![](media/image1.wmf){width="1.6965277777777779in"
height="1.4569444444444444in"} **UNITED STATES DEPARTMENT OF EDUCATION**

**OFFICE OF ELEMENTARY AND SECONDARY EDUCATION**

**WASHINGTON, DC 20202-6132**

### 

### ESEA, TITLE I

### PROGRAM GUIDANCE

+-------------------------------------+--------------------------------+
| #                                   | #                              |
|                                     |                                |
| # SUBJECT                           | # TYPE AND N                   |
|                                     | UMBER OF DIRECTIVE OR GUIDANCE |
| Annual Report of Children in        |                                |
| Institutions for Neglected or       | FM/ND-11                       |
| Delinquent Children, Adult          |                                |
| Correctional Institutions, and      |                                |
| Community Day Programs for          |                                |
| Neglected or Delinquent Children    |                                |
| Used to Allocate Title I, Part A    |                                |
| and Part D, Subpart 1 Funds for     |                                |
| School Year 2002-2003               |                                |
+-------------------------------------+--------------------------------+
|                                     | #                              |
|                                     |                                |
|                                     | # DATE SIGNED                  |
|                                     |                                |
|                                     | November 5, 2001               |
+-------------------------------------+--------------------------------+
|                                     | #                              |
|                                     |                                |
|                                     | # ISSUING OFFICE               |
|                                     |                                |
|                                     | CEP                            |
+-------------------------------------+--------------------------------+
| #                                   |                                |
|                                     |                                |
| #                                   |                                |
| REFERENCE: Part A and Part D, Subpa |                                |
| rt 1 of Title I of the Elementary a |                                |
| nd Secondary Education Act of 1965, |                                |
|  as amended, Sections 1124 and 1412 |                                |
+-------------------------------------+--------------------------------+

TO : State Title I Coordinators

PURPOSE: Transmittal of ED Form 4376, Needed to Collect Information for
the Annual Report on Neglected or Delinquent Children

The purpose of the annual report on ED Form 4376 (Attachment 1) is to
provide the U.S. Department of Education (ED) with accurate information
on (1) the location and number of children who live in local
institutions for neglected or delinquent (N or D) children or who are in
local adult correctional facilities; and (2) the number of children
enrolled in a regular program of instruction in eligible State-operated
institutions for N or D children, adult correctional institutions, and
community day programs for N or D children. ED needs this information to
calculate school year (SY) 2002-2003 allocations by local educational
agencies (LEAs) for the Grants to LEAs program authorized by Title I,
Part A of the Elementary and Secondary Education Act (ESEA), to
determine State allocations for the State agency N or D program
authorized by Title I, Part D, Subpart 1 of ESEA, and to determine the
amount States have available for LEAs to operate local programs for
at-risk children authorized by Title I, Part D, Subpart 2 of ESEA.

ED expects to announce final Title I SY 2002-2003 allocations in April
2002. In order to meet this schedule, we must receive accurate data on
the number of children in State and local N or D institutions **by no
later than January 15, 2002**. The attached ED Form 4376 and the
instructions for completing that form are virtually identical to those
used last year.

Attached for your convenience is a State listing of LEAs, along with
Federal district codes, that we will use to determine SY 2002-2003 Title
I, Part A allocations. The LEA listing for your State also shows the
October 2000 caseload counts that you submitted last year. We have
already made this information available to you electronically.

To assist you in completing this annual report, Attachment 2 provides
guidance on how to identify eligible institutions and count children.
This guidance is the same as that provided last year.

The information provided in ED Form 4376 is subject to audit and must be
certified for completeness and accuracy by the appropriate official in
the SEA.

Please submit the completed survey form no later than January 15, 2002
to:

Joseph F. Johnson, Jr., Director

Compensatory Education Programs

U.S. Department of Education

400 Maryland Avenue, SW (FOB 6, Room 3W200)

Washington, DC 20202-6132

Attention: Sandy Brown

You may also submit this survey in an electronic spreadsheet form to our
office at the following E-mail address:

paul.brown@ed.gov

While we encourage you to submit the data as soon as possible, **all
data must be submitted by January 15, 2002** in order to ensure that we
can process these data and announce SY 2002-2003 Title I allocations by
early April. We will only accept downward adjustments after that date.

Any questions regarding the completion of this survey should be referred
to Mr. Sandy Brown at (202) 260-0976 on my staff.

Joseph F. Johnson, Jr.

Director

Compensatory Education Programs

Attachments

Attachment 1 - ED Form 4376

Attachment 2 - Guidance on how to identify eligible institutions and
count children

> Attachment 3 - Optional worksheet used to collect State agency
> enrollment data for the State Agency Neglected or Delinquent program

cc: Chief State School Officers

CEP/9/23/2001/BROWN/260-0984/PDND11

cc:HUNKIN/State/writer

ATTACHMENT 2

**Guidance for Identifying Eligible Institutions and Counting Children**

**Part I - Local Institutions**

1\. Identify eligible institutions. In order to be eligible to be
counted, a child age 5 through 17 must live in a locally operated
facility that meets the definition of an institution for neglected
children, an institution for delinquent children, or an adult
correctional institution as provided in Section 1432(1), (4), or (5) of
the Title I statute. It is not necessary to designate a child as
neglected or delinquent because if he or she is between ages 5 and 17
and is in an institution that meets the definitions, that child would be
eligible to be counted.

2\. Report the October 2001 caseload data for children in eligible
institutions. The State educational agency (SEA) must report only the
number of children who resided in an eligible institution\--and were not
counted in the enrollment data for the State agency N or D
pro-gram\--for at least 30 consecutive days, at least one day of which
was in the month of October.

3\. Submit a separate count of children for each LEA in the following
categories of institutions: (A list of LEAs for your State showing
identification codes is attached.)

-   Local institutions for neglected children (see the definition in
    Section 1432(5) of the Title I statute).

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-   Local institutions for delinquent children (see Section 1432(4)
    definition). In this category also include children in local adult
    correctional institutions (see Section 1432(1) definition).

> Although detailed information for each institution is not required, it
> may be helpful to provide this guidance to the individual
> institutions.
>
> Please note that the category of an institution should not change from
> year to year unless there has been an official change in the purpose
> for which the institution is operated. For example, if an institution
> is operated for the care of neglected children, but the majority of
> the children residing in the institution during October are children
> adjudicated to be delinquent, the institution should still be reported
> as an institution for neglected children until its charter or purpose
> is officially changed to show that it is an institution operated for
> the care of delinquent children. Consistency in reporting from year to
> year is necessary because changing the category of an institution from
> year to year based on the category of the majority of children served
> affects the hold-harmless allocations and eligibility for
> Concentration Grants.

4\. Count only children ages 5 through 17.

5\. Verify the accuracy of the data to be submitted. Compare the October
2001 data to the data that were submitted last year. If there is a large
increase or decrease in a county count, the SEA should identify the
reason. For example, did a new institution begin operation? Did an

> institution close? Do new institutions meet eligibility requirements?
> Were October caseload data reported correctly? Were only children ages
> 5 through 17 reported in the count? While it is not necessary to
> submit documentation to support the accuracy of the data, the SEA
> should be prepared to respond if questions arise when ED verifies the
> counts.

**Part II - State-Operated or Supported Institutions**

1\. Identify eligible institutions or community day programs for N or D
children for which a State agency is responsible for providing free
public education and is actually providing a regular program of
instruction as defined in §200.50(b) of the Title I regulations.
Institutions for neglected children and institutions for delinquent
children are defined in §200.50(b) of the Title I regulations. The
average length of stay in an institution for neglected or delinquent
children must be at least 30 days. Adult correctional institutions are
defined in Section 1432(1) of the Title I statute and community day
programs are defined in Section 1432(3). A child must be in an eligible
institution or community day program in order to be counted.

2\. Submit data on the number of children enrolled in a regular program
of instruction for each eligible institution and community day program
for the date specified by the State agency in accordance with
§200.51(a)(2). To be counted, a child or youth must be enrolled in a
regular program of instruction provided by the State agency for at
least\--

-   20 hours per week if in an institution for N or D children or a
    community day program for N or D children; or

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-   15 hours per week if in an adult correctional institution.

> The SEA must adjust the enrollment data for each institution to
> account for the relative length of a State agency\'s annual
> educational program in such institution in accordance with §200.51(b)
> of the Title I regulations before submitting the data to ED.

3\. Count only children up to age 21 years (through age 20).

4\. Verify the accuracy of the data to be submitted. Compare each State
agency\'s enrollment data to the data that were submitted last year. If
there is a large increase or decrease in a State agency\'s count, the
SEA should identify the reason. For example, did a new institution begin
operation or did an institution close? Were the enrollment data reported
correctly and were data reported only for children and youth? Were the
enrollment data adjusted correctly? While it is not necessary to submit
documentation to support the accuracy of the data, the SEA should be
prepared to respond if questions arise when ED verifies the counts.

To assist you in collecting the data needed to complete Part II, we have
attached a worksheet (with instructions) that could be used to gather
the enrollment data from State-operated programs for N or D children,
community day programs, or adult correctional institutions within your
State (Attachment 3). States are **not required** to use this optional
worksheet or submit it to ED.

**SAMPLE WORKSHEET INSTRUCTIONS**

**[PART I - INSTITUTION AND STATE AGENCY]{.underline}**

Enter the names of the institution and State agency. A separate form
must be completed for each institution.

**[PART II - BASIS FOR ELIGIBILITY]{.underline}**

Respond "yes" or "no" to each of the three questions. If the answer is
no to any one of these questions, the institution or community day
program does not qualify.

-   In question 1 a "**regular program of instruction**" means an
    education program (not beyond grade 12) in an institution or a
    community day program for neglected or delinquent children that
    consists of classroom instruction in basic school subjects such as
    reading, mathematics, and vocationally oriented subjects, and that
    is supported by non-Federal funds. Neither the manufacture of goods
    within the institution nor activities related to institutional
    maintenance are considered classroom instruction.

-   In question 2 a "**State agency**" means an agency of State
    government responsible for providing free public education for
    children in institutions for neglected or delinquent children,
    community day programs for neglected or delinquent children, and
    adult correctional institutions.

-   In question 3 an "**average length of stay**" is calculated by
    determining the length of time each child entering the institution
    stays and dividing that number by the total number of children
    passing through that institution during a given year. The average
    length of stay for all children in the institution must equal at
    least 30 days. An individual child in an institution, however, would
    not necessarily have to stay for 30 days.

**[PART III - TYPE OF INSTITUTION AND ENROLLMENT]{.underline}**

[Category]{.underline}

Check the category that fits the definition of the institution. Do not
report institutions that do not meet any of the four definitions.

[Enrollment]{.underline}

For the category of institution checked, furnish the number of children
under 21, through age 20, enrolled in a State-funded regular program of
instruction on a date in calendar year 2001 specified by the State
agency. The date specified by the State agency must be consistent for
all institutions or community day programs operated by the Sate agency,
and the date must represent a school day within calendar year 2001.

In order to be counted as enrolled, a child must be enrolled in a
State-funded regular program of instruction for at least:

-   20 hours per week if in an institution for neglected or delinquent
    children or a community day program for neglected or delinquent
    children; or

-   15 hours per week if in an adult correctional institution.

**[PART IV - ADJUSTED ENROLLMENT TO REFLECT THE RELATIVE LENGTH OF THE
STATE AGENCY'S ANNUAL PROGRAM]{.underline}**

Multiply the enrollment determined in Part III by the number of days in
the year that the educational program operates. Divide that number by
180 to determine the adjusted enrollment.

**[PART V - CERTIFICATION]{.underline}**

The appropriate institution and State agency official should sign
certifying that the information provided meets the requirements of Title
I, Part D, Subpart 1, and is complete and accurate. (Note, because these
data will generate Federal funds, they are subject to audit and must be
supportable from documented records.)

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