, 108 Stat. 3913
Section 1221a,
Section 1221b,
Section 1221c,
§1221d. Repealed. Pub. L. 96–374, title X, §1001(c), Oct. 3, 1980, 94 Stat. 1491
Section,
Statutory Notes and Related Subsidiaries
Effective Date of Repeal
Repeal effective Oct. 1, 1980, see section 1393(a) of
§1221e. Repealed. Pub. L. 103–227, title IX, §911(a), Mar. 31, 1994, 108 Stat. 213
Section,
Statutory Notes and Related Subsidiaries
Savings Provision
Existing Grants and Contracts
§§1221e–1 to 1221e–1c. Repealed. Pub. L. 103–382, title II, §212(a)(1), Oct. 20, 1994, 108 Stat. 3913
Section 1221e–1,
Section 1221e–1a,
Section 1221e–1b,
Section 1221e–1c,
§1221e–1d. Use of Council staff and facilities
The National Advisory Council on Educational Research and Improvement, the Advisory Council on Education Statistics, and members of such councils may not use any staff, facilities, equipment, supplies, or franking privileges of the councils for activities unrelated to the purposes of the councils.
(
Editorial Notes
Codification
Section was enacted as part of the Higher Education Amendments of 1986, and not as part of the General Education Provisions Act which comprises this chapter.
§1221e–2. Repealed. Pub. L. 103–382, title II, §212(a)(1), Oct. 20, 1994, 108 Stat. 3913
Section,
§1221e–3. General authority of Secretary
The Secretary, in order to carry out functions otherwise vested in the Secretary by law or by delegation of authority pursuant to law, and subject to limitations as may be otherwise imposed by law, is authorized to make, promulgate, issue, rescind, and amend rules and regulations governing the manner of operation of, and governing the applicable programs administered by, the Department.
(
Editorial Notes
Amendments
1994—
1978—Subsec. (a).
Subsecs. (b) to (d).
Statutory Notes and Related Subsidiaries
Effective Date of 1978 Amendment
"(a) Except as otherwise specifically provided in this Act, the provisions of this Act and the amendments and repeals made by this Act [see Tables for classification] shall take effect October 1, 1978.
"(b) The provisions of section 412(b)(2) [now 421(b)(2)] of the General Education Provisions Act [
Effective Date
§1221e–4. Educational impact statement
Notwithstanding any other provision of law, no regulation affecting any institution of higher education in the United States, promulgated on or after October 3, 1980, shall become effective unless such agency causes to be published in the Federal Register a copy of such proposed regulation together with an educational impact assessment statement which shall determine whether any information required to be transmitted under such regulation is already being gathered by or is available from any other agency or authority of the United States. Notwithstanding the exception provided under
(
Editorial Notes
Codification
October 3, 1980, referred to in text, was in the original "the date of enactment of this Act", which was translated as meaning the date of enactment of
Prior Provisions
A prior section 411 of
Another prior section 411 of
Another prior section 411 of
Statutory Notes and Related Subsidiaries
Effective Date
Section effective Oct. 1, 1980, see section 1393(a) of
§§1221f to 1221h. Repealed. Pub. L. 100–297, title V, §5352(4), Apr. 28, 1988, 102 Stat. 414
Section 1221f,
Section 1221g,
Section 1221h,
Statutory Notes and Related Subsidiaries
Effective Date of Repeal
For effective date and applicability of repeal, see section 6303 of
§1221i. Repealed. Pub. L. 104–208, div. A, title I, §101(e) [title VII, §708(d)], Sept. 30, 1996, 110 Stat. 3009–233 , 3009-312
Section,
§1221j. Television program assistance
(a) Granting and contracting authority
The Secretary of Education is authorized to make grants to and contracts with public and private agencies for the production, development, or distribution (or any combination thereof) of programs designed for television systems, whether broadcast or nonbroadcast.
(b) Administration and studies
The Secretary of Education shall be responsible for the administration of this section and shall also conduct surveys, research, and evaluation studies which may assist in decisions to support pilot programs for full scale production.
(
Editorial Notes
Codification
Section was enacted as part of Education Amendments of 1978, and not as part of General Education Provisions Act which comprises this chapter.
Statutory Notes and Related Subsidiaries
Effective Date
Section effective Oct. 1, 1978, see section 1530 of
Transfer of Functions
"Secretary of Education" substituted for "Secretary" in subsec. (a) and "Assistant Secretary for Education" in subsec. (b), pursuant to sections 301 and 507 of
SUBCHAPTER II—APPROPRIATIONS AND EVALUATIONS
Editorial Notes
Codification
Part 1—Appropriations
Editorial Notes
Codification
§1222. Repealed. Pub. L. 93–380, title V, §506(a)(1)(B), Aug. 21, 1974, 88 Stat. 562
Section,
Statutory Notes and Related Subsidiaries
Effective Date of Repeal
Section repealed effective Aug. 21, 1974, see section 506(b) of
§1223. Forward funding
(a) To the end of affording the responsible Federal, State, and local officers adequate notice of available Federal financial assistance for carrying out ongoing education activities and projects, appropriations for grants, contracts, or other payments under any applicable program are authorized to be included in the appropriations Act for the fiscal year preceding the fiscal year during which such activities and projects shall be carried out.
(b) In order to effect a transition to the timing of appropriation action authorized by subsection (a), the application of this section may result in the enactment, in a fiscal year, of separate appropriations for an applicable program (whether in the same appropriations Act or otherwise) for two consecutive fiscal years.
(
Editorial Notes
Prior Provisions
A prior section 420 of
Amendments
1994—
1970—
Statutory Notes and Related Subsidiaries
National Policy With Respect to Advance Funding of Education Programs
Provision effective on and after sixtieth day after Aug. 21, 1974, see section 2(c) of
§1224. Repealed. Pub. L. 93–380, title V, §506(a)(1)(B), Aug. 21, 1974, 88 Stat. 562
Section,
Statutory Notes and Related Subsidiaries
Effective Date of Repeal
Repeal effective Aug. 21, 1974, see section 506(b) of
§1225. Availability of appropriations on academic or school-year basis; additional period for obligation of funds
(a) Academic or differing fiscal year
Appropriations for any fiscal year for grants, loans, contracts, or other payments under any applicable program may, in accordance with regulations of the Secretary, be made available for obligation by the recipient on the basis of an academic or school year differing from such fiscal year.
(b) Succeeding fiscal year
(1) Notwithstanding any other provision of law, unless enacted in specific limitation of the provisions of this subsection, any funds from appropriations to carry out any programs to which this chapter is applicable during any fiscal year, which are not obligated and expended by educational agencies or institutions prior to the beginning of the fiscal year succeeding the fiscal year for which such funds were appropriated shall remain available for obligation and expenditure by such agencies and institutions during such succeeding fiscal year.
(2) Any funds under any applicable program which, pursuant to paragraph (1), are available for obligation and expenditure in the year succeeding the fiscal year for which they were appropriated shall be obligated and expended in accordance with—
(A) the Federal statutory and regulatory provisions relating to such program which are in effect for such succeeding fiscal year, and
(B) any program plan or application submitted by such educational agencies or institutions for such program for such succeeding fiscal year.
(c) Institution of judicial proceedings
If any funds appropriated to carry out any applicable program are not obligated pursuant to a spending plan submitted in accordance with
(
Editorial Notes
Prior Provisions
A prior section 421 of
Another prior section 421 of
Another prior section 421 of
Amendments
1994—
Subsec. (a).
Subsec. (b).
Subsec. (c).
1978—Subsec. (b).
1977—Subsec. (b).
1976—Subsec. (b).
1974—Subsec. (b).
Subsec. (c).
1970—
Statutory Notes and Related Subsidiaries
Effective Date of 1978 Amendment
Amendment by
Effective Date of 1974 Amendment
Indochinese Refugee Children Education Assistance Programs; Applicability of Contingent Extension Provisions
§1226. Repealed. Pub. L. 103–382, title II, §212(a)(1), Oct. 20, 1994, 108 Stat. 3913
Section,
§1226a. Contingent extension of programs
(a) Automatic extension
The authorization of appropriations for, or duration of, an applicable program shall be automatically extended for one additional fiscal year unless Congress, in the regular session that ends prior to the beginning of the terminal fiscal year of such authorization or duration, has passed legislation that becomes law and extends or repeals the authorization or duration of such program.
(b) Amount of appropriation
The amount authorized to be appropriated for the period of automatic extension under subsection (a) of an applicable program shall be the amount authorized to be appropriated for such program for the terminal fiscal year of the applicable program.
(c) Acts and determinations necessary for program continuation
If the Secretary is required, in the terminal fiscal year of an applicable program, to carry out certain acts or make certain determinations that are necessary for the continuation of such program, such acts or determinations shall be required to be carried out or made during the period of automatic extension under subsection (a).
(d) Application to commissions, councils, and committees required by law to terminate
This section shall not apply to the authorization of appropriations for a commission, council, or committee which is required by an applicable statute to terminate on a date certain.
(
Editorial Notes
Prior Provisions
A prior section 422 of
Another prior section 422 of
Amendments
1994—
1980—Subsec. (a).
Statutory Notes and Related Subsidiaries
Effective Date of 1980 Amendment
Amendment by
Additional Extensions Not Permitted
Indochinese Refugee Children Education Assistance Programs; Applicability of Contingent Extension Provisions
Applicability of contingent extension provisions to any program of financial assistance for educational purposes for Indochinese refugee children, see section 327 of
Limitation on Extension of Programs
§1226a–1. Payments; installments, advances or reimbursement, and adjustments
Payments pursuant to grants or contracts under any applicable program may be made in installments, and in advance or by way of reimbursement, with necessary adjustments on account of overpayments or underpayments, as the Secretary may determine.
(
Editorial Notes
Codification
Section was formerly classified to
Prior Provisions
A prior section 423 of
Another prior section 423 of
Amendments
1994—
Part 2—Planning and Evaluation of Federal Education Activities
Editorial Notes
Codification
§1226b. Responsibility of States to furnish information
(a) Biennial reports; contents
Each State educational agency shall submit to the Secretary a report on or before March 15 of every second year. Each such report shall include—
(1) information with respect to the uses of Federal funds in such State in the two preceding fiscal years under any applicable program under the jurisdiction of the State educational agency; and
(2) information with respect to the uses of Federal funds in such State in the two preceding fiscal years under any Federal program administered by the State that provided grants or contracts to a local educational agency in the State.
(b) Additional contents
Each report submitted under subsection (a) shall—
(1) list, with respect to each program for which information is provided, all grants made to and contracts entered into with local educational agencies and other public and private agencies and institutions within the State during each fiscal year concerned;
(2) analyze the information included in the report by local educational agency and by program;
(3) include the total amount of funds available to the State under each such program for each fiscal year concerned; and
(4) be made readily available by the State to local educational agencies and institutions within the State and to the public.
(c) Delinquent or incomplete reports
If the Secretary does not receive a report by the date required under subsection (a), or receives an incomplete report, the Secretary, not later than 30 days after such report is required to be submitted, shall take all reasonable measures to obtain the delinquent or incomplete information from the State educational agency.
(d) Availability of information
When the Secretary receives a report required under subsection (a), the Secretary shall provide such information to the National Center for Education Statistics, and shall make such information available, at a reasonable cost, to any individual who requests such information.
(e) Congressional telecommunications network
The Secretary shall consult with the Speaker and Minority Leader of the House of Representatives and the Majority and Minority Leaders of the Senate regarding the costs and feasibility of making the information described in subsection (a) available as part of a telecommunications network that is readily accessible to every member of Congress and other interested parties.
(f) Reports by Secretary
On or before August 15 of each year in which reports are submitted under subsection (a), the Secretary shall submit a report to the Committee on Education and Labor of the House of Representatives and the Committee on Labor and Human Resources of the Senate. Such report shall include—
(1) an analysis of the content and data quality of such reports;
(2) a compilation of statistical data derived from such reports; and
(3) information obtained by the Secretary with respect to—
(A) direct grants made to local educational agencies by the Federal Government; and
(B) contracts entered into between such agencies and the Federal Government.
(
Editorial Notes
Prior Provisions
Provisions similar to those in subsecs. (a), (b), and (f) of this section were contained in
A prior section 1226b,
A prior section 424 of
Another prior section 424 of
Another prior section 424 of
Statutory Notes and Related Subsidiaries
Change of Name
Committee on Education and Labor of House of Representatives changed to Committee on Education and the Workforce of House of Representatives by House Resolution No. 5, One Hundred Eighteenth Congress, Jan. 9, 2023.
Committee on Labor and Human Resources of Senate changed to Committee on Health, Education, Labor, and Pensions of Senate by Senate Resolution No. 20, One Hundred Sixth Congress, Jan. 19, 1999.
§1226c. Biennial evaluation report
Not later than March 31, 1995, and every two years after such date, the Secretary shall transmit to the Committee on Education and Labor of the House of Representatives and the Committee on Labor and Human Resources of the Senate an evaluation report on the effectiveness of applicable programs in achieving such programs' legislated intent and purposes during the two preceding fiscal years. Such report shall—
(1) contain program profiles that include legislative citations, multiyear funding histories, and legislated purposes;
(2) contain recent information on the progress being made toward the achievement of program objectives, including listings of program performance indicators, data from performance measurement based on the indicators, and information on the costs and benefits of the applicable programs being evaluated;
(3) address significant program activities, such as initiatives for program improvement, regulations, and program monitoring and evaluation;
(4) list the principal analyses and studies supporting the major conclusions in such report;
(5) be prepared in concise summary form with necessary detailed data and appendixes, including available data to indicate the effectiveness of the programs and projects by the race, sex, disability and age of beneficiaries of such programs and projects; and
(6) include the results of the program evaluations conducted in accordance with
(
Editorial Notes
Prior Provisions
A prior section 425 of
Another prior section 425 of
Another prior section 425 of
Amendments
2015—Par. (6).
2002—Par. (6).
1994—
1984—Subsec. (a).
1980—Subsec. (a)(F).
1979—Subsec. (a).
1978—Subsec. (a)(1).
Statutory Notes and Related Subsidiaries
Change of Name
Committee on Education and Labor of House of Representatives changed to Committee on Education and the Workforce of House of Representatives by House Resolution No. 5, One Hundred Eighteenth Congress, Jan. 9, 2023.
Committee on Labor and Human Resources of Senate changed to Committee on Health, Education, Labor, and Pensions of Senate by Senate Resolution No. 20, One Hundred Sixth Congress, Jan. 19, 1999.
Effective Date of 2015 Amendment
Amendment by
Effective Date of 2002 Amendment
Amendment by
Effective Date of 1984 Amendment
"(a) Except as provided in subsection (b), this Act and the amendments made by this Act [see Tables for classification] shall take effect on the date of enactment of this Act [Oct. 19, 1984] or October 1, 1984, whichever occurs later.
"(b) The amendments made by title I of this Act [see Tables for classification] shall take effect on July 1, 1985."
Effective Date of 1980 Amendment
Amendment by
Effective Date of 1979 Amendment
Amendment by
Effective Date of 1978 Amendment
Amendment by
§1226c–1. Availability of education reports, etc., to Congressional committees
Any evaluation report or data or information collected in preparation of such report, which is paid for with appropriated funds, shall be made available, upon request, within 4 days to the chairman and ranking minority member of the Committee on Education and Labor of the House of Representatives and of the Committee on Labor and Human Resources of the Senate.
(
Editorial Notes
Codification
Section was enacted as part of Education Amendments of 1978, and not as part of General Education Provisions Act which comprises this chapter.
Amendments
1994—
Statutory Notes and Related Subsidiaries
Change of Name
Committee on Education and Labor of House of Representatives changed to Committee on Education and the Workforce of House of Representatives by House Resolution No. 5, One Hundred Eighteenth Congress, Jan. 9, 2023.
Committee on Labor and Human Resources of Senate changed to Committee on Health, Education, Labor, and Pensions of Senate by Senate Resolution No. 20, One Hundred Sixth Congress, Jan. 19, 1999.
Effective Date
Section effective Oct. 1, 1978, see section 1530(a) of
§1226d. Repealed. Pub. L. 96–470, title I, §106(a), Oct. 19, 1980, 94 Stat. 2238
Section,
§1227. Repealed. Pub. L. 103–382, title II, §212(a)(1), Oct. 20, 1994, 108 Stat. 3913
Section,
§1228. Repealed. Pub. L. 116–260, div. H, title III, §314(a), Dec. 27, 2020, 134 Stat. 1610
Section,
A prior section 426 of
Another prior section 426 of
Another prior section 426 of
§1228a. Equity for students, teachers, and other program beneficiaries
(a) Purpose
The purpose of this section is to assist the Department in implementing the Department's mission to ensure equal access to education and to promote educational excellence throughout the Nation, by—
(1) ensuring equal opportunities to participate for all eligible students, teachers, and other program beneficiaries in any project or activity carried out under an applicable program; and
(2) promoting the ability of such students, teachers, and beneficiaries to meet high standards.
(b) Requirement to develop steps to ensure equity
The Secretary shall require each applicant for assistance under an applicable program (other than an individual) to develop and describe in such applicant's application the steps such applicant proposes to take to ensure equitable access to, and equitable participation in, the project or activity to be conducted with such assistance, by addressing the special needs of students, teachers, and other program beneficiaries in order to overcome barriers to equitable participation, including barriers based on gender, race, color, national origin, disability, and age.
(c) Establishment of criteria
The Secretary may establish criteria and provide technical assistance for meeting the requirements of this section.
(d) Effect on other laws
Nothing in this section shall be construed to alter in any way the rights or responsibilities established under the laws cited in
(
Editorial Notes
Prior Provisions
A prior section 427 of
Another prior section 427 of
Statutory Notes and Related Subsidiaries
Effective Date
Section effective July 1, 1995, for noncompetitive programs in which funds are allocated on the basis of a formula and for programs that are conducted on a competitive basis, with respect to appropriations for use under such programs in fiscal year 1995 and in subsequent fiscal years, see section 3(a)(2) of
§1228b. Coordination
The National Assessment Governing Board, the Advisory Council on Education Statistics, the National Education Goals Panel, and any other board established to analyze, address, or approve education content or student performance standards and assessments shall coordinate and interact with one another in order to ensure that each such entity does not duplicate activities to assist the States in reforming their educational systems.
(
Editorial Notes
Prior Provisions
A prior section 428 of
Amendments
1996—
§1228c. Disclosure requirements
(a) In general
Each educational organization, prior to enrolling a minor and prior to accepting funds for the cost of a minor's participation in an educational program operated by such organization, shall disclose the following information in written form to the minor or the minor's parent.
(1) Method of solicitation and selection
The method of solicitation and selection of participants in the educational program, including—
(A) the origin of any mailing list used for such solicitation and selection;
(B) any recruitment through a local school official, teacher, or school personnel, including any compensation or other benefit offered to such official, teacher, or personnel for the recommendation of a minor for participation in the educational program;
(C) any open enrollment activity, including the method of outreach; and
(D) any cooperation with, or sponsorship by, a membership organization, including a description of the cooperation or sponsorship and the name of each such organization.
(2) Cost and fees
Information regarding the cost of the educational program and information regarding the distribution of any enrollment fee, including—
(A) the amount paid for, and the percentage of the total educational program cost of, each feature of the educational program, including—
(i) food;
(ii) lodging;
(iii) transportation;
(iv) program staffing;
(v) textbooks, syllabi, or other scholastic educational program materials;
(vi) speaker fees; and
(vii) administrative expenses, including expenses related to—
(I) the preparation of nonscholastic educational program materials;
(II) the provision of financial assistance;
(III) mailing list rental or other recruitment activity; and
(IV) administrative salaries and consulting fees;
(B) the identity of the organization or business providing each of the features described in clauses (i) through (vii) of subparagraph (A); and
(C) the nature of any relationship of any board member, officer, or employee of the educational organization to any organization or business described in subparagraph (B), including the salary or other compensation paid by such organization or business to such board member, officer, or employee.
(b) Nondiscriminatory enrollment and service policy
(1) In general
Each educational organization shall include a verifiable statement in all enrollment or recruitment material that the educational organization does not—
(A) fail or refuse to hire, or discharge, any individual, or otherwise discriminate against any individual with respect to compensation, terms, conditions, or privileges of employment; or
(B) exclude any student from participation in an educational program, discriminate against any student in providing the benefits associated with such program (including any scholarship or financial assistance, and use of any facility), or subject the student to discrimination under such program, on the basis of race, disability, or residence in a low-income area.
(2) Construction
Nothing in this subsection shall be construed to entitle a student to—
(A) participation in an educational program or any benefit associated with such program; or
(B) a waiver of any fee charged for such participation or benefit.
(c) Enforcement
The Secretary shall—
(1)(A) widely disseminate information about the requirements of this section to State and local school officials and parents; and
(B) require educational organizations to submit appropriate information or assurances regarding such organizations' compliance with this section; and
(2) take whatever other steps the Secretary determines are appropriate to enforce this section, including—
(A) promulgating regulations;
(B) establishing a complaint process;
(C) referring complaints to the relevant Federal, State, or local authorities for appropriate action;
(D) alerting educational agencies, schools, and parents to the practices of educational organizations that violate the provisions of this section; and
(E) imposing civil fines (not to exceed $1,000 per violation) on educational organizations that knowingly violate this section.
(d) Definitions
As used in this section:
(1) Disability
The term "disability" has the same meaning given to such term by
(2) Educational organization
(A) Except as provided in subparagraphs (B) and (C), the term "educational organization" means any organization or entity that—
(i) provides an educational program for a fee; and
(ii) recruits students through means such as commercial media, direct mailings, school recruitment programs, school administrators, teachers or staff, or current or former participants in an educational program offered by such organization or entity.
(B) The definition in subparagraph (A) shall not include—
(i) a local educational agency, State educational agency, a State department of education, or an elementary or secondary school (as defined by the terms "elementary school" and "secondary school" in
(ii) an institution of higher education as defined by
(iii) a local organization sponsored by an elementary or secondary school, a recreational organization, an entertainment organization, a local sports activity group, or a social club.
(C) For the purpose of subsection (a) only, such term does not include an organization or entity that provides an educational program if such organization or entity—
(i) recruits, for participation in such program, solely through a local school official; and
(ii) does not offer a local school official, teacher, or other school personnel compensation (other than compensation for actual expenses incurred in performing chaperon activities or for participating in separate, professionally-staffed teacher training and technical assistance seminars and workshops related to such program) or any other benefit for such recruitment.
(3) Educational program
(A) Except as provided in subparagraph (B), the term "educational program" means a special honors program, seminar, citizenship experience, government study program, educational vacation, student exchange program, or other educational experience or honor—
(i) that is generally directed toward minors or secondary school students;
(ii) for which a tuition or enrollment fee is charged;
(iii) that is offered away from a student's regular place of school attendance;
(iv) that includes not less than one supervised night away from home; and
(v) that is intended to enhance a student's regular course of study.
(B) Such term does not include a recreational program,1 or a social or religious activity.
(4) Local school official
The term "local school official" means the highest administrative official serving a school district, or such individual's designee.
(5) Minor
The term "minor" means an individual who has not attained the age of 18 years.
(6) Membership organization
The term "membership organization" includes any organization that maintains a membership list or collects dues or membership fees from its members.
(7) Recreational organization
The term "recreational organization" includes any organization or entity that has as its primary function pleasure, amusement, or sports activities.
(8) Recreational program
The term "recreational program" includes any activity or service that is intended as an entertainment pastime.
(
Editorial Notes
Prior Provisions
A prior section 429 of
Amendments
2015—Subsec. (d)(2)(B)(i).
1998—Subsec. (d)(2)(B)(ii).
Statutory Notes and Related Subsidiaries
Effective Date of 2015 Amendment
Amendment by
Effective Date of 1998 Amendment
Amendment by
1 So in original. The comma probably should not appear.
SUBCHAPTER III—GENERAL REQUIREMENTS AND CONDITIONS CONCERNING OPERATION AND ADMINISTRATION OF EDUCATION PROGRAMS: GENERAL AUTHORITY OF SECRETARY
Editorial Notes
Codification
§1230. Repealed. Pub. L. 103–382, title II, §212(a)(1), Oct. 20, 1994, 108 Stat. 3913
Section,
Part 1—General Authority
§1231. Joint funding of programs
(a) Joint projects; transfers of appropriations; contracts or grants; criteria
(1) The Secretary is authorized to enter into arrangements with other Federal agencies to jointly carry out projects of common interest, to transfer to such agencies funds appropriated under any applicable program, and to receive and use funds from such agencies, for projects of common interest.
(2) Funds transferred or received pursuant to paragraph (1) shall be used only in accordance with the statutes authorizing the appropriation of such funds, and shall be made available by contract or grant only to recipients eligible to receive such funds under such statutes.
(3) If the Secretary enters into an agreement under this subsection for the administration of a project, the agency administering the project shall use such agency's procedures to award contracts or grants and to administer such awards, unless the parties to the agreement specify the use of procedures of another agency that is a party to the agreement.
(4) If the Secretary has entered into an agreement authorized under this subsection and the Secretary and the heads of the other agencies participating in the agreement determine that joint funding is necessary to address a special need consistent with the purposes and authorized activities of each program that provides funding under the joint project, the Secretary and the heads of the other participating agencies may develop a single set of criteria for the jointly funded project and require each applicant for such project to submit a single application for review by the participating agencies.
(b) Joint applications
The Secretary may develop the criteria for, and require the submission of, joint applications under two or more applicable programs under which funds are awarded on a competitive basis, and may jointly review and approve such applications separately from other applications under such programs, when the Secretary determines that such joint awards are necessary to address a special need consistent with the purposes and authorized activities of each such program. Any applicant for such a joint award shall meet the eligibility requirements of each such program.
(c) Limitations on joint funding
The Secretary may not construe the provisions of this section to take precedence over a limitation on joint funding contained in an applicable statute.
(d) Congressional notice
(1) The Secretary shall provide notice to the Committee on Education and Labor of the House of Representatives and to the Committee on Labor and Human Resources of the Senate of each joint funding agreement made with other Federal agencies not later than 60 days after the making of such agreements.
(2) Such notice shall include—
(A) a description of the purpose and objectives of the joint funding arrangement;
(B) the amounts and sources, by program, of the funds dedicated to such arrangement; and
(C) the criteria developed to govern the award of contracts and grants.
(
Editorial Notes
Prior Provisions
A prior section 430 of
Amendments
1994—
1972—Subsec. (c).
Statutory Notes and Related Subsidiaries
Change of Name
Committee on Education and Labor of House of Representatives changed to Committee on Education and the Workforce of House of Representatives by House Resolution No. 5, One Hundred Eighteenth Congress, Jan. 9, 2023.
Committee on Labor and Human Resources of Senate changed to Committee on Health, Education, Labor, and Pensions of Senate by Senate Resolution No. 20, One Hundred Sixth Congress, Jan. 19, 1999.
Effective Date of 1972 Amendment; Inconsistent Provisions Ineffective
§1231a. Collection and dissemination of information
The Secretary shall—
(1) prepare and disseminate to State and local educational agencies and institutions information concerning applicable programs, and cooperate with other Federal officials who administer programs affecting education in disseminating information concerning such programs;
(2) inform the public regarding federally supported education programs; and
(3) collect data and information on applicable programs for the purpose of obtaining objective measurements of the effectiveness of such programs in achieving the intended purposes of such programs.
(
Editorial Notes
Prior Provisions
A prior section 431 of
Another prior section 431 of
Amendments
1994—
1976—Subsec. (b).
1972—Subsec. (a)(4).
Statutory Notes and Related Subsidiaries
Effective Date of 1976 Amendment
Amendment by
Effective Date of 1972 Amendment
Evaluation Practices and Procedures at National, State, and Local Levels for Federally Funded Elementary and Secondary Educational Programs; Report to Congress
§§1231b, 1231b–1. Repealed. Pub. L. 103–382, title II, §212(a)(1), Oct. 20, 1994, 108 Stat. 3913
Section 1231b,
Section 1231b–1,
§1231b–2. Review of applications
(a) Persons aggrieved; final State educational agency actions; hearing; ruling and reasons for ruling; rescission of final actions
In the case of any applicable program under which financial assistance is provided to (or through) a State educational agency to be expended in accordance with a State plan approved by the Secretary, any applicant or recipient aggrieved by the final action of the State educational agency, and alleging a violation of State or Federal law, rules, regulations, or guidelines governing the applicable program, in (1) disapproving or failing to approve its application or program in whole or part, (2) failing to provide funds in amounts in accord with the requirements of laws and regulations, (3) ordering, in accordance with a final State audit resolution determination, the repayment of misspent or misapplied Federal funds, or (4) terminating further assistance for an approved program, may within thirty days request a hearing. Within thirty days after it receives such a request, the State educational agency shall hold a hearing on the record and shall review such final action. No later than ten days after the hearing, the State educational agency shall issue its written ruling, including reasons therefor. If it determines such final action was contrary to Federal or State law, or the rules, regulations, and guidelines governing such applicable program, it shall rescind such final action.
(b) Appeals to Secretary; persons aggrieved; notice; orders prescribing appropriate agency actions; finality of agency fact findings; interim orders pending appeal or review
Any applicant or recipient aggrieved by the failure of a State educational agency to rescind its final action after a review under subsection (a) may appeal such action to the Secretary. An appeal under this subsection may be taken only if notice of such appeal is filed with the Secretary within twenty days after the applicant or recipient has been notified by the State educational agency of the results of its review under subsection (a). If, on such appeal, the Secretary determines the final action of the State educational agency was contrary to Federal law, or the rules, regulations, and guidelines governing the applicable program, he shall issue an order to the State educational agency prescribing appropriate action to be taken by such agency. On such appeal, findings of fact of the State educational agency, if supported by substantial evidence, shall be final. The Secretary may also issue such interim orders to State educational agencies as he may deem necessary and appropriate pending appeal or review.
(c) Records; availability
Each State educational agency shall make available at reasonable times and places to each applicant or recipient under a program to which this section applies all records of such agency pertaining to any review or appeal such applicant or recipient is conducting under this section, including records of other applicants.
(d) Termination of assistance for noncompliance with provisions or orders
If any State educational agency fails or refuses to comply with any provision of this section, or with any order of the Secretary under subsection (b), the Secretary shall forthwith terminate all assistance to the State educational agency under the applicable program affected or issue such other orders as the Secretary may deem appropriate to achieve such compliance.
(
Editorial Notes
Prior Provisions
A prior section 432 of
Another prior section 432 of
Amendments
1994—Subsec. (a).
Subsec. (b).
Subsec. (d).
1978—Subsec. (a).
Statutory Notes and Related Subsidiaries
Effective Date of 1978 Amendment
Amendment by
Effective Date
§1231c. Advice, counsel, and technical assistance
(a) State educational agencies, institutions of higher education
For the purpose of carrying out more effectively Federal education programs, the Secretary is authorized, upon request, to provide advice, counsel, and technical assistance to State educational agencies, institutions of higher education, and, with the approval of the appropriate State educational agency, elementary and secondary schools—
(1) in determining benefits available to them under Federal law;
(2) in preparing applications for, and meeting requirements of, applicable programs;
(3) in order to enhance the quality, increase the depth, or broaden the scope of activities under applicable programs; and
(4) in order to encourage simplification of applications, reports, evaluations, and other administrative procedures.
(b) Cost allocation, collection, etc., by local educational agencies
The Secretary shall permit local educational agencies to use organized and systematic approaches in determining cost allocation, collection, measurement, and reporting under any applicable program, if he determines (1) that the use of such approaches will not in any manner lessen the effectiveness and impact of such program in achieving purposes for which it is intended, (2) that the agency will use such procedures as will insure adequate evaluation of each of the programs involved, and (3) that such approaches are consistent with criteria prescribed by the Comptroller General of the United States for the purposes of audit. For the purpose of this subsection a cost is allocable to a particular cost objective to the extent of relative benefits received by such objective.
(c) Dissemination
In awarding contracts and grants for the development of curricula or instructional materials, the Secretary and the Director of the National Institute of Education shall—
(1) encourage applicants to assure that such curricula or instructional materials will be developed in a manner conducive to dissemination through continuing consultations with publishers, personnel of State and local educational agencies, teachers, administrators, community representatives, and other individuals experienced in such dissemination;
(2) permit applicants to include provision for reasonable consultation fees or planning costs; and
(3) insure that grants to public agencies and nonprofit private organizations and contracts with public agencies and private organizations for publication and dissemination of curricula or instructional materials, or both, are awarded competitively to such agencies and organizations which provide assurances that the curricula and instructional materials will reach the target populations for which they were developed.
(d) Annual report by Secretary
The Secretary's annual report shall contain a statement of the Secretary's activities under this section.
(
Editorial Notes
Prior Provisions
A prior section 433 of
Another prior section 433 of
Amendments
1978—Subsecs. (c), (d).
Statutory Notes and Related Subsidiaries
Effective Date of 1978 Amendment
Amendment by
Transfer of Functions
"Secretary" and "Secretary's", meaning the Secretary of Education, substituted for "Commissioner" and "Commissioner's", respectively, in subsecs. (a) to (d) pursuant to sections 301(a)(1) and 507 of
National Institute of Education
The National Institute of Education consisting of a National Council on Educational Research and a Director of the Institute was established by
§1231c–1. Repealed. Pub. L. 103–382, title II, §212(a)(1), Oct. 20, 1994, 108 Stat. 3913
Section,
§1231d. Parental involvement and dissemination
In the case of any applicable program in which the Secretary determines that parental participation at the State or local level would increase the effectiveness of the program in achieving its purposes, the Secretary shall promulgate regulations with respect to such program setting forth criteria designed to encourage such participation. If the program for which such determination is made provides for payments to local educational agencies, applications for such payments shall—
(1) set forth such policies and procedures as will ensure that programs and projects assisted under the application have been planned and developed, and will be operated, in consultation with, and with the involvement of, parents of the children to be served by such programs and projects;
(2) be submitted with assurance that such parents have had an opportunity to present their views with respect to the application; and
(3) set forth policies and procedures for adequate dissemination of program plans and evaluations to such parents and the public.
(
Editorial Notes
Prior Provisions
A prior section 434 of
Another prior section 434 of
Another prior section 434 of
Amendments
1994—
§1231e. Use of funds withheld
(a) At any time that the Secretary makes an allotment or reallotment to any State under any applicable program, the Secretary shall reduce such allotment or reallotment by such amount as the Secretary determines such allotment or reallotment would have been reduced, had the data on which such allotment or reallotment is based excluded all data relating to local educational agencies of the State that, on the date of the Secretary's action, are ineligible to receive the Federal financial assistance involved because of failure to comply with title VI of the Civil Rights Act of 1964 [
(b) The Secretary may use any funds withheld under subsection (a)—
(1) to increase the allotments or reallotments of local educational agencies within the State that are not described in subsection (a), or the allotments or reallotment of all States, in accordance with the Federal law governing the program; or
(2) for grants to local educational agencies of that State in accordance with section 405 of the Civil Rights Act of 1964 [
(
Editorial Notes
References in Text
The Civil Rights Act of 1964, referred to in subsec. (a), is
The Education Amendments of 1972, referred to in subsec. (a), is
The Age Discrimination Act of 1975, referred to in subsec. (a), is title III of
Prior Provisions
A prior section 435 of
Another prior section 435 of
Another prior section 435 of
Amendments
1994—
§1231f. Repealed. Pub. L. 103–382, title II, §212(a)(1), Oct. 20, 1994, 108 Stat. 3913
Section,
Part 2—Administration: Requirements and Limitations
§1231g. Applications
(a) Submission and amendments of applications
Notwithstanding any other provision of law, unless expressly in limitation of the provisions of this section, the Secretary is authorized to provide for the submission of applications for assistance effective for more than one fiscal year under any applicable program with whatever amendments to such applications being required as the Secretary determines essential.
(b) Uniform dates
The Secretary shall, insofar as is practicable, establish uniform dates during the year for the submission of applications under all applicable programs and for the approval of such applications.
(c) Development of common applications
The Secretary shall, insofar as is practicable, develop and require the use of—
(1) a common application for grants to local educational agencies in applicable programs administered by State educational agencies in which the funds are distributed to such local agencies pursuant to some objective formula, and such application shall be used as the single application for as many of these programs as is practicable;
(2) a common application for grants to local educational agencies in applicable programs administered by State educational agencies in which the funds are distributed to such local agencies on a competitive or discretionary basis, and such application shall be used as the single application for as many of such programs as is practicable; and
(3) a common application for grants to local educational agencies in applicable programs which are directly administered by the Secretary, and such application shall be used as the single application for as many of these programs as is practicable.
(
Editorial Notes
Prior Provisions
A prior section 436 of
Another prior section 436 of
Another prior section 436 of
Amendments
1994—
Subsec. (a).
Statutory Notes and Related Subsidiaries
Effective Date
Section effective Oct. 1, 1978, see section 1530(a) of
§1232. Regulations
(a) "Regulation" defined
For the purpose of this section, the term "regulation" means any generally applicable rule, regulation, guideline, interpretation, or other requirement that—
(1) is prescribed by the Secretary or the Department; and
(2) has legally binding effect in connection with, or affecting, the provision of financial assistance under any applicable program.
(b) Citation of authority
Regulations shall contain, immediately following each substantive provision of such regulations, citations to the particular section or sections of statutory law or other legal authority on which such provision is based.
(c) Uniform application
All regulations shall be uniformly applied and enforced throughout the 50 States.
(d) Application of exemption
The exemption for public property, loans, grants and benefits in
(1) that govern the first grant competition under a new or substantially revised program authority as determined by the Secretary; or
(2) where the Secretary determines that the requirements of this subsection will cause extreme hardship to the intended beneficiaries of the program affected by such regulations.
(e) Schedule for promulgation of final regulations
Not later than 60 days after the date of enactment of any Act, or any portion of any Act, affecting the administration of any applicable program, the Secretary shall submit to the Committee on Education and Labor of the House of Representatives and the Committee on Labor and Human Resources of the Senate a schedule in accordance with which the Secretary plans to promulgate final regulations that the Secretary determines are necessary to implement such Act or portion of such Act. Such schedule shall provide that all such final regulations shall be promulgated within 360 days after the date of enactment of such Act or portion of such Act.
(f) Transmittal of final regulations
Concurrently with the publication of any final regulations, the Secretary shall transmit a copy of such final regulations to the Speaker of the House of Representatives and the President pro tempore of the Senate.
(
Editorial Notes
Prior Provisions
A prior section 437 of
Another prior section 437 of
Another prior section 437 of
Amendments
1994—
1981—Subsec. (d)(1).
1980—Subsec. (d)(1).
1976—Subsec. (a).
Subsec. (b)(1).
Subsec. (b)(2)(A).
Subsec. (c).
Subsec. (d)(1).
Subsec. (d)(2).
Subsec. (e).
Subsec. (g).
1975—Subsec. (d)(1).
Subsec. (d)(2).
1974—Subsec. (b).
Subsecs. (d) to (g).
Statutory Notes and Related Subsidiaries
Change of Name
Committee on Education and Labor of House of Representatives changed to Committee on Education and the Workforce of House of Representatives by House Resolution No. 5, One Hundred Eighteenth Congress, Jan. 9, 2023.
Committee on Labor and Human Resources of Senate changed to Committee on Health, Education, Labor, and Pensions of Senate by Senate Resolution No. 20, One Hundred Sixth Congress, Jan. 19, 1999.
Effective Date of 1981 Amendment
Effective Date of 1980 Amendment
Amendment by
Effective Date of 1976 Amendment
Amendment by
Effective Date of 1975 Amendment
"(a) Notwithstanding any other provision of law, the amendments made by sections 2(a), 2(b), and 2(c) [amending
"(b) The amendments made by sections 2(d), 2(e), 3, 6, and 7 [enacting
"(c) The amendments made by sections 4 and 5(a) [enacting
"(d) The provisions of section 5(b) [amending
Effective Date of 1974 Amendment
Study and Report on Rules and Regulations
§1232–1. Repealed. Pub. L. 98–511, title I, §109(b), Oct. 19, 1984, 98 Stat. 2369
Section,
Statutory Notes and Related Subsidiaries
Effective Date of Repeal
Repeal effective July 1, 1985, see section 711(b) of
§1232a. Prohibition against Federal control of education
No provision of any applicable program shall be construed to authorize any department, agency, officer, or employee of the United States to exercise any direction, supervision, or control over the curriculum, program of instruction, administration, or personnel of any educational institution, school, or school system, or over the selection of library resources, textbooks, or other printed or published instructional materials by any educational institution or school system, or to require the assignment or transportation of students or teachers in order to overcome racial imbalance.
(
Editorial Notes
Prior Provisions
A prior section 438 of
Another prior section 438 of
Amendments
1976—
1972—
Statutory Notes and Related Subsidiaries
Effective Date of 1976 Amendment
Amendment by
Executive Documents
Ex. Ord. No. 13791. Enforcing Statutory Prohibitions on Federal Control of Education
Ex. Ord. No. 13791, Apr. 26, 2017, 82 F.R. 20427, provided:
By the authority vested in me as President by the Constitution and the laws of the United States of America, and in order to restore the proper division of power under the Constitution between the Federal Government and the States and to further the goals of, and to ensure strict compliance with, statutes that prohibit Federal interference with State and local control over education, including section 103 of the Department of Education Organization Act (DEOA) (
(b) The Secretary shall examine whether these regulations and guidance documents comply with Federal laws that prohibit the Department from exercising any direction, supervision, or control over areas subject to State and local control, including:
(i) the curriculum or program of instruction of any elementary and secondary school and school system;
(ii) school administration and personnel; and
(iii) selection and content of library resources, textbooks, and instructional materials.
(c) The Secretary shall, as appropriate and consistent with applicable law, rescind or revise any regulations that are identified pursuant to subsection (b) of this section as inconsistent with statutory prohibitions. The Secretary shall also rescind or revise any guidance documents that are identified pursuant to subsection (b) of this section as inconsistent with statutory prohibitions. The Secretary shall, to the extent consistent with law, publish any proposed regulations and withdraw or modify any guidance documents pursuant to this subsection no later than 300 days after the date of this order.
(i) the authority granted by law to an executive department or agency, or the head thereof; or
(ii) the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals.
(b) This order shall be implemented consistent with applicable law and subject to the availability of appropriations.
(c) This order is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person.
Donald J. Trump.
§1232b. Labor standards
All laborers and mechanics employed by contractors or subcontractors on all construction and minor remodeling projects assisted under any applicable program shall be paid wages at rates not less than those prevailing on similar construction and minor remodeling in the locality as determined by the Secretary of Labor in accordance with
(
Editorial Notes
References in Text
Reorganization Plan Numbered 14 of 1950, referred to in text, is set out in the Appendix to Title 5, Government Organization and Employees.
Codification
"
Prior Provisions
A prior section 439 of
Amendments
1994—
Part 3—Administration of Education Programs and Projects by States and Local Educational Agencies
§1232c. State agency monitoring and enforcement
(a) State plan
In the case of any applicable program in which Federal funds are made available to local agencies in a State through or under the supervision of a State board or agency, the Secretary may require the State to submit a plan for monitoring compliance by local agencies with Federal requirements under such program and for enforcement by the State of such requirements. The Secretary may require such plan to provide—
(1) for periodic visits by State personnel of programs administered by local agencies to determine whether such programs are being conducted in accordance with such requirements;
(2) for periodic audits of expenditures under such programs by auditors of the State or other auditors not under the control, direction, or supervision of the local educational agency; and
(3) that the State investigate and resolve all complaints received by the State, or referred to the State by the Secretary, relating to the administration of such programs.
(b) State enforcement of Federal requirements
In order to enforce the Federal requirements under any applicable program the State may—
(1) withhold approval, in whole or in part, of the application of a local agency for funds under the program until the State is satisfied that such requirements will be met; except that the State shall not finally disapprove such an application unless the State provides the local agency an opportunity for a hearing before an impartial hearing officer and such officer determines that there has been a substantial failure by the local agency to comply with any of such requirements;
(2) suspend payments to any local agency, in whole or in part, under the program if the State has reason to believe that the local agency has failed substantially to comply with any of such requirements, except that (A) the State shall not suspend such payments until fifteen days after the State provides the local agency an opportunity to show cause why such action should not be taken and (B) no such suspension shall continue in effect longer than sixty days unless the State within such period provides the notice for a hearing required under paragraph (3) of this subsection;
(3) withhold payments, in whole or in part, under any such program if the State finds, after reasonable notice and opportunity for a hearing before an impartial hearing officer, that the local agency has failed substantially to comply with any of such requirements.
(c) Withholding of payments
Any withholding of payments under subsection (b)(3) of this subsection 1 shall continue until the State is satisfied that there is no longer a failure to comply substantially with any of such requirements.
(
Editorial Notes
Prior Provisions
A prior section 1232c,
A prior section 440 of
Amendments
1994—
Subsec. (a).
Subsecs. (b), (c).
Statutory Notes and Related Subsidiaries
Effective Date
Applicability of Administrative Procedure to Office of Education or Actions by Commissioner Unaffected by Subsections (b) to (e)
1 So in original. Probably should be "section".
§1232d. Single State application
(a) Submission of general application; approval by State supervisory authority
In the case of any State which applies, contracts, or submits a plan for participation in any applicable program in which Federal funds are made available for assistance to local educational agencies through, or under the supervision of, the State educational agency of that State, such State shall submit (subject to the provisions of part D of title IV of the Elementary and Secondary Education Act of 1965 [
(b) Assurances
An application submitted under subsection (a) shall set forth assurances, satisfactory to the Secretary—
(1) that each program will be administered in accordance with all applicable statutes, regulations, program plans, and applications;
(2) that the control of funds provided under each program and title to property acquired with program funds will be in a public agency, or in a nonprofit private agency, institution, or organization if the statute authorizing the program provides for grants to such entities, and that the public agency or nonprofit private agency, institution, or organization will administer such funds and property;
(3) that the State will adopt and use proper methods of administering each applicable program, including—
(A) monitoring of agencies, institutions, and organizations responsible for carrying out each program, and the enforcement of any obligations imposed on those agencies, institutions, and organizations under law,
(B) providing technical assistance, where necessary, to such agencies, institutions, and organizations,
(C) encouraging the adoption of promising or innovative educational techniques by such agencies, institutions, and organizations,
(D) the dissemination throughout the State of information on program requirements and successful practices, and
(E) the correction of deficiencies in program operations that are identified through monitoring or evaluation;
(4) that the State will evaluate the effectiveness of covered programs in meeting their statutory objectives, at such intervals (not less often than once every three years) and in accordance with such procedures as the Secretary may prescribe by regulation, and that the State will cooperate in carrying out any evaluation of each program conducted by or for the Secretary or other Federal official;
(5) that the State will use fiscal control and fund accounting procedures that will ensure proper disbursement of, and accounting for, Federal funds paid to the State under each program;
(6) that the State will make reports to the Secretary (including reports on the results of evaluations required under paragraph (4)) as may reasonably be necessary to enable the Secretary to perform his duties under each program, and that the State will maintain such records, in accordance with the requirements of
(7) that the State will provide reasonable opportunities for the participation by local agencies, representatives of the class of individuals affected by each program and other interested institutions, organizations, and individuals in the planning for and operation of each program, including the following:
(A) the State will consult with relevant advisory committees, local agencies, interest groups, and experienced professionals in the development of program plans required by statute;
(B) the State will publish each proposed plan, in a manner that will ensure circulation throughout the State, at least sixty days prior to the date on which the plan is submitted to the Secretary or on which the plan becomes effective, whichever occurs earlier, with an opportunity for public comments on such plan to be accepted for at least thirty days;
(C) the State will hold public hearings on the proposed plans if required by the Secretary by regulation; and
(D) the State will provide an opportunity for interested agencies, organizations, and individuals to suggest improvements in the administration of the program and to allege that there has been a failure by any entity to comply with applicable statutes and regulations; and
(8) that none of the funds expended under any applicable program will be used to acquire equipment (including computer software) in any instance in which such acquisition results in a direct financial benefit to any organization representing the interests of the purchasing entity or its employees or any affiliate of such an organization.
(c) Effective term of general application
Each general application submitted under this section shall remain in effect for the duration of any program it covers. The Secretary shall not require the resubmission or amendment of that application unless required by changes in Federal or State law or by other significant changes in the circumstances affecting an assurance in that application.
(
Editorial Notes
References in Text
The Elementary and Secondary Education Act of 1965, referred to in subsec. (a), is
Codification
A prior section 1232d was renumbered by
Prior Provisions
Another prior section 441 of
Amendments
2015—Subsec. (a).
2002—Subsec. (a).
1994—
Subsec. (a).
Subsec. (b)(6).
1988—Subsec. (a).
1984—Subsec. (b)(8).
Statutory Notes and Related Subsidiaries
Effective Date of 2015 Amendment
Amendment by
Effective Date of 2002 Amendment
Effective Date of 1988 Amendment
Amendment by
Effective Date of 1984 Amendment
Amendment by
Effective Date
Section effective with respect to appropriations for fiscal year 1980 and subsequent fiscal years, see section 1261 of
§1232e. Single local educational agency application
(a) General application to State agency or board
Each local educational agency which participates in an applicable program under which Federal funds are made available to such agency through a State agency or board shall submit to such agency or board a general application containing the assurances set forth in subsection (b). That application shall cover the participation by that local educational agency in all such programs.
(b) Assurances
The general application submitted by a local educational agency under subsection (a) shall set forth assurances—
(1) that the local educational agency will administer each program covered by the application in accordance with all applicable statutes, regulations, program plans, and applications;
(2) that the control of funds provided to the local educational agency under each program, and title to property acquired with those funds, will be in a public agency and that a public agency will administer those funds and property;
(3) that the local educational agency will use fiscal control and fund accounting procedures that will ensure proper disbursement of, and accounting for, Federal funds paid to that agency under each program;
(4) that the local educational agency will make reports to the State agency or board and to the Secretary as may reasonably be necessary to enable the State agency or board and the Secretary to perform their duties and that the local educational agency will maintain such records, including the records required under
(5) that the local educational agency will provide reasonable opportunities for the participation by teachers, parents, and other interested agencies, organizations, and individuals in the planning for and operation of each program;
(6) that any application, evaluation, periodic program plan or report relating to each program will be made readily available to parents and other members of the general public;
(7) that in the case of any project involving construction—
(A) the project is not inconsistent with overall State plans for the construction of school facilities, and
(B) in developing plans for construction, due consideration will be given to excellence of architecture and design and to compliance with standards prescribed by the Secretary under
(8) that the local educational agency has adopted effective procedures for acquiring and disseminating to teachers and administrators participating in each program significant information from educational research, demonstrations, and similar projects, and for adopting, where appropriate, promising educational practices developed through such projects; and
(9) that none of the funds expended under any applicable program will be used to acquire equipment (including computer software) in any instance in which such acquisition results in a direct financial benefit to any organization representing the interests of the purchasing entity or its employees or any affiliate of such an organization.
(c) Effective term of general application
A general application submitted under this section shall remain in effect for the duration of the programs it covers. The State agencies or boards administering the programs covered by the application shall not require the submission or amendment of such application unless required by changes in Federal or State law or by other significant change in the circumstances affecting an assurance in such application.
(
Editorial Notes
Prior Provisions
A prior section 1232e,
A prior section 442 of
Amendments
1994—Subsec. (a).
Subsec. (b)(2).
Subsec. (b)(4).
Subsec. (b)(7)(B).
1984—Subsec. (b)(9).
Statutory Notes and Related Subsidiaries
Effective Date of 1984 Amendment
Amendment by
Effective Date
Section effective with respect to appropriations for fiscal year 1980 and subsequent fiscal years, see section 1261 of
Part 4—Records; Privacy; Limitation on Withholding Federal Funds
§1232f. Records
(a) Records kept by recipient; full disclosure; maintenance period
Each recipient of Federal funds under any applicable program through any grant, subgrant, cooperative agreement, loan, or other arrangement shall keep records which fully disclose the amount and disposition by the recipient of those funds, the total cost of the activity for which the funds are used, the share of that cost provided from other sources, and such other records as will facilitate an effective financial or programmatic audit. The recipient shall maintain such records for three years after the completion of the activity for which the funds are used.
(b) Audit examination
The Secretary and the Comptroller General of the United States, or any of their duly authorized representatives, shall have access, for the purpose of audit examination, to any records maintained by a recipient that may be related, or pertinent to, grants, subgrants, cooperative agreements, loans, or other arrangements to which reference is made in subsection (a), or which may relate to the compliance of the recipient with any requirement of an applicable program.
(
Editorial Notes
Prior Provisions
A prior section 443 of
Amendments
1994—Subsec. (a).
Subsec. (b).
Statutory Notes and Related Subsidiaries
Effective Date
Section effective with respect to appropriations for fiscal year 1980 and subsequent fiscal years, see section 1261 of
§1232g. Family educational and privacy rights
(a) Conditions for availability of funds to educational agencies or institutions; inspection and review of education records; specific information to be made available; procedure for access to education records; reasonableness of time for such access; hearings; written explanations by parents; definitions
(1)(A) No funds shall be made available under any applicable program to any educational agency or institution which has a policy of denying, or which effectively prevents, the parents of students who are or have been in attendance at a school of such agency or at such institution, as the case may be, the right to inspect and review the education records of their children. If any material or document in the education record of a student includes information on more than one student, the parents of one of such students shall have the right to inspect and review only such part of such material or document as relates to such student or to be informed of the specific information contained in such part of such material. Each educational agency or institution shall establish appropriate procedures for the granting of a request by parents for access to the education records of their children within a reasonable period of time, but in no case more than forty-five days after the request has been made.
(B) No funds under any applicable program shall be made available to any State educational agency (whether or not that agency is an educational agency or institution under this section) that has a policy of denying, or effectively prevents, the parents of students the right to inspect and review the education records maintained by the State educational agency on their children who are or have been in attendance at any school of an educational agency or institution that is subject to the provisions of this section.
(C) The first sentence of subparagraph (A) shall not operate to make available to students in institutions of postsecondary education the following materials:
(i) financial records of the parents of the student or any information contained therein;
(ii) confidential letters and statements of recommendation, which were placed in the education records prior to January 1, 1975, if such letters or statements are not used for purposes other than those for which they were specifically intended;
(iii) if the student has signed a waiver of the student's right of access under this subsection in accordance with subparagraph (D), confidential recommendations—
(I) respecting admission to any educational agency or institution,
(II) respecting an application for employment, and
(III) respecting the receipt of an honor or honorary recognition.
(D) A student or a person applying for admission may waive his right of access to confidential statements described in clause (iii) of subparagraph (C), except that such waiver shall apply to recommendations only if (i) the student is, upon request, notified of the names of all persons making confidential recommendations and (ii) such recommendations are used solely for the purpose for which they were specifically intended. Such waivers may not be required as a condition for admission to, receipt of financial aid from, or receipt of any other services or benefits from such agency or institution.
(2) No funds shall be made available under any applicable program to any educational agency or institution unless the parents of students who are or have been in attendance at a school of such agency or at such institution are provided an opportunity for a hearing by such agency or institution, in accordance with regulations of the Secretary, to challenge the content of such student's education records, in order to insure that the records are not inaccurate, misleading, or otherwise in violation of the privacy rights of students, and to provide an opportunity for the correction or deletion of any such inaccurate, misleading or otherwise inappropriate data contained therein and to insert into such records a written explanation of the parents respecting the content of such records.
(3) For the purposes of this section the term "educational agency or institution" means any public or private agency or institution which is the recipient of funds under any applicable program.
(4)(A) For the purposes of this section, the term "education records" means, except as may be provided otherwise in subparagraph (B), those records, files, documents, and other materials which—
(i) contain information directly related to a student; and
(ii) are maintained by an educational agency or institution or by a person acting for such agency or institution.
(B) The term "education records" does not include—
(i) records of instructional, supervisory, and administrative personnel and educational personnel ancillary thereto which are in the sole possession of the maker thereof and which are not accessible or revealed to any other person except a substitute;
(ii) records maintained by a law enforcement unit of the educational agency or institution that were created by that law enforcement unit for the purpose of law enforcement;
(iii) in the case of persons who are employed by an educational agency or institution but who are not in attendance at such agency or institution, records made and maintained in the normal course of business which relate exclusively to such person in that person's capacity as an employee and are not available for use for any other purpose; or
(iv) records on a student who is eighteen years of age or older, or is attending an institution of postsecondary education, which are made or maintained by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional acting in his professional or paraprofessional capacity, or assisting in that capacity, and which are made, maintained, or used only in connection with the provision of treatment to the student, and are not available to anyone other than persons providing such treatment, except that such records can be personally reviewed by a physician or other appropriate professional of the student's choice.
(5)(A) For the purposes of this section the term "directory information" relating to a student includes the following: the student's name, address, telephone listing, date and place of birth, major field of study, participation in officially recognized activities and sports, weight and height of members of athletic teams, dates of attendance, degrees and awards received, and the most recent previous educational agency or institution attended by the student.
(B) Any educational agency or institution making public directory information shall give public notice of the categories of information which it has designated as such information with respect to each student attending the institution or agency and shall allow a reasonable period of time after such notice has been given for a parent to inform the institution or agency that any or all of the information designated should not be released without the parent's prior consent.
(6) For the purposes of this section, the term "student" includes any person with respect to whom an educational agency or institution maintains education records or personally identifiable information, but does not include a person who has not been in attendance at such agency or institution.
(b) Release of education records; parental consent requirement; exceptions; compliance with judicial orders and subpoenas; audit and evaluation of federally-supported education programs; recordkeeping
(1) No funds shall be made available under any applicable program to any educational agency or institution which has a policy or practice of permitting the release of education records (or personally identifiable information contained therein other than directory information, as defined in paragraph (5) of subsection (a)) of students without the written consent of their parents to any individual, agency, or organization, other than to the following—
(A) other school officials, including teachers within the educational institution or local educational agency, who have been determined by such agency or institution to have legitimate educational interests, including the educational interests of the child for whom consent would otherwise be required;
(B) officials of other schools or school systems in which the student seeks or intends to enroll, upon condition that the student's parents be notified of the transfer, receive a copy of the record if desired, and have an opportunity for a hearing to challenge the content of the record;
(C)(i) authorized representatives of (I) the Comptroller General of the United States, (II) the Secretary, or (III) State educational authorities, under the conditions set forth in paragraph (3), or (ii) authorized representatives of the Attorney General for law enforcement purposes under the same conditions as apply to the Secretary under paragraph (3);
(D) in connection with a student's application for, or receipt of, financial aid;
(E) State and local officials or authorities to whom such information is specifically allowed to be reported or disclosed pursuant to State statute adopted—
(i) before November 19, 1974, if the allowed reporting or disclosure concerns the juvenile justice system and such system's ability to effectively serve the student whose records are released, or
(ii) after November 19, 1974, if—
(I) the allowed reporting or disclosure concerns the juvenile justice system and such system's ability to effectively serve, prior to adjudication, the student whose records are released; and
(II) the officials and authorities to whom such information is disclosed certify in writing to the educational agency or institution that the information will not be disclosed to any other party except as provided under State law without the prior written consent of the parent of the student.1
(F) organizations conducting studies for, or on behalf of, educational agencies or institutions for the purpose of developing, validating, or administering predictive tests, administering student aid programs, and improving instruction, if such studies are conducted in such a manner as will not permit the personal identification of students and their parents by persons other than representatives of such organizations and such information will be destroyed when no longer needed for the purpose for which it is conducted;
(G) accrediting organizations in order to carry out their accrediting functions;
(H) parents of a dependent student of such parents, as defined in
(I) subject to regulations of the Secretary, in connection with an emergency, appropriate persons if the knowledge of such information is necessary to protect the health or safety of the student or other persons;
(J)(i) the entity or persons designated in a Federal grand jury subpoena, in which case the court shall order, for good cause shown, the educational agency or institution (and any officer, director, employee, agent, or attorney for such agency or institution) on which the subpoena is served, to not disclose to any person the existence or contents of the subpoena or any information furnished to the grand jury in response to the subpoena; and
(ii) the entity or persons designated in any other subpoena issued for a law enforcement purpose, in which case the court or other issuing agency may order, for good cause shown, the educational agency or institution (and any officer, director, employee, agent, or attorney for such agency or institution) on which the subpoena is served, to not disclose to any person the existence or contents of the subpoena or any information furnished in response to the subpoena;
(K) the Secretary of Agriculture, or authorized representative from the Food and Nutrition Service or contractors acting on behalf of the Food and Nutrition Service, for the purposes of conducting program monitoring, evaluations, and performance measurements of State and local educational and other agencies and institutions receiving funding or providing benefits of 1 or more programs authorized under the Richard B. Russell National School Lunch Act (
(i) any data collected under this subparagraph shall be protected in a manner that will not permit the personal identification of students and their parents by other than the authorized representatives of the Secretary; and
(ii) any personally identifiable data shall be destroyed when the data are no longer needed for program monitoring, evaluations, and performance measurements; and
(L) an agency caseworker or other representative of a State or local child welfare agency, or tribal organization (as defined in
Nothing in subparagraph (E) of this paragraph shall prevent a State from further limiting the number or type of State or local officials who will continue to have access thereunder.
(2) No funds shall be made available under any applicable program to any educational agency or institution which has a policy or practice of releasing, or providing access to, any personally identifiable information in education records other than directory information, or as is permitted under paragraph (1) of this subsection, unless—
(A) there is written consent from the student's parents specifying records to be released, the reasons for such release, and to whom, and with a copy of the records to be released to the student's parents and the student if desired by the parents, or
(B) except as provided in paragraph (1)(J), such information is furnished in compliance with judicial order, or pursuant to any lawfully issued subpoena, upon condition that parents and the students are notified of all such orders or subpoenas in advance of the compliance therewith by the educational institution or agency, except when a parent is a party to a court proceeding involving child abuse and neglect (as defined in section 3 of the Child Abuse Prevention and Treatment Act (
(3) Nothing contained in this section shall preclude authorized representatives of (A) the Comptroller General of the United States, (B) the Secretary, or (C) State educational authorities from having access to student or other records which may be necessary in connection with the audit and evaluation of Federally-supported education programs, or in connection with the enforcement of the Federal legal requirements which relate to such programs: Provided, That except when collection of personally identifiable information is specifically authorized by Federal law, any data collected by such officials shall be protected in a manner which will not permit the personal identification of students and their parents by other than those officials, and such personally identifiable data shall be destroyed when no longer needed for such audit, evaluation, and enforcement of Federal legal requirements.
(4)(A) Each educational agency or institution shall maintain a record, kept with the education records of each student, which will indicate all individuals (other than those specified in paragraph (1)(A) of this subsection), agencies, or organizations which have requested or obtained access to a student's education records maintained by such educational agency or institution, and which will indicate specifically the legitimate interest that each such person, agency, or organization has in obtaining this information. Such record of access shall be available only to parents, to the school official and his assistants who are responsible for the custody of such records, and to persons or organizations authorized in, and under the conditions of, clauses (A) and (C) of paragraph (1) as a means of auditing the operation of the system.
(B) With respect to this subsection, personal information shall only be transferred to a third party on the condition that such party will not permit any other party to have access to such information without the written consent of the parents of the student. If a third party outside the educational agency or institution permits access to information in violation of paragraph (2)(A), or fails to destroy information in violation of paragraph (1)(F), the educational agency or institution shall be prohibited from permitting access to information from education records to that third party for a period of not less than five years.
(5) Nothing in this section shall be construed to prohibit State and local educational officials from having access to student or other records which may be necessary in connection with the audit and evaluation of any federally or State supported education program or in connection with the enforcement of the Federal legal requirements which relate to any such program, subject to the conditions specified in the proviso in paragraph (3).
(6)(A) Nothing in this section shall be construed to prohibit an institution of postsecondary education from disclosing, to an alleged victim of any crime of violence (as that term is defined in
(B) Nothing in this section shall be construed to prohibit an institution of postsecondary education from disclosing the final results of any disciplinary proceeding conducted by such institution against a student who is an alleged perpetrator of any crime of violence (as that term is defined in
(C) For the purpose of this paragraph, the final results of any disciplinary proceeding—
(i) shall include only the name of the student, the violation committed, and any sanction imposed by the institution on that student; and
(ii) may include the name of any other student, such as a victim or witness, only with the written consent of that other student.
(7)(A) Nothing in this section may be construed to prohibit an educational institution from disclosing information provided to the institution under section 14071 2 of title 42 concerning registered sex offenders who are required to register under such section.
(B) The Secretary shall take appropriate steps to notify educational institutions that disclosure of information described in subparagraph (A) is permitted.
(c) Surveys or data-gathering activities; regulations
Not later than 240 days after October 20, 1994, the Secretary shall adopt appropriate regulations or procedures, or identify existing regulations or procedures, which protect the rights of privacy of students and their families in connection with any surveys or data-gathering activities conducted, assisted, or authorized by the Secretary or an administrative head of an education agency. Regulations established under this subsection shall include provisions controlling the use, dissemination, and protection of such data. No survey or data-gathering activities shall be conducted by the Secretary, or an administrative head of an education agency under an applicable program, unless such activities are authorized by law.
(d) Students' rather than parents' permission or consent
For the purposes of this section, whenever a student has attained eighteen years of age, or is attending an institution of postsecondary education, the permission or consent required of and the rights accorded to the parents of the student shall thereafter only be required of and accorded to the student.
(e) Informing parents or students of rights under this section
No funds shall be made available under any applicable program to any educational agency or institution unless such agency or institution effectively informs the parents of students, or the students, if they are eighteen years of age or older, or are attending an institution of postsecondary education, of the rights accorded them by this section.
(f) Enforcement; termination of assistance
The Secretary shall take appropriate actions to enforce this section and to deal with violations of this section, in accordance with this chapter, except that action to terminate assistance may be taken only if the Secretary finds there has been a failure to comply with this section, and he has determined that compliance cannot be secured by voluntary means.
(g) Office and review board; creation; functions
The Secretary shall establish or designate an office and review board within the Department for the purpose of investigating, processing, reviewing, and adjudicating violations of this section and complaints which may be filed concerning alleged violations of this section. Except for the conduct of hearings, none of the functions of the Secretary under this section shall be carried out in any of the regional offices of such Department.
(h) Disciplinary records; disclosure
Nothing in this section shall prohibit an educational agency or institution from—
(1) including appropriate information in the education record of any student concerning disciplinary action taken against such student for conduct that posed a significant risk to the safety or well-being of that student, other students, or other members of the school community; or
(2) disclosing such information to teachers and school officials, including teachers and school officials in other schools, who have legitimate educational interests in the behavior of the student.
(i) Drug and alcohol violation disclosures
(1) In general
Nothing in this Act or the Higher Education Act of 1965 [
(A) the student is under the age of 21; and
(B) the institution determines that the student has committed a disciplinary violation with respect to such use or possession.
(2) State law regarding disclosure
Nothing in paragraph (1) shall be construed to supersede any provision of State law that prohibits an institution of higher education from making the disclosure described in subsection (a).
(j) Investigation and prosecution of terrorism
(1) In general
Notwithstanding subsections (a) through (i) or any provision of State law, the Attorney General (or any Federal officer or employee, in a position not lower than an Assistant Attorney General, designated by the Attorney General) may submit a written application to a court of competent jurisdiction for an ex parte order requiring an educational agency or institution to permit the Attorney General (or his designee) to—
(A) collect education records in the possession of the educational agency or institution that are relevant to an authorized investigation or prosecution of an offense listed in
(B) for official purposes related to the investigation or prosecution of an offense described in paragraph (1)(A), retain, disseminate, and use (including as evidence at trial or in other administrative or judicial proceedings) such records, consistent with such guidelines as the Attorney General, after consultation with the Secretary, shall issue to protect confidentiality.
(2) Application and approval
(A)
(B) The court shall issue an order described in paragraph (1) if the court finds that the application for the order includes the certification described in subparagraph (A).
(3) Protection of educational agency or institution
An educational agency or institution that, in good faith, produces education records in accordance with an order issued under this subsection shall not be liable to any person for that production.
(4) Record-keeping
Subsection (b)(4) does not apply to education records subject to a court order under this subsection.
(
Editorial Notes
References in Text
The Richard B. Russell National School Lunch Act, referred to in subsec. (b)(1)(K), is act June 4, 1946, ch. 281,
The Child Nutrition Act of 1966, referred to in subsec. (b)(1)(K), is
Section 3 of the Child Abuse Prevention and Treatment Act, referred to in subsec. (b)(2)(B), is section 3 of
This Act, referred to in subsec. (i)(1), is
The Higher Education Act of 1965, referred to in subsec. (i)(1), is
Prior Provisions
A prior section 444 of
Amendments
2013—Subsec. (b)(1)(L).
Subsec. (b)(2)(B).
2010—Subsec. (b)(1)(K).
2002—Subsec. (a)(1)(B).
Subsec. (b)(1).
Subsec. (b)(1)(J).
Subsec. (b)(7).
2001—Subsec. (j).
2000—Subsec. (b)(7).
1998—Subsec. (b)(1)(C).
Subsec. (b)(6).
Subsec. (i).
1994—Subsec. (a)(1)(B).
Subsec. (a)(1)(C).
Subsec. (a)(1)(D).
Subsec. (a)(2).
Subsec. (a)(4)(B)(ii).
Subsec. (b)(1)(A).
Subsec. (b)(1)(C).
Subsec. (b)(1)(E).
Subsec. (b)(1)(H).
Subsec. (b)(1)(J).
Subsec. (b)(2).
Subsec. (b)(2)(B).
Subsec. (b)(3).
Subsec. (b)(4).
Subsec. (c).
Subsec. (d).
Subsec. (e).
Subsec. (f).
Subsec. (g).
Subsec. (h).
1992—Subsec. (a)(4)(B)(ii).
1990—Subsec. (b)(6).
1979—Subsec. (b)(5).
1974—Subsec. (a)(1).
Subsec. (a)(2).
Subsec. (a)(3) to (6).
Subsec. (b)(1).
Subsec. (b)(2).
Subsec. (b)(3).
Subsec. (b)(4).
Subsec. (e).
Subsec. (g).
Statutory Notes and Related Subsidiaries
Effective Date of 2010 Amendment
Amendment by
Effective Date of 2002 Amendment
Amendment by
Effective Date of 1998 Amendment
Amendment by
Effective Date of 1992 Amendment
Effective Date of 1979 Amendment
Amendment by
Effective Date of 1974 Amendment
Effective Date
1 So in original. The period probably should be a semicolon.
2 See References in Text note below.
§1232h. Protection of pupil rights
(a) Inspection of instructional materials by parents or guardians
All instructional materials, including teacher's manuals, films, tapes, or other supplementary material which will be used in connection with any survey, analysis, or evaluation as part of any applicable program shall be available for inspection by the parents or guardians of the children.
(b) Limits on survey, analysis, or evaluations
No student shall be required, as part of any applicable program, to submit to a survey, analysis, or evaluation that reveals information concerning—
(1) political affiliations or beliefs of the student or the student's parent;
(2) mental or psychological problems of the student or the student's family;
(3) sex behavior or attitudes;
(4) illegal, anti-social, self-incriminating, or demeaning behavior;
(5) critical appraisals of other individuals with whom respondents have close family relationships;
(6) legally recognized privileged or analogous relationships, such as those of lawyers, physicians, and ministers;
(7) religious practices, affiliations, or beliefs of the student or student's parent; or
(8) income (other than that required by law to determine eligibility for participation in a program or for receiving financial assistance under such program),
without the prior consent of the student (if the student is an adult or emancipated minor), or in the case of an unemancipated minor, without the prior written consent of the parent.
(c) Development of local policies concerning student privacy, parental access to information, and administration of certain physical examinations to minors
(1) Development and adoption of local policies
Except as provided in subsections (a) and (b), a local educational agency that receives funds under any applicable program shall develop and adopt policies, in consultation with parents, regarding the following:
(A)(i) The right of a parent of a student to inspect, upon the request of the parent, a survey created by a third party before the survey is administered or distributed by a school to a student; and
(ii) any applicable procedures for granting a request by a parent for reasonable access to such survey within a reasonable period of time after the request is received.
(B) Arrangements to protect student privacy that are provided by the agency in the event of the administration or distribution of a survey to a student containing one or more of the following items (including the right of a parent of a student to inspect, upon the request of the parent, any survey containing one or more of such items):
(i) Political affiliations or beliefs of the student or the student's parent.
(ii) Mental or psychological problems of the student or the student's family.
(iii) Sex behavior or attitudes.
(iv) Illegal, anti-social, self-incriminating, or demeaning behavior.
(v) Critical appraisals of other individuals with whom respondents have close family relationships.
(vi) Legally recognized privileged or analogous relationships, such as those of lawyers, physicians, and ministers.
(vii) Religious practices, affiliations, or beliefs of the student or the student's parent.
(viii) Income (other than that required by law to determine eligibility for participation in a program or for receiving financial assistance under such program).
(C)(i) The right of a parent of a student to inspect, upon the request of the parent, any instructional material used as part of the educational curriculum for the student; and
(ii) any applicable procedures for granting a request by a parent for reasonable access to instructional material within a reasonable period of time after the request is received.
(D) The administration of physical examinations or screenings that the school or agency may administer to a student.
(E) The collection, disclosure, or use of personal information collected from students for the purpose of marketing or for selling that information (or otherwise providing that information to others for that purpose), including arrangements to protect student privacy that are provided by the agency in the event of such collection, disclosure, or use.
(F)(i) The right of a parent of a student to inspect, upon the request of the parent, any instrument used in the collection of personal information under subparagraph (E) before the instrument is administered or distributed to a student; and
(ii) any applicable procedures for granting a request by a parent for reasonable access to such instrument within a reasonable period of time after the request is received.
(2) Parental notification
(A) Notification of policies
The policies developed by a local educational agency under paragraph (1) shall provide for reasonable notice of the adoption or continued use of such policies directly to the parents of students enrolled in schools served by that agency. At a minimum, the agency shall—
(i) provide such notice at least annually, at the beginning of the school year, and within a reasonable period of time after any substantive change in such policies; and
(ii) offer an opportunity for the parent (and for purposes of an activity described in subparagraph (C)(i), in the case of a student of an appropriate age, the student) to opt the student out of participation in an activity described in subparagraph (C).
(B) Notification of specific events
The local educational agency shall directly notify the parent of a student, at least annually at the beginning of the school year, of the specific or approximate dates during the school year when activities described in subparagraph (C) are scheduled, or expected to be scheduled.
(C) Activities requiring notification
The following activities require notification under this paragraph:
(i) Activities involving the collection, disclosure, or use of personal information collected from students for the purpose of marketing or for selling that information (or otherwise providing that information to others for that purpose).
(ii) The administration of any survey containing one or more items described in clauses (i) through (viii) of paragraph (1)(B).
(iii) Any nonemergency, invasive physical examination or screening that is—
(I) required as a condition of attendance;
(II) administered by the school and scheduled by the school in advance; and
(III) not necessary to protect the immediate health and safety of the student, or of other students.
(3) Existing policies
A local educational agency need not develop and adopt new policies if the State educational agency or local educational agency has in place, on January 8, 2002, policies covering the requirements of paragraph (1). The agency shall provide reasonable notice of such existing policies to parents and guardians of students, in accordance with paragraph (2).
(4) Exceptions
(A) Educational products or services
Paragraph (1)(E) does not apply to the collection, disclosure, or use of personal information collected from students for the exclusive purpose of developing, evaluating, or providing educational products or services for, or to, students or educational institutions, such as the following:
(i) College or other postsecondary education recruitment, or military recruitment.
(ii) Book clubs, magazines, and programs providing access to low-cost literary products.
(iii) Curriculum and instructional materials used by elementary schools and secondary schools.
(iv) Tests and assessments used by elementary schools and secondary schools to provide cognitive, evaluative, diagnostic, clinical, aptitude, or achievement information about students (or to generate other statistically useful data for the purpose of securing such tests and assessments) and the subsequent analysis and public release of the aggregate data from such tests and assessments.
(v) The sale by students of products or services to raise funds for school-related or education-related activities.
(vi) Student recognition programs.
(B) State law exception
The provisions of this subsection—
(i) shall not be construed to preempt applicable provisions of State law that require parental notification; and
(ii) do not apply to any physical examination or screening that is permitted or required by an applicable State law, including physical examinations or screenings that are permitted without parental notification.
(5) General provisions
(A) Rules of construction
(i) This section does not supersede
(ii) Paragraph (1)(D) does not apply to a survey administered to a student in accordance with the Individuals with Disabilities Education Act (
(B) Student rights
The rights provided to parents under this section transfer to the student when the student turns 18 years old, or is an emancipated minor (under an applicable State law) at any age.
(C) Information activities
The Secretary shall annually inform each State educational agency and each local educational agency of the educational agency's obligations under this section and
(D) Funding
A State educational agency or local educational agency may use funds provided under part A of title IV of the Elementary and Secondary Education Act of 1965 [
(6) Definitions
As used in this subsection:
(A) Instructional material
The term "instructional material" means instructional content that is provided to a student, regardless of its format, including printed or representational materials, audio-visual materials, and materials in electronic or digital formats (such as materials accessible through the Internet). The term does not include academic tests or academic assessments.
(B) Invasive physical examination
The term "invasive physical examination" means any medical examination that involves the exposure of private body parts, or any act during such examination that includes incision, insertion, or injection into the body, but does not include a hearing, vision, or scoliosis screening.
(C) Local educational agency
The term "local educational agency" means an elementary school, secondary school, school district, or local board of education that is the recipient of funds under an applicable program, but does not include a postsecondary institution.
(D) Parent
The term "parent" includes a legal guardian or other person standing in loco parentis (such as a grandparent or stepparent with whom the child lives, or a person who is legally responsible for the welfare of the child).
(E) Personal information
The term "personal information" means individually identifiable information including—
(i) a student or parent's first and last name;
(ii) a home or other physical address (including street name and the name of the city or town);
(iii) a telephone number; or
(iv) a Social Security identification number.
(F) Student
The term "student" means any elementary school or secondary school student.
(G) Survey
The term "survey" includes an evaluation.
(d) Notice
Educational agencies and institutions shall give parents and students effective notice of their rights under this section.
(e) Enforcement
The Secretary shall take such action as the Secretary determines appropriate to enforce this section, except that action to terminate assistance provided under an applicable program shall be taken only if the Secretary determines that—
(1) there has been a failure to comply with such section; and
(2) compliance with such section cannot be secured by voluntary means.
(f) Office and review board
The Secretary shall establish or designate an office and review board within the Department of Education to investigate, process, review, and adjudicate violations of the rights established under this section.
(
Editorial Notes
References in Text
The Individuals with Disabilities Education Act, referred to in subsec. (c)(5)(A)(ii), is title VI of
The Elementary and Secondary Education Act of 1965, referred to in subsec. (c)(5)(D), is
Prior Provisions
A prior section 445 of
Amendments
2015—Subsec. (c)(5)(D).
2002—Subsec. (b)(1) to (8).
"(1) political affiliations;
"(2) mental and psychological problems potentially embarrassing to the student or his family;
"(3) sex behavior and attitudes;
"(4) illegal, anti-social, self-incriminating and demeaning behavior;
"(5) critical appraisals of other individuals with whom respondents have close family relationships;
"(6) legally recognized privileged or analogous relationships, such as those of lawyers, physicians, and ministers; or
"(7) income (other than that required by law to determine eligibility for participation in a program or for receiving financial assistance under such program),".
Subsec. (c) to (f).
1994—
1978—
Statutory Notes and Related Subsidiaries
Effective Date of 2015 Amendment
Amendment by
Effective Date of 2002 Amendment
Amendment by
Effective Date of 1978 Amendment
Amendment by
Effective Date
§1232i. Limitations on withholding of Federal assistance
(a) Refusal to supply personal data on students or families
Except as provided in
(b) Noncompliance with nondiscrimination provisions of Federal law
The extension of Federal financial assistance to a local educational agency may not be limited, deferred, or terminated by the Secretary on the ground of noncompliance with title VI of the Civil Rights Act of 1964 [
(1) at least 30 days prior written notice of deferral to the agency, setting forth the particular program or programs which the Secretary finds to be operated in noncompliance with a specific provision of Federal law;
(2) the opportunity for a hearing on the record before a duly appointed administrative law judge within a 60-day period (unless such period is extended by mutual consent of the Secretary and such agency) from the commencement of any deferral;
(3) the conclusion of such hearing and the rendering of a decision on the merits by the administrative law judge within a period not to exceed 90 days from the commencement of such hearing, unless the judge finds by a decision that such hearing cannot be concluded or such decision cannot be rendered within such period, in which case such judge may extend such period for not to exceed 60 additional days;
(4) the limitation of any deferral of Federal financial assistance which may be imposed by the Secretary to a period not to exceed 15 days after the rendering of such decision unless there has been an express finding on such record that such agency has failed to comply with any such nondiscrimination provision of Federal law; and
(5) procedures, which shall be established by the Secretary, to ensure the availability of sufficient funds, without regard to any fiscal year limitations, to comply with the decision of such judge.
(c) Failure to comply with imposition of quotas
It shall be unlawful for the Secretary to defer or limit any Federal financial assistance on the basis of any failure to comply with the imposition of quotas (or any other numerical requirements which have the effect of imposing quotas) on the student admission practices of an institution of higher education or community college receiving Federal financial assistance.
(
Editorial Notes
References in Text
The Civil Rights Act of 1964, referred to in subsec. (b), is
Prior Provisions
A prior section 446 of
Amendments
1994—Subsec. (a).
1976—
Statutory Notes and Related Subsidiaries
Effective Date of 1976 Amendment
Amendment by
Effective Date
§1232j. Prohibition on federally sponsored testing
(a) General prohibition
Notwithstanding any other provision of Federal law and except as provided in subsection (b), no funds provided to the Department of Education or to an applicable program, may be used to pilot test, field test, implement, administer or distribute in any way any federally sponsored national test in reading, mathematics, or any other subject that is not specifically and explicitly provided for in authorizing legislation enacted into law.
(b) Exceptions
Subsection (a) shall not apply to the Third International Mathematics and Science Study or other international comparative assessments developed under the authority of
(
Editorial Notes
Prior Provisions
A prior section 447 of
Prior sections 1233 to 1233h comprising a former subchapter IV of this chapter were repealed by
Section 1233,
Section 1233a,
Section 1233b,
Section 1233c,
Section 1233d,
Section 1233e,
Section 1233f,
Section 1233g,
Section 1233h,
Amendments
2002—Subsec. (b).
Statutory Notes and Related Subsidiaries
Effective Date of 2002 Amendment
Amendment by
SUBCHAPTER IV—ENFORCEMENT
Editorial Notes
Codification
Prior Provisions
A prior subchapter IV, consisting of sections 1233 to 1233h, was repealed by
§1234. Office of Administrative Law Judges
(a) Establishment; duties
The Secretary shall establish in the Department of Education an Office of Administrative Law Judges (hereinafter in this subchapter referred to as the "Office") which shall conduct—
(1) recovery of funds hearings pursuant to
(2) withholding hearings pursuant to
(3) cease and desist hearings pursuant to
(4) other proceedings designated by the Secretary.
(b) Appointment
The administrative law judges (hereinafter "judges") of the Office shall be appointed by the Secretary in accordance with
(c) Employment requirements; chief judge
The judges shall be officers or employees of the Department. The judges shall meet the requirements imposed for administrative law judges pursuant to
(d) Assignment of judges
For the purposes of conducting hearings described in subsection (a), the chief judge shall assign a judge to each case or class of cases. A judge shall be disqualified in any case in which the judge has a substantial interest, has been of counsel, is or has been a material witness, or is so related to or connected with any party or the party's attorney as to make it improper for the judge to be assigned to the case.
(e) Review and evidentiary functions
The judge shall review and may require that evidence be taken on the sufficiency of the preliminary departmental determination as set forth in
(f) Conduct of proceedings; costs and fees of parties
(1) The proceedings of the Office shall be conducted according to such rules as the Secretary shall prescribe by regulation in conformance with the rules relating to hearings in title 5, sections 554, 556, and 557.
(2) The provisions of title 5, section 504, relating to costs and fees of parties, shall apply to the proceedings before the Department.
(g) Discovery; scope, time, etc.; issue and enforcement of subpoenas
(1) In order to secure a fair, expeditious, and economical resolution of cases and where the judge determines that the discovered information is likely to elicit relevant information with respect to an issue in the case, is not sought primarily for the purposes of delay or harassment, and would serve the ends of justice, the judge may order a party to—
(A) produce relevant documents;
(B) answer written interrogatories that inquire into relevant matters; and
(C) have depositions taken.
The judge shall set a time limit of 90 days on the discovery period. The judge may extend this period for good cause shown. At the request of any party, the judge may establish a specific schedule for the conduct of discovery.
(2) In order to carry out the provisions of subsections (f)(1) and (g)(1), the judge is authorized to issue subpoenas and apply to the appropriate court of the United States for enforcement of a subpoena. The court may enforce the subpoena as if it pertained to a proceeding before that court.
(h) Mediation of disputes
The Secretary shall establish a process for the voluntary mediation of disputes pending before the Office. The mediator shall be agreed to by all parties involved in mediation and shall be independent of the parties to the dispute. In the mediation of disputes the Secretary shall consider mitigating circumstances and proportion of harm pursuant to
(i) Professional personnel; employment, assignment, or transfer
The Secretary shall employ, assign, or transfer sufficient professional personnel, including judges of the Office, to ensure that all matters brought before the Office may be dealt with in a timely manner.
(
Editorial Notes
References in Text
The Federal Rules of Evidence, referred to in subsec. (h), are set out in the Appendix to Title 28, Judiciary and Judicial Procedure.
Amendments
1988—
Statutory Notes and Related Subsidiaries
Effective Date of 1988 Amendment
"(1) Except as provided in paragraph (2), the amendments made by this section [enacting
"(2) The amendments made by this part [part D (§3501) of title III of
Effective Date
Subchapter effective 120 days after Nov. 1, 1978, see section 1261 of
§1234a. Recovery of funds
(a) Preliminary departmental decision; grounds of determination; notice requirements; prima facie case; amount of funds recoverable
(1) Whenever the Secretary determines that a recipient of a grant or cooperative agreement under an applicable program must return funds because the recipient has made an expenditure of funds that is not allowable under that grant or cooperative agreement, or has otherwise failed to discharge its obligation to account properly for funds under the grant or cooperative agreement, the Secretary shall give the recipient written notice of a preliminary departmental decision and notify the recipient of its right to have that decision reviewed by the Office and of its right to request mediation.
(2) In a preliminary departmental decision, the Secretary shall have the burden of establishing a prima facie case for the recovery of funds, including an analysis reflecting the value of the program services actually obtained in a determination of harm to the Federal interest. The facts to serve as the basis of the preliminary departmental decision may come from an audit report, an investigative report, a monitoring report, or other evidence. The amount of funds to be recovered shall be determined on the basis of
(3) For the purpose of paragraph (2), failure by a recipient to maintain records required by law, or to allow the Secretary access to such records, shall constitute a prima facie case.
(b) Review of preliminary departmental decision; form and contents of application for review; inadequate preliminary decisions; duties of recipient to subrecipients after preliminary decision; burden of proof
(1) A recipient that has received written notice of a preliminary departmental decision and that desires to have such decision reviewed by the Office shall submit to the Office an application for review not later than 60 days after receipt of notice of the preliminary departmental decision. The application shall be in the form and contain the information specified by the Office. As expeditiously as possible, the Office shall return to the Secretary for such action as the Secretary considers appropriate any preliminary departmental decision which the Office determines does not meet the requirements of subsection (a)(2).
(2) In cases where the preliminary departmental decision requests a recovery of funds from a State recipient, that State recipient may not recover funds from an affected local educational agency unless that State recipient has—
(A) transmitted a copy of the preliminary departmental decision to any affected subrecipient within 10 days of the date that the State recipient in a State administered program received such written notice; and
(B) consulted with each affected subrecipient to determine whether the State recipient should submit an application for review under paragraph (1).
(3) In any proceeding before the Office under this section, the burden shall be upon the recipient to demonstrate that it should not be required to return the amount of funds for which recovery is sought in the preliminary departmental decision under subsection (a).
(c) Time for hearing
A hearing shall be set 90 days after receipt of a request for review of a preliminary departmental decision by the Office, except that such 90-day requirement may be waived at the discretion of the judge for good cause.
(d) Review of findings of fact in preliminary decision; conclusiveness; remand; new or modified findings
(1) Upon review of a decision of the Office by the Secretary, the findings of fact by the Office, if supported by substantial evidence, shall be conclusive. However, the Secretary, for good cause shown, may remand the case to the Office to take further evidence, and the Office may thereupon make new or modified findings of fact and may modify its previous action. Such new or modified findings of fact shall likewise be conclusive if supported by substantial evidence.
(2) During the conduct of such review, there shall not be any ex parte contact between the Secretary and individuals representing the Department or the recipient.
(e) Time for filing petition for review of preliminary decision
Parties to the proceeding shall have 30 days to file a petition for review of a decision of the administrative law judges with the Office of the Secretary.
(f) Stay of collection or other adverse action by Secretary against recipient
(1) If a recipient submits a timely application for review of a preliminary departmental decision, the Secretary shall take no collection action until the decision of the Office upholding the preliminary Department decision in whole or in part becomes final agency action under subsection (g).
(2) If a recipient files a timely petition for judicial review under
(3) The filing of an application for review under paragraph (1) or a petition for judicial review under paragraph (2) shall not affect the authority of the Secretary to take any other adverse action under this subchapter against the recipient.
(g) Preliminary decision as final agency action
A decision of the Office regarding the review of a preliminary departmental decision shall become final agency action 60 days after the recipient receives written notice of the decision unless the Secretary either—
(1) modifies or sets aside the decision, in whole or in part, in which case the decision of the Secretary shall become final agency action when the recipient receives written notice of the Secretary's action, or
(2) remands the decision to the Office.
(h) Publication of decisions as final agency actions
The Secretary shall publish decisions that have become final agency action under subsection (g) in the Federal Register or in another appropriate publication within 60 days.
(i) Collection amounts and procedures
The amount of a preliminary departmental decision under subsection (a) for which review has not been requested in accordance with subsection (b), and the amount sustained by a decision of the Office or the Secretary which becomes final agency action under subsection (g), may be collected by the Secretary in accordance with
(j) Compromise of preliminary departmental decisions; preconditions; notice requirements
(1) Notwithstanding any other provision of law, the Secretary may, subject to the notice requirements of paragraph (2), compromise any preliminary departmental decision under this section which does not exceed the amount agreed to be returned by more than $200,000, if the Secretary determines that (A) the collection of any or all or the amount thereof would not be practical or in the public interest, and (B) the practice which resulted in the preliminary departmental decision has been corrected and will not recur.
(2) Not less than 45 days prior to the exercise of the authority to compromise a preliminary departmental decision pursuant to paragraph (1), the Secretary shall publish in the Federal Register a notice of intention to do so. The notice shall provide interested persons an opportunity to comment on any proposed action under this subsection through the submission of written data, views, or arguments.
(k) Limitation period respecting return of funds
No recipient under an applicable program shall be liable to return funds which were expended in a manner not authorized by law more than 5 years before the recipient received written notice of a preliminary departmental decision.
(l) Foregoing of interest during period of administrative review
No interest shall be charged arising from a claim during the administrative review of the preliminary departmental decision.
(
Editorial Notes
Amendments
1994—Subsec. (a)(2).
Subsec. (b)(1).
Subsec. (d).
1988—
Statutory Notes and Related Subsidiaries
Effective Date of 1988 Amendment
Amendment by
§1234b. Measure of recovery
(a) Amount returned proportionate to extent of harm violation caused to an identifiable Federal interest; reduction; determination of identifiable Federal interest
(1) A recipient determined to have made an unallowable expenditure, or to have otherwise failed to discharge its responsibility to account properly for funds, shall be required to return funds in an amount that is proportionate to the extent of the harm its violation caused to an identifiable Federal interest associated with the program under which the recipient received the award. Such amount shall be reduced in whole or in part by an amount that is proportionate to the extent the mitigating circumstances caused the violation.
(2) For the purpose of paragraph (1), an identifiable Federal interest includes, but is not limited to, serving only eligible beneficiaries; providing only authorized services or benefits; complying with expenditure requirements and conditions (such as set-aside, excess cost, maintenance of effort, comparability, supplement-not-supplant, and matching requirements); preserving the integrity of planning, application, recordkeeping, and reporting requirements; and maintaining accountability for the use of funds.
(b) Reduction or waiver of amount based on mitigating circumstances; burden of proof; determination of mitigating circumstances; weight, etc., of written request for guidance
(1) When a State or local educational agency is determined to have made an unallowable expenditure, or to have otherwise failed to discharge its responsibility to account properly for funds, and mitigating circumstances exist, as described in paragraph (2), the judge shall reduce such amount by an amount that is proportionate to the extent the mitigating circumstances caused the violation. Furthermore, the judge is authorized to determine that no recovery is justified when mitigating circumstances warrant. The burden of demonstrating the existence of mitigating circumstances shall be upon the State or local educational agency.
(2) For the purpose of paragraph (1), mitigating circumstances exist only when it would be unjust to compel the recovery of funds because the State or local educational agency—
(A) actually and reasonably relied upon erroneous written guidance provided by the Department;
(B) made an expenditure or engaged in a practice after—
(i) the State or local educational agency submitted to the Secretary, in good faith, a written request for guidance with respect to the expenditure or practice at issue, and
(ii) a Department official did not respond within 90 days of receipt by the Department of such request; or
(C) actually and reasonably relied upon a judicial decree issued to the recipient.
(3) A written request for guidance as described in paragraph (2) sent by certified mail (return receipt requested) shall be conclusive proof of receipt by the Department.
(4) If the Secretary responds to a written request for guidance described in paragraph (2)(B) more than 90 days after its receipt, the State or local educational agency that submitted the request shall comply with the guidance received at the earliest practicable time.
(5) In order to demonstrate the existence of the mitigating circumstances described in paragraph (2)(B), the State or local educational agency shall demonstrate that—
(A) the written request for guidance accurately described the proposed expenditure or practice and included the facts necessary for a determination of its legality; and
(B) the written request for guidance contained a certification by the chief legal officer of the State educational agency that such officer had examined the proposed expenditure or practice and believed the proposed expenditure or practice was permissible under then applicable State and Federal law; and
(C) the State or local educational agency reasonably believed that the proposed expenditure or practice was permissible under then applicable State and Federal law.
(6) The Secretary shall disseminate to State educational agencies responses to written requests for guidance, described in paragraph (5), that reflect significant interpretations of applicable law or policy.
(c) Review of written requests for guidance on periodic basis
The Secretary shall periodically review the written requests for guidance submitted under this section to determine the need for new or supplementary regulatory or other guidance under applicable programs.
(
Editorial Notes
Amendments
1988—
Statutory Notes and Related Subsidiaries
Effective Date of 1988 Amendment
Amendment by
§1234c. Remedies for existing violations
(a) Whenever the Secretary has reason to believe that any recipient of funds under any applicable program is failing to comply substantially with any requirement of law applicable to such funds, the Secretary may—
(1) withhold further payments under that program, as authorized by
(2) issue a complaint to compel compliance through a cease and desist order of the Office, as authorized by
(3) enter into a compliance agreement with a recipient to bring it into compliance, as authorized by
(4) take any other action authorized by law with respect to the recipient.
(b) Any action, or failure to take action, by the Secretary under this section shall not preclude the Secretary from seeking a recovery of funds under
(
Editorial Notes
Amendments
1988—
Statutory Notes and Related Subsidiaries
Effective Date of 1988 Amendment
Amendment by
§1234d. Withholding
(a) Discretionary authority over further payments under applicable program
In accordance with
(b) Notice requirements
Before withholding payments, the Secretary shall notify the recipient, in writing, of—
(1) the intent to withhold payments;
(2) the factual and legal basis for the Secretary's belief that the recipient has failed to comply substantially with a requirement of law; and
(3) an opportunity for a hearing to be held on a date at least 30 days after the notification has been sent to the recipient.
(c) Hearing
The hearing shall be held before the Office and shall be conducted in accordance with the rules prescribed pursuant to subsections (f) and (g) of
(d) Suspension of payments, authorities, etc.
Pending the outcome of any hearing under this section, the Secretary may suspend payments to a recipient, suspend the authority of the recipient to obligate Federal funds, or both, after such recipient has been given reasonable notice and an opportunity to show cause why future payments or authority to obligate Federal funds should not be suspended.
(e) Findings of fact
Upon review of a decision of the Office by the Secretary, the findings of fact by the Office, if supported by substantial evidence, shall be conclusive. However, the Secretary, for good cause shown, may remand the case to the Office to take further evidence, and the Office may thereupon make new or modified findings of fact and may modify its previous action. Such new or modified findings of fact shall likewise be conclusive if supported by substantial evidence.
(f) Final agency action
The decision of the Office in any hearing under this section shall become final agency action 60 days after the recipient receives written notice of the decision unless the Secretary either—
(1) modifies or sets aside the decision, in whole or in part, in which case the decision of the Secretary shall become final agency action when the recipient receives written notice of the Secretary's action; or
(2) remands the decision of the Office.
(
Editorial Notes
Amendments
1988—
Statutory Notes and Related Subsidiaries
Effective Date of 1988 Amendment
Amendment by
§1234e. Cease and desist orders
(a) Issuance and contents of complaint
In accordance with
(1) describes the factual and legal basis for the Secretary's belief that the recipient is failing to comply substantially with a requirement of law; and
(2) contains a notice of a hearing to be held before the Office on a date at least 30 days after the service of the complaint.
(b) Appearance contesting order
The recipient upon which a complaint has been served shall have the right to appear before the Office on the date specified and to show cause why an order should not be entered by the Office requiring the recipient to cease and desist from the violation of law charged in the complaint.
(c) Report; issuance of cease and desist order
The testimony in any hearing held under this section shall be reduced to writing and filed with the Office. If upon that hearing the Office is of the opinion that the recipient is in violation of any requirement of law as charged in the complaint, the Office shall—
(1) make a report in writing stating its findings of fact; and
(2) issue to the recipient an order requiring the recipient to cease and desist from the practice, policy, or procedure which resulted in the violation.
(d) Report and order as final agency action
The report and order of the Office under this section shall become the final agency action when the recipient receives the report and order.
(e) Enforcement of final order
The Secretary may enforce a final order of the Office under this section which becomes final agency action by—
(1) withholding from the recipient any portion of the amount payable to it, including the amount payable for administrative costs, under the applicable program; or
(2) certifying the facts to the Attorney General who shall cause an appropriate proceeding to be brought for the enforcement of the order.
(
Editorial Notes
Amendments
1988—
Statutory Notes and Related Subsidiaries
Effective Date of 1988 Amendment
Amendment by
§1234f. Compliance agreements
(a) Discretionary authority; purposes of agreement
In accordance with
(b) Procedures applicable
(1) Before entering into a compliance agreement with a recipient, the Secretary shall hold a hearing at which the recipient, affected students and parents or their representatives, and other interested parties are invited to participate. The recipient shall have the burden of persuading the Secretary that full compliance with the applicable requirements of law is not feasible until a future date.
(2) If the Secretary determines, on the basis of all the evidence presented, that full compliance is genuinely not feasible until a future date, the Secretary shall make written findings to that effect and shall publish those findings, along with the substance of any compliance agreement, in the Federal Register.
(c) Contents
A compliance agreement under this section shall contain—
(1) an expiration date not later than 3 years from the date of the written findings under subsection (b)(2), by which the recipient shall be in full compliance with the applicable requirements of law, and
(2) those terms and conditions with which the recipient must comply until it is in full compliance.
(d) Failure of recipient to comply with terms and conditions
If a recipient fails to comply with the terms and conditions of a compliance agreement under this section, the Secretary may consider that compliance agreement to be no longer in effect, and the Secretary may take any action authorized by law with respect to the recipient.
(
Statutory Notes and Related Subsidiaries
Effective Date
Section effective 180 days after Apr. 28, 1988, but not applicable to recipients receiving written notice to return funds prior to that date, see section 3501(b) of
§1234g. Judicial review
(a) Recipients entitled to review; stay of action by Secretary
Any recipient of funds under an applicable program that would be adversely affected by a final agency action under
(b) Petition for review; filing of record
A recipient that desires judicial review of an action described in subsection (a) shall, within 60 days of that action, file with the United States Court of Appeals for the circuit in which that recipient is located, a petition for review of such action. A copy of the petition shall be transmitted by the clerk of the court to the Secretary. The Secretary shall file in the court the record of the proceedings on which the action was based, as provided in
(c) Findings of fact
The findings of fact by the Office, if supported by substantial evidence, shall be conclusive; but the court, for good cause shown, may remand the case to the Office to take further evidence, and the Office may make new or modified findings of fact and may modify its previous action, and shall certify to the court the record of the further proceedings. Such new or modified findings of fact shall likewise be conclusive if supported by substantial evidence.
(d) Scope of review; review by Supreme Court
The court shall have jurisdiction to affirm the action of the Office or the Secretary or to set it aside, in whole or in part. The judgment of the court shall be subject to review by the Supreme Court of the United States upon certiorari or certification as provided in
(
Editorial Notes
Amendments
1994—Subsec. (a).
Statutory Notes and Related Subsidiaries
Effective Date
Section effective 180 days after Apr. 28, 1988, but not applicable to recipients receiving written notice to return funds prior to that date, see section 3501(b) of
§1234h. Use of recovered funds
(a) Repayment to recipient; factors considered
Whenever the Secretary recovers funds paid to a recipient under a grant or cooperative agreement made under an applicable program because the recipient made an expenditure of funds that was not allowable, or otherwise failed to discharge its responsibility to account properly for funds, the Secretary may consider those funds to be additional funds available for that program and may arrange to repay to the recipient affected by that action an amount not to exceed 75 percent of the recovered funds if the Secretary determines that—
(1) the practices or procedures of the recipient that resulted in the violation of law have been corrected, and that the recipient is in all other respects in compliance with the requirements of that program, provided that the recipient was notified of any noncompliance with such requirements and given a reasonable period of time to remedy such noncompliance;
(2) the recipient has submitted to the Secretary a plan for the use of those funds pursuant to the requirements of that program and, to the extent possible, for the benefit of the population that was affected by the failure to comply or by the misuse of funds that resulted in the recovery; and
(3) the use of those funds in accordance with that plan would serve to achieve the purposes of the program under which the funds were originally paid.
(b) Terms and conditions of repayment
Any payments by the Secretary under this section shall be subject to such other terms and conditions as the Secretary considers necessary to accomplish the purposes of the affected programs, including—
(1) the submission of periodic reports on the use of funds provided under this section; and
(2) consultation by the recipient with students, parents, or representatives of the population that will benefit from the payments.
(c) Availability of funds
Notwithstanding any other provisions of law, the funds made available under this section shall remain available for expenditure for a period of time deemed reasonable by the Secretary, but in no case to exceed more than three fiscal years following the later of—
(1) the fiscal year in which final agency action under
(2) if such recipient files a petition for judicial review, the fiscal year in which final judicial action under
(d) Publication in Federal Register of notice of intent to enter into repayment arrangement
At least 30 days prior to entering into an arrangement under this section, the Secretary shall publish in the Federal Register a notice of intent to enter into such an arrangement and the terms and conditions under which payments will be made. Interested persons shall have an opportunity for at least 30 days to submit comments to the Secretary regarding the proposed arrangement.
(
Editorial Notes
Amendments
1994—Subsec. (a)(1).
Subsec. (c).
Statutory Notes and Related Subsidiaries
Effective Date
Section effective 180 days after Apr. 28, 1988, but not applicable to recipients receiving written notice to return funds prior to that date, see section 3501(b) of
§1234i. Definitions
For purposes of this subchapter:
(1) The term "recipient" means a recipient of a grant or cooperative agreement under an applicable program.
(2) The term "applicable program" excludes programs authorized by the Higher Education Act of 1965 [
(
Editorial Notes
References in Text
The Higher Education Act of 1965, referred to in par. (2), is
Act of September 30, 1950 (Public Law 874, 81st Congress), referred to in par. (2), is act Sept. 30, 1950, ch. 1124,
Act of September 23, 1950 (Public Law 815, 81st Congress), referred to in par. (2), is act Sept. 23, 1950, ch. 995, as amended generally by act Aug. 12, 1958,
Statutory Notes and Related Subsidiaries
Effective Date
Section effective 180 days after Apr. 28, 1988, but not applicable to recipients receiving written notice to return funds prior to that date, see section 3501(b) of
1 See References in Text note below.
SUBCHAPTER V—READY TO LEARN TELEVISION
Editorial Notes
Codification
This subchapter was classified to part G (§3161 et seq.) of subchapter IV of
Prior Provisions
A prior subchapter V, consisting of sections 1234 to 1234i, was renumbered subchapter IV by
§§1235 to 1235g. Repealed. Pub. L. 107–110, title X, §1011(3), Jan. 8, 2002, 115 Stat. 1986
Section 1235,
Section 1235a,
Section 1235b,
Section 1235c,
Section 1235d,
Section 1235e,
Section 1235f,
Section 1235g,
Statutory Notes and Related Subsidiaries
Effective Date of Repeal
Repeal effective Jan. 8, 2002, except with respect to certain noncompetitive programs and competitive programs, see section 5 of