Compliance Agreement, 4642-4665 [E9-1537]
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Federal Register / Vol. 74, No. 15 / Monday, January 26, 2009 / Notices
DEPARTMENT OF EDUCATION
Compliance Agreement
Department of Education.
Notice of written findings and
compliance agreement with the
Nebraska Department of Education.
AGENCY:
ACTION:
SUMMARY: This notice is being published
in the Federal Register consistent with
section 457(b)(2) of the General
Education Provisions Act (GEPA).
Section 457 of GEPA authorizes the U.S.
Department of Education (the
Department) to enter into a compliance
agreement with a recipient that is failing
to comply substantially with Federal
program requirements. In order to enter
into a compliance agreement, the
Department must determine, in written
findings, that the recipient cannot
comply with the applicable program
requirements until a future date.
On October 8, 2008, the Department
entered into a compliance agreement
with the Nebraska Department of
Education (NDE). Section 457(b)(2) of
GEPA requires the Department to
publish written findings leading to a
compliance agreement, with a copy of
the compliance agreement, in the
Federal Register.
FOR FURTHER INFORMATION CONTACT:
Collette Roney, U.S. Department of
Education, Office of Elementary and
Secondary Education, 400 Maryland
Avenue, SW., room 3W210,
Washington, DC 20202–6132.
Telephone: (202) 401–5245.
If you use a telecommunications
device for the deaf (TDD), you may call
the Federal Relay Service (FRS) at 1–
800–877–8339.
Individuals with disabilities may
obtain this document in an accessible
format (e.g., Braille, large print,
audiotape, or computer diskette) on
request to the contact person listed
under FOR FURTHER INFORMATION
CONTACT.
SUPPLEMENTARY INFORMATION:
Title I of the Elementary and
Secondary Education Act of 1965 (Title
I), as amended by the No Child Left
Behind Act of 2001, requires each State
receiving Title I funds to satisfy certain
requirements.
Under Title I, each State is required
to adopt academic content and student
academic achievement standards in at
least mathematics, reading or language
arts, and science. These standards must
include the same knowledge and levels
of achievement expected of all public
school students in the State. Content
standards must specify what all
students are expected to know and be
able to do; contain coherent and
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rigorous content; and encourage the
teaching of advanced skills.
Achievement standards must be aligned
with the State’s academic content
standards and must describe at least
three levels of proficiency to determine
how well students in each grade are
mastering the content standards. A State
must provide descriptions of the
competencies associated with each
student’s academic achievement level
and must determine the assessment
scores (‘‘cut scores’’) that differentiate
among the achievement levels.
Title I also requires each State to
implement a student assessment system
to evaluate whether students are
mastering the subject material reflected
in the State’s academic content
standards. By the 2005–2006 school
year, States were required to administer
mathematics and reading or language
arts assessments yearly during grades 3–
8 and once during grades 10–12.
Further, beginning with the 2007–2008
school year, each State was required to
administer a science assessment in at
least one grade in each of the following
grade spans: 3–5, 6–9, and 10–12.
In addition to a general assessment,
Title I requires States to develop and
administer at least one alternate
assessment for students with disabilities
who cannot participate in the general
assessment, with or without
accommodations. An alternate
assessment may be based on grade-level
academic achievement standards,
alternate academic achievement
standards, or modified academic
achievement standards. Like the general
assessment, any alternate assessment
must satisfy the requirements for high
technical quality, including validity,
reliability, accessibility, objectivity, and
consistency with nationally recognized
professional and technical standards.
Prior to the 2008–2009 school year,
Nebraska employed a system of local
assessments. Under this system, each
local educational agency (LEA) in the
State developed and administered its
own standards and assessment system.
In August 2007, NDE submitted
evidence of its standards and
assessment system to the Department.
The Assistant Secretary for Elementary
and Secondary Education (Assistant
Secretary) submitted that evidence to a
panel of experts for peer review.
Following that review, the Assistant
Secretary concluded that NDE’s
standards and assessment system did
not meet a number of the Title I
requirements. Subsequently, the
Nebraska legislature passed Legislative
Bill (LB) 1157, which requires the State
to implement a statewide standards and
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assessment system in place of the
former system of local assessments.
Section 454 of GEPA, 20 U.S.C. 1234c,
sets out the remedies available to the
Department when it determines that a
recipient ‘‘is failing to comply
substantially with any requirement of
law’’ applicable to Federal program
funds the Department administers.
Specifically, the Department is
authorized to—
(1) Withhold funds;
(2) Compel compliance through a
cease and desist order;
(3) Enter into a compliance agreement
with the recipient; or
(4) Take any other action authorized
by law.
20 U.S.C. 1234c(a).
In a letter dated October 11, 2007, to
Douglas Christenson, Nebraska’s thenCommissioner of Education, the
Assistant Secretary notified NDE that, in
order to remain eligible to receive Title
I funds, it would have to enter into a
compliance agreement with the
Department. The purpose of a
compliance agreement is ‘‘to bring the
recipient into full compliance with the
applicable requirements of law as soon
as feasible and not to excuse or remedy
past violations of such requirements.’’
20 U.S.C. 1234f(a). In order to enter into
a compliance agreement with a
recipient, the Department must
determine, in written findings, that the
recipient cannot comply until a future
date with the applicable program
requirements.
In accordance with the requirements
of section 457(b) of GEPA, 20 U.S.C
1234f(b), on July 10, 2008, Department
officials conducted a public hearing in
Nebraska to assess whether a
compliance agreement with NDE might
be appropriate. Robert Evnen of
Nebraska’s State Board of Education
testified at this hearing. The Department
considered the testimony provided at
the July 2008 public hearing and all
other relevant information and materials
and concluded that NDE would not be
able to correct its non-compliance with
Title I standards and assessment
requirements immediately, particularly
in light of LB 1157, Nebraska’s recently
passed State law, which requires the
State to implement a statewide
standards and assessment system in
place of the former system of local
assessments.
On December 19, 2008, the Assistant
Secretary issued written findings,
holding that compliance by NDE with
the Title I standards and assessment
requirements is genuinely not feasible
until a future date. Under Title I, NDE
was required to implement its final
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assessment system no later than the
2005–2006 school year. The evidence
that NDE submitted in August 2007
indicated that, well after the statutory
deadline had passed, its locally
developed standards and assessment
system still did not fully meet Title I
requirements. In addition, due to the
enormity and complexity of the work
needed to bring NDE’s standards and
assessment system into full compliance,
NDE cannot immediately comply with
all of the Title I requirements.
The Assistant Secretary also
determined that a compliance
agreement represents a viable means of
bringing about compliance because of
the steps NDE had already taken to
comply and the plan it had developed
for further action. The compliance
agreement sets out the action plan that
NDE must implement to come into
compliance with Title I requirements.
This plan, coupled with specific
reporting requirements, will allow the
Assistant Secretary to monitor closely
NDE’s progress in meeting the terms of
the compliance agreement.
Nebraska’s Deputy Commissioner of
Education, Marge Harouff, signed the
compliance agreement on October 2,
2008, and the Assistant Secretary signed
the compliance agreement on October 8,
2008.
As required by section 457(b)(2) of
GEPA, 20 U.S.C. 1234f(b)(2), the text of
the Assistant Secretary’s written
findings is set forth as Appendix A and
the compliance agreement is set forth as
Appendix B of this notice.
Electronic Access to This Document
You may view this document, as well
as all other Department of Education
documents published in the Federal
Register, in text or Adobe Portable
Document Format (PDF) on the Internet
at the following site: https://www.ed.gov/
news/fedregister.
To use PDF, you must have the Adobe
Acrobat Reader, which is available free
at this site. If you have questions about
using PDF, call the U.S. Government
Printing Office (GPO), toll free, at 1–
888–293–6498; or in the Washington,
DC area at (202) 512–1530.
Note: The official version of this document
is the document published in the Federal
Register. Free Internet access to the official
edition of the Federal Register and the Code
of Federal Regulations is available on GPO
Access at: https://www.gpoaccess.gov/nara/
index.html.
(Authority: 20 U.S.C. 1234c, 1234f)
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Dated: January 16, 2009.
Kerri L. Briggs,
Assistant Secretary for Elementary and
Secondary Education.
Appendix A
Written Findings of the Assistant Secretary
for Elementary and Secondary Education
Regarding the Compliance Agreement
Between the U.S. Department of Education
and the Nebraska Department of Education
I. Introduction
The Assistant Secretary for Elementary and
Secondary Education (Assistant Secretary) of
the U.S. Department of Education
(Department) has determined, pursuant to 20
U.S.C. 1234c and 1234f, that the Nebraska
Department of Education (NDE) has failed to
comply substantially with certain
requirements of Title I, Part A of the
Elementary and Secondary Education Act of
1965 (Title I), as amended by the No Child
Left Behind Act of 2001, 20 U.S.C. 6301 et
seq., and that it is genuinely not feasible for
NDE to achieve full compliance immediately.
Specifically, the Assistant Secretary has
determined that NDE did not meet, within
the statutory timeframe, a number of the Title
I requirements for Nebraska’s general and
alternate assessments under section
1111(b)(3) of Title I.
For the following reasons, the Assistant
Secretary has concluded that it would be
appropriate to enter into a compliance
agreement with NDE. During the effective
period of the compliance agreement, which
ends October 8, 2011, NDE will be eligible to
receive Title I funds as long as it complies
with the terms and conditions of the
agreement as well as the provisions of Title
I and other applicable Federal statutory and
regulatory requirements.
II. Relevant Statutory and Regulatory
Provisions
A. Title I, Part A of the Elementary and
Secondary Education Act of 1965, as
amended by the No Child Left Behind Act of
2001
Title I provides financial assistance,
through State educational agencies, to local
educational agencies to provide services in
high-poverty schools to students who are
failing or at risk of failing to meet the State’s
student academic achievement standards.
Under Title I, each State, including the
District of Columbia and Puerto Rico, was
required to adopt academic content and
student academic achievement standards in
at least mathematics, reading or language
arts, and science. These standards must
include the same knowledge and levels of
achievement expected of all public school
students in the State. Content standards must
specify what all students are expected to
know and be able to do; contain coherent and
rigorous content; and encourage the teaching
of advanced skills. Academic achievement
standards must be aligned with the State’s
academic content standards and must
describe at least three levels of proficiency to
determine how well students in each grade
are mastering the content standards. A State
must provide descriptions of the
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competencies associated with each student’s
academic achievement level and must
determine the assessment scores (‘‘cut
scores’’) that differentiate among the
achievement levels.
Each State was also required to implement
a student assessment system used to evaluate
whether students are mastering the subject
material reflected in the State’s academic
content standards. By the 2005–2006 school
year, States were required to administer
mathematics and reading or language arts
assessments yearly during grades 3–8 and
once during grades 10–12. Further, beginning
with the 2007–2008 school year, each State
was required to administer a science
assessment in at least one grade in each of
the following grade spans: 3–5, 6–9, and 10–
12. A State’s assessment system must:
• Be the same assessment system used to
measure the achievement of all public school
students in the State;
• Be designed to provide coherent
information about student attainment of State
academic content standards across grades
and subjects;
• Provide for the inclusion of all students
in the grades assessed, including students
with disabilities and limited English
proficient (LEP) students;
• Be aligned with the State’s academic
content and student academic achievement
standards;
• Express student results in terms of the
State’s student academic achievement
standards;
• Be valid, reliable, and of adequate
technical quality for the purposes for which
they are used and be consistent with
nationally recognized professional and
technical standards;
• Involve multiple measures of student
academic achievement, including measures
that assess higher order thinking skills and
understanding of challenging content;
• Objectively measure academic
achievement, knowledge, and skills without
evaluating or assessing personal family
beliefs and attitudes;
• Enable results to be disaggregated by
gender, each major racial and ethnic group,
migrant status, students with disabilities,
English proficiency status, and economically
disadvantaged students;
• Provide individual student reports; and
• Enable itemized score analyses.
20 U.S.C. 6311(b)(3); 34 CFR 200.2
In addition to a general assessment, States
were required to develop and administer at
least one alternate assessment for students
with disabilities who cannot participate in
the general assessment, with or without
accommodations. 34 CFR 200.6(a)(2). An
alternate assessment may be based on gradelevel academic achievement standards,
alternate academic achievement standards, or
modified academic achievement standards.
Like the general assessment, any alternate
assessment must satisfy the requirements for
high technical quality, including validity,
reliability, accessibility, objectivity, and
consistency with nationally recognized
professional and technical standards.
B. The General Education Provisions Act
The General Education Provisions Act
(GEPA) provides a number of options when
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the Assistant Secretary determines a
recipient of Department funds is ‘‘failing to
comply substantially with any requirement of
law applicable to such funds.’’ 20 U.S.C.
1234c. In such a case, the Assistant Secretary
is authorized to:
(1) Withhold funds;
(2) Compel compliance through a cease
and desist order;
(3) Enter into a compliance agreement with
the recipient; or
(4) Take any other action authorized by
law.
20 U.S.C. 1234c(a)
Under section 457 of GEPA, the Assistant
Secretary may enter into a compliance
agreement with a recipient that is failing to
comply substantially with specific program
requirements. 20 U.S.C. 1234f. The purpose
of a compliance agreement is ‘‘to bring the
recipient into full compliance with the
applicable requirements of law as soon as
feasible and not to excuse or remedy past
violations of such requirements.’’ 20 U.S.C.
1234f(a). Before entering into a compliance
agreement with a recipient, the Assistant
Secretary must hold a hearing at which the
recipient, affected students and parents or
their representatives, and other interested
parties are invited to participate. At that
hearing, the recipient has the burden of
persuading the Assistant Secretary that full
compliance with applicable requirements of
law is not feasible until a future date. 20
U.S.C. 1234f(b)(1). If, on the basis of all the
evidence presented, the Assistant Secretary
determines that full compliance is genuinely
not feasible until a future date, the Assistant
Secretary must make written findings to that
effect and must publish those findings,
together with the substance of any
compliance agreement, in the Federal
Register. 20 U.S.C. 1234f(b)(2).
A compliance agreement must contain the
terms and conditions with which the
recipient must comply during the period that
agreement is in effect. 20 U.S.C. 1234f(c)(2).
If the recipient fails to comply with any of
the terms and conditions of the compliance
agreement, the Assistant Secretary may
consider the agreement to be no longer in
effect, and may take any of the compliance
actions set forth above. 20 U.S.C. 1234f(d).
III. Analysis
In deciding whether a compliance
agreement between the Assistant Secretary
and NDE is appropriate, the Assistant
Secretary must determine whether
compliance by NDE with the Title I standards
and assessment requirements is genuinely
not feasible until a future date. 20 U.S.C.
1234f(b)(2).
A. NDE Has Failed To Comply Substantially
With Title I Standards and Assessment
Requirements
Prior to the 2008–2009 school year,
Nebraska employed a system of local
assessments. Under this system, each local
educational agency (LEA) in the state
developed and administered its own
standards and assessment system. In August
2007, NDE submitted evidence of its
standards and assessment system, which the
Assistant Secretary submitted to a panel of
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experts for peer review. Following that
review, the Assistant Secretary concluded
that NDE’s standards and assessment system
did not meet a number of the Title I
requirements for standards and assessments.
In April 2008, the Nebraska legislature
passed Legislative Bill 1157, which requires
the state to implement a statewide standards
and assessment system in place of the former
system of local assessments. In light of this
new state law, the Assistant Secretary has
determined that, to demonstrate that its
statewide standards and assessment system
complies with Title I requirements, NDE
must submit evidence to satisfy each
component of the Department’s December
2007 Standards and Assessment Peer Review
Guidance: Information and Examples for
Meeting Requirements of the No Child Left
Behind Act of 2001 (available at: https://
www.ed.gov/policy/elsec/guid/
saaprguidance.doc). In particular, NDE must
submit evidence pertaining to each of the
following required components of standards
and assessment systems:
1. Academic content standards;
2. Academic achievement standards;
3. Full assessment system;
4. Technical quality;
5. Alignment;
6. Inclusion; and
7. Reporting.
compliance with the applicable
requirements. The action plan also sets out
documentation and reporting requirements
with which NDE must comply. These
provisions will allow the Assistant Secretary
to ascertain promptly whether NDE is
meeting each of its commitments under the
compliance agreement.
B. NDE Cannot Immediately Correct Its
Noncompliance With the Title I Standards
and Assessment Requirements
Under Title I, NDE was required to
implement its final standards and assessment
system no later than the 2005–2006 school
year. 20 U.S.C. 6311(b)(3). The evidence that
NDE submitted in August 2007 indicated
that, well after the statutory deadline had
passed, its standards and assessment system
still did not fully meet Title I requirements.
Moreover, the state law that was passed in
2008 effectively requires Nebraska to begin
anew in developing and implementing a
statewide system of standards and
assessments years after it was required to
have compliant standards and assessments in
place. Due to the enormity and complexity of
the work that is needed to bring NDE’s
standards and assessment system into full
compliance, NDE cannot immediately
comply with all of the Title I requirements.
As a result, the Assistant Secretary finds that
it is genuinely not feasible for NDE to come
into compliance with the applicable
requirements of law until a future date.
Title I of the Elementary and Secondary
Education Act (ESEA) of 1965 (Title I), as
amended by the No Child Left Behind Act
(NCLB) of 2001, requires each State receiving
Title I funds to satisfy certain requirements.
Each State was required to adopt academic
content and achievement standards in at least
mathematics, reading/language arts, and,
beginning in the 2005–2006 school year,
science. These standards must include the
same knowledge and levels of achievement
expected of all public school students in the
State. Content standards must specify what
all students are expected to know and be able
to do; contain coherent and rigorous content;
and encourage the teaching of advanced
skills. Achievement standards must be
aligned with the State’s content standards
and must describe at least three levels of
proficiency to determine how well students
in each grade are mastering the content
standards. A State must provide descriptions
of the competencies associated with each
achievement level and must determine the
assessment scores (‘‘cut scores’’) that
differentiate among the achievement levels.
Each State was also required to implement
a student assessment system used to evaluate
whether students are mastering the subject
material reflected in the State’s academic
standards. By the 2005–2006 school year,
States were required to administer
mathematics and reading/language arts
assessments yearly during grades 3–8 and
once during grades 10–12. Further, beginning
with the 2007–2008 school year, each State
is required to administer a science
assessment in at least one grade in each of
the following grade spans: 3–5, 6–9, and 10–
12. A State’s assessment system must:
• Be the same assessment system used to
measure the achievement of all public school
students in the State;
C. NDE Can Meet the Terms and Conditions
of a Compliance Agreement
At the public hearing, which was held on
July 10, 2008, Robert Evnen of Nebraska’s
State Board of Education testified that it was
not feasible for NDE to come into compliance
with the Title I standards and assessment
requirements until a future date. NDE has
developed a comprehensive action plan,
incorporated into the compliance agreement,
which sets out a very specific schedule that
NDE has agreed to meet for attaining
compliance with the Title I standards and
assessment requirements. As a result, NDE is
committed to meeting a stringent, but
reasonable, schedule for coming into
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IV. Conclusion
For the foregoing reasons, the Assistant
Secretary finds the following: (1) That full
compliance by NDE with the standards and
assessment requirements of Title I is
genuinely not feasible until a future date; and
(2) that NDE can meet the terms and
conditions of the attached compliance
agreement. Therefore, the Assistant Secretary
has determined that it is appropriate to enter
into a compliance agreement with NDE.
Dated: December 19, 2008.
Kerri L. Briggs,
Assistant Secretary for Elementary and
Secondary Education.
Appendix B
Compliance Agreement Under Title I of the
Elementary and Secondary Education Act
Between the United States Department of
Education and the Nebraska Department of
Education
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• Be designed to provide coherent
information about student attainment of State
standards across grades and subjects;
• Provide for the inclusion of all students
in the grades assessed, including students
with disabilities and limited English
proficient (LEP) students;
• Be aligned with the State’s content and
achievement standards;
• Express student results in terms of the
State’s student achievement standards;
• Be valid, reliable, and of adequate
technical quality for the purpose for which
they are used and be consistent with
nationally recognized professional and
technical standards;
• Involve multiple measures of student
academic achievement, including measures
that assess higher order thinking skills and
understanding of challenging content;
• Objectively measure academic
achievement, knowledge, and skills without
evaluating or assessing personal family
beliefs and attitudes;
• Enable results to be disaggregated by
gender, each major racial and ethnic group,
migrant status, English proficiency status,
students with disabilities, and economically
disadvantaged students;
• Provide individual student reports; and
• Enable itemized score analyses.
In addition to a general assessment, States
were required to develop at least one
alternate assessment for students with
disabilities who cannot participate in the
general assessment, with or without
accommodations. An alternate assessment
may be based on grade-level achievement
standards, alternate achievement standards,
or modified achievement standards. Like the
general assessment, any alternate assessment
must satisfy the requirements for high
technical quality, including validity,
reliability, accessibility, objectivity, and
consistency with nationally recognized
professional and technical standards.
The Nebraska Department of Education
(NDE) was unable to timely meet certain of
the requirements for its standards and
assessment system. In order to be eligible to
continue to receive Title I funds while
working to comply with the statutory and
regulatory requirements from this point
forward, Nebraska’s Commissioner of
Education indicated NDE’s interest in
entering into a compliance agreement with
the United States Department of Education
(Department). On July 10, 2008, the
Department conducted a public hearing
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regarding (1) whether NDE’s full compliance
with Title I is not feasible until a future date,
and (2) whether NDE is able to come into
compliance with the Title I standards and
assessment requirements within three years.
Pursuant to this Compliance Agreement
under 20 U.S.C. section 1234f, NDE must be
in full compliance with the statutory and
regulatory requirements, as they may exist
from this point forward, no later than three
years from the date of the Assistant
Secretary’s written findings, a copy of which
is attached to, and incorporated by reference
into, this Agreement. In order to achieve
compliance with the standards and
assessment requirements, NDE must submit
evidence to satisfy each component of the
Department’s December 2007 Standards and
Assessment Peer Review Guidance:
Information and Examples for Meeting
Requirements of the No Child Left Behind
Act of 2001 (available at: https://www.ed.gov/
policy/elsec/guid/saaprguidance.doc). This
includes documentation for each of the seven
elements identified in that non-regulatory
guidance:
1. Academic content standards;
2. Academic achievement standards;
3. Full assessment system;
4. Technical quality;
5. Alignment;
6. Inclusion; and
7. Reporting.
During the duration of this Compliance
Agreement, NDE is eligible to receive Title I,
Part A funds if it complies with the terms
and conditions of this Agreement, and all
other provisions of Title I, Part A and other
applicable Federal statutory and regulatory
requirements that are not specifically
addressed by this Agreement. The attached
action steps are a detailed plan and specific
timeline for how NDE intends to come into
compliance with the Title I standards and
assessment requirements as they currently
exist and how NDE intends to demonstrate
that it has come into compliance with those
requirements. Except as specified herein,
these action steps are incorporated into this
Agreement as though fully restated herein.
All action steps may be amended by joint
agreement of the parties, provided full
compliance is still feasible by the expiration
of the Agreement. Action steps that relate to
NDE’s science assessment that have due
dates beyond the expiration of this
agreement, and only these particular action
steps, are not incorporated herein; failure to
complete these particular action steps prior
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4645
to the expiration of the agreement shall not
be relied upon as a basis for finding that NDE
has failed to comply with the terms of the
compliance agreement.
By agreeing to the action steps that are
incorporated into this Agreement, the
Department expresses no opinion on the legal
sufficiency of the standards and assessment
system that will result from the completion
of those action steps. NDE agrees that the
Department’s approval of its standards and
assessment system will be handled through
the Department’s peer review process and
that NDE’s successful completion of the
action steps incorporated herein does not
bind the Department to approve NDE’s
standards and assessment system.
In addition to all terms and conditions set
forth above, NDE agrees that its continued
eligibility to receive Title I, Part A funds is
predicated upon its compliance with all
statutory and regulatory requirements of that
program that are not specifically addressed
by this Agreement, including any
amendments to the No Child Left Behind Act
of 2001 enacted after the effective date of this
Agreement. This agreement is predicated
upon NDE’s compliance from this point
forward with Federal and State laws as they
now exist or as they may be amended in the
future.
If NDE fails to comply with any of the
terms and conditions of this Agreement,
including the action steps attached hereto
that are incorporated herein as set forth
above, the Department may consider the
Agreement no longer in effect and may take
any action authorized by law, including the
withholding of funds or the issuance of a
cease and desist order. 20 U.S.C. 1234f(d).
It is so agreed.
For the Nebraska Department of Education.
Dated: October 2, 2008.
Marge Harouff,
Deputy Commissioner.
For the United States Department of
Education.
Dated: October 8, 2008.
Kerri L. Briggs,
Assistant Secretary, Office of Elementary and
Secondary Education.
Date this Compliance Agreement becomes
effective: Oct 8, 2008.
Expiration Date of this Agreement: Oct 8,
2011.
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[FR Doc. E9–1537 Filed 1–23–09; 8:45 am]
Agencies
[Federal Register Volume 74, Number 15 (Monday, January 26, 2009)]
[Notices]
[Pages 4642-4665]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-1537]
[[Page 4641]]
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Part VII
Department of Education
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Compliance Agreement; OMB Final Decisions; Notice
Federal Register / Vol. 74 , No. 15 / Monday, January 26, 2009 /
Notices
[[Page 4642]]
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DEPARTMENT OF EDUCATION
Compliance Agreement
AGENCY: Department of Education.
ACTION: Notice of written findings and compliance agreement with the
Nebraska Department of Education.
-----------------------------------------------------------------------
SUMMARY: This notice is being published in the Federal Register
consistent with section 457(b)(2) of the General Education Provisions
Act (GEPA). Section 457 of GEPA authorizes the U.S. Department of
Education (the Department) to enter into a compliance agreement with a
recipient that is failing to comply substantially with Federal program
requirements. In order to enter into a compliance agreement, the
Department must determine, in written findings, that the recipient
cannot comply with the applicable program requirements until a future
date.
On October 8, 2008, the Department entered into a compliance
agreement with the Nebraska Department of Education (NDE). Section
457(b)(2) of GEPA requires the Department to publish written findings
leading to a compliance agreement, with a copy of the compliance
agreement, in the Federal Register.
FOR FURTHER INFORMATION CONTACT: Collette Roney, U.S. Department of
Education, Office of Elementary and Secondary Education, 400 Maryland
Avenue, SW., room 3W210, Washington, DC 20202-6132. Telephone: (202)
401-5245.
If you use a telecommunications device for the deaf (TDD), you may
call the Federal Relay Service (FRS) at 1-800-877-8339.
Individuals with disabilities may obtain this document in an
accessible format (e.g., Braille, large print, audiotape, or computer
diskette) on request to the contact person listed under FOR FURTHER
INFORMATION CONTACT.
SUPPLEMENTARY INFORMATION:
Title I of the Elementary and Secondary Education Act of 1965
(Title I), as amended by the No Child Left Behind Act of 2001, requires
each State receiving Title I funds to satisfy certain requirements.
Under Title I, each State is required to adopt academic content and
student academic achievement standards in at least mathematics, reading
or language arts, and science. These standards must include the same
knowledge and levels of achievement expected of all public school
students in the State. Content standards must specify what all students
are expected to know and be able to do; contain coherent and rigorous
content; and encourage the teaching of advanced skills. Achievement
standards must be aligned with the State's academic content standards
and must describe at least three levels of proficiency to determine how
well students in each grade are mastering the content standards. A
State must provide descriptions of the competencies associated with
each student's academic achievement level and must determine the
assessment scores (``cut scores'') that differentiate among the
achievement levels.
Title I also requires each State to implement a student assessment
system to evaluate whether students are mastering the subject material
reflected in the State's academic content standards. By the 2005-2006
school year, States were required to administer mathematics and reading
or language arts assessments yearly during grades 3-8 and once during
grades 10-12. Further, beginning with the 2007-2008 school year, each
State was required to administer a science assessment in at least one
grade in each of the following grade spans: 3-5, 6-9, and 10-12.
In addition to a general assessment, Title I requires States to
develop and administer at least one alternate assessment for students
with disabilities who cannot participate in the general assessment,
with or without accommodations. An alternate assessment may be based on
grade-level academic achievement standards, alternate academic
achievement standards, or modified academic achievement standards. Like
the general assessment, any alternate assessment must satisfy the
requirements for high technical quality, including validity,
reliability, accessibility, objectivity, and consistency with
nationally recognized professional and technical standards.
Prior to the 2008-2009 school year, Nebraska employed a system of
local assessments. Under this system, each local educational agency
(LEA) in the State developed and administered its own standards and
assessment system. In August 2007, NDE submitted evidence of its
standards and assessment system to the Department. The Assistant
Secretary for Elementary and Secondary Education (Assistant Secretary)
submitted that evidence to a panel of experts for peer review.
Following that review, the Assistant Secretary concluded that NDE's
standards and assessment system did not meet a number of the Title I
requirements. Subsequently, the Nebraska legislature passed Legislative
Bill (LB) 1157, which requires the State to implement a statewide
standards and assessment system in place of the former system of local
assessments.
Section 454 of GEPA, 20 U.S.C. 1234c, sets out the remedies
available to the Department when it determines that a recipient ``is
failing to comply substantially with any requirement of law''
applicable to Federal program funds the Department administers.
Specifically, the Department is authorized to--
(1) Withhold funds;
(2) Compel compliance through a cease and desist order;
(3) Enter into a compliance agreement with the recipient; or
(4) Take any other action authorized by law.
20 U.S.C. 1234c(a).
In a letter dated October 11, 2007, to Douglas Christenson,
Nebraska's then-Commissioner of Education, the Assistant Secretary
notified NDE that, in order to remain eligible to receive Title I
funds, it would have to enter into a compliance agreement with the
Department. The purpose of a compliance agreement is ``to bring the
recipient into full compliance with the applicable requirements of law
as soon as feasible and not to excuse or remedy past violations of such
requirements.'' 20 U.S.C. 1234f(a). In order to enter into a compliance
agreement with a recipient, the Department must determine, in written
findings, that the recipient cannot comply until a future date with the
applicable program requirements.
In accordance with the requirements of section 457(b) of GEPA, 20
U.S.C 1234f(b), on July 10, 2008, Department officials conducted a
public hearing in Nebraska to assess whether a compliance agreement
with NDE might be appropriate. Robert Evnen of Nebraska's State Board
of Education testified at this hearing. The Department considered the
testimony provided at the July 2008 public hearing and all other
relevant information and materials and concluded that NDE would not be
able to correct its non-compliance with Title I standards and
assessment requirements immediately, particularly in light of LB 1157,
Nebraska's recently passed State law, which requires the State to
implement a statewide standards and assessment system in place of the
former system of local assessments.
On December 19, 2008, the Assistant Secretary issued written
findings, holding that compliance by NDE with the Title I standards and
assessment requirements is genuinely not feasible until a future date.
Under Title I, NDE was required to implement its final
[[Page 4643]]
assessment system no later than the 2005-2006 school year. The evidence
that NDE submitted in August 2007 indicated that, well after the
statutory deadline had passed, its locally developed standards and
assessment system still did not fully meet Title I requirements. In
addition, due to the enormity and complexity of the work needed to
bring NDE's standards and assessment system into full compliance, NDE
cannot immediately comply with all of the Title I requirements.
The Assistant Secretary also determined that a compliance agreement
represents a viable means of bringing about compliance because of the
steps NDE had already taken to comply and the plan it had developed for
further action. The compliance agreement sets out the action plan that
NDE must implement to come into compliance with Title I requirements.
This plan, coupled with specific reporting requirements, will allow the
Assistant Secretary to monitor closely NDE's progress in meeting the
terms of the compliance agreement.
Nebraska's Deputy Commissioner of Education, Marge Harouff, signed
the compliance agreement on October 2, 2008, and the Assistant
Secretary signed the compliance agreement on October 8, 2008.
As required by section 457(b)(2) of GEPA, 20 U.S.C. 1234f(b)(2),
the text of the Assistant Secretary's written findings is set forth as
Appendix A and the compliance agreement is set forth as Appendix B of
this notice.
Electronic Access to This Document
You may view this document, as well as all other Department of
Education documents published in the Federal Register, in text or Adobe
Portable Document Format (PDF) on the Internet at the following site:
https://www.ed.gov/news/fedregister.
To use PDF, you must have the Adobe Acrobat Reader, which is
available free at this site. If you have questions about using PDF,
call the U.S. Government Printing Office (GPO), toll free, at 1-888-
293-6498; or in the Washington, DC area at (202) 512-1530.
Note: The official version of this document is the document
published in the Federal Register. Free Internet access to the
official edition of the Federal Register and the Code of Federal
Regulations is available on GPO Access at: https://www.gpoaccess.gov/
nara/.
(Authority: 20 U.S.C. 1234c, 1234f)
Dated: January 16, 2009.
Kerri L. Briggs,
Assistant Secretary for Elementary and Secondary Education.
Appendix A
Written Findings of the Assistant Secretary for Elementary and
Secondary Education Regarding the Compliance Agreement Between the U.S.
Department of Education and the Nebraska Department of Education
I. Introduction
The Assistant Secretary for Elementary and Secondary Education
(Assistant Secretary) of the U.S. Department of Education
(Department) has determined, pursuant to 20 U.S.C. 1234c and 1234f,
that the Nebraska Department of Education (NDE) has failed to comply
substantially with certain requirements of Title I, Part A of the
Elementary and Secondary Education Act of 1965 (Title I), as amended
by the No Child Left Behind Act of 2001, 20 U.S.C. 6301 et seq., and
that it is genuinely not feasible for NDE to achieve full compliance
immediately. Specifically, the Assistant Secretary has determined
that NDE did not meet, within the statutory timeframe, a number of
the Title I requirements for Nebraska's general and alternate
assessments under section 1111(b)(3) of Title I.
For the following reasons, the Assistant Secretary has concluded
that it would be appropriate to enter into a compliance agreement
with NDE. During the effective period of the compliance agreement,
which ends October 8, 2011, NDE will be eligible to receive Title I
funds as long as it complies with the terms and conditions of the
agreement as well as the provisions of Title I and other applicable
Federal statutory and regulatory requirements.
II. Relevant Statutory and Regulatory Provisions
A. Title I, Part A of the Elementary and Secondary Education Act of
1965, as amended by the No Child Left Behind Act of 2001
Title I provides financial assistance, through State educational
agencies, to local educational agencies to provide services in high-
poverty schools to students who are failing or at risk of failing to
meet the State's student academic achievement standards. Under Title
I, each State, including the District of Columbia and Puerto Rico,
was required to adopt academic content and student academic
achievement standards in at least mathematics, reading or language
arts, and science. These standards must include the same knowledge
and levels of achievement expected of all public school students in
the State. Content standards must specify what all students are
expected to know and be able to do; contain coherent and rigorous
content; and encourage the teaching of advanced skills. Academic
achievement standards must be aligned with the State's academic
content standards and must describe at least three levels of
proficiency to determine how well students in each grade are
mastering the content standards. A State must provide descriptions
of the competencies associated with each student's academic
achievement level and must determine the assessment scores (``cut
scores'') that differentiate among the achievement levels.
Each State was also required to implement a student assessment
system used to evaluate whether students are mastering the subject
material reflected in the State's academic content standards. By the
2005-2006 school year, States were required to administer
mathematics and reading or language arts assessments yearly during
grades 3-8 and once during grades 10-12. Further, beginning with the
2007-2008 school year, each State was required to administer a
science assessment in at least one grade in each of the following
grade spans: 3-5, 6-9, and 10-12. A State's assessment system must:
Be the same assessment system used to measure the
achievement of all public school students in the State;
Be designed to provide coherent information about
student attainment of State academic content standards across grades
and subjects;
Provide for the inclusion of all students in the grades
assessed, including students with disabilities and limited English
proficient (LEP) students;
Be aligned with the State's academic content and
student academic achievement standards;
Express student results in terms of the State's student
academic achievement standards;
Be valid, reliable, and of adequate technical quality
for the purposes for which they are used and be consistent with
nationally recognized professional and technical standards;
Involve multiple measures of student academic
achievement, including measures that assess higher order thinking
skills and understanding of challenging content;
Objectively measure academic achievement, knowledge,
and skills without evaluating or assessing personal family beliefs
and attitudes;
Enable results to be disaggregated by gender, each
major racial and ethnic group, migrant status, students with
disabilities, English proficiency status, and economically
disadvantaged students;
Provide individual student reports; and
Enable itemized score analyses.
20 U.S.C. 6311(b)(3); 34 CFR 200.2
In addition to a general assessment, States were required to
develop and administer at least one alternate assessment for
students with disabilities who cannot participate in the general
assessment, with or without accommodations. 34 CFR 200.6(a)(2). An
alternate assessment may be based on grade-level academic
achievement standards, alternate academic achievement standards, or
modified academic achievement standards. Like the general
assessment, any alternate assessment must satisfy the requirements
for high technical quality, including validity, reliability,
accessibility, objectivity, and consistency with nationally
recognized professional and technical standards.
B. The General Education Provisions Act
The General Education Provisions Act (GEPA) provides a number of
options when
[[Page 4644]]
the Assistant Secretary determines a recipient of Department funds
is ``failing to comply substantially with any requirement of law
applicable to such funds.'' 20 U.S.C. 1234c. In such a case, the
Assistant Secretary is authorized to:
(1) Withhold funds;
(2) Compel compliance through a cease and desist order;
(3) Enter into a compliance agreement with the recipient; or
(4) Take any other action authorized by law.
20 U.S.C. 1234c(a)
Under section 457 of GEPA, the Assistant Secretary may enter
into a compliance agreement with a recipient that is failing to
comply substantially with specific program requirements. 20 U.S.C.
1234f. The purpose of a compliance agreement is ``to bring the
recipient into full compliance with the applicable requirements of
law as soon as feasible and not to excuse or remedy past violations
of such requirements.'' 20 U.S.C. 1234f(a). Before entering into a
compliance agreement with a recipient, the Assistant Secretary must
hold a hearing at which the recipient, affected students and parents
or their representatives, and other interested parties are invited
to participate. At that hearing, the recipient has the burden of
persuading the Assistant Secretary that full compliance with
applicable requirements of law is not feasible until a future date.
20 U.S.C. 1234f(b)(1). If, on the basis of all the evidence
presented, the Assistant Secretary determines that full compliance
is genuinely not feasible until a future date, the Assistant
Secretary must make written findings to that effect and must publish
those findings, together with the substance of any compliance
agreement, in the Federal Register. 20 U.S.C. 1234f(b)(2).
A compliance agreement must contain the terms and conditions
with which the recipient must comply during the period that
agreement is in effect. 20 U.S.C. 1234f(c)(2). If the recipient
fails to comply with any of the terms and conditions of the
compliance agreement, the Assistant Secretary may consider the
agreement to be no longer in effect, and may take any of the
compliance actions set forth above. 20 U.S.C. 1234f(d).
III. Analysis
In deciding whether a compliance agreement between the Assistant
Secretary and NDE is appropriate, the Assistant Secretary must
determine whether compliance by NDE with the Title I standards and
assessment requirements is genuinely not feasible until a future
date. 20 U.S.C. 1234f(b)(2).
A. NDE Has Failed To Comply Substantially With Title I Standards
and Assessment Requirements
Prior to the 2008-2009 school year, Nebraska employed a system
of local assessments. Under this system, each local educational
agency (LEA) in the state developed and administered its own
standards and assessment system. In August 2007, NDE submitted
evidence of its standards and assessment system, which the Assistant
Secretary submitted to a panel of experts for peer review. Following
that review, the Assistant Secretary concluded that NDE's standards
and assessment system did not meet a number of the Title I
requirements for standards and assessments.
In April 2008, the Nebraska legislature passed Legislative Bill
1157, which requires the state to implement a statewide standards
and assessment system in place of the former system of local
assessments. In light of this new state law, the Assistant Secretary
has determined that, to demonstrate that its statewide standards and
assessment system complies with Title I requirements, NDE must
submit evidence to satisfy each component of the Department's
December 2007 Standards and Assessment Peer Review Guidance:
Information and Examples for Meeting Requirements of the No Child
Left Behind Act of 2001 (available at: https://www.ed.gov/policy/
elsec/guid/saaprguidance.doc). In particular, NDE must submit
evidence pertaining to each of the following required components of
standards and assessment systems:
1. Academic content standards;
2. Academic achievement standards;
3. Full assessment system;
4. Technical quality;
5. Alignment;
6. Inclusion; and
7. Reporting.
B. NDE Cannot Immediately Correct Its Noncompliance With the Title
I Standards and Assessment Requirements
Under Title I, NDE was required to implement its final standards
and assessment system no later than the 2005-2006 school year. 20
U.S.C. 6311(b)(3). The evidence that NDE submitted in August 2007
indicated that, well after the statutory deadline had passed, its
standards and assessment system still did not fully meet Title I
requirements. Moreover, the state law that was passed in 2008
effectively requires Nebraska to begin anew in developing and
implementing a statewide system of standards and assessments years
after it was required to have compliant standards and assessments in
place. Due to the enormity and complexity of the work that is needed
to bring NDE's standards and assessment system into full compliance,
NDE cannot immediately comply with all of the Title I requirements.
As a result, the Assistant Secretary finds that it is genuinely not
feasible for NDE to come into compliance with the applicable
requirements of law until a future date.
C. NDE Can Meet the Terms and Conditions of a Compliance Agreement
At the public hearing, which was held on July 10, 2008, Robert
Evnen of Nebraska's State Board of Education testified that it was
not feasible for NDE to come into compliance with the Title I
standards and assessment requirements until a future date. NDE has
developed a comprehensive action plan, incorporated into the
compliance agreement, which sets out a very specific schedule that
NDE has agreed to meet for attaining compliance with the Title I
standards and assessment requirements. As a result, NDE is committed
to meeting a stringent, but reasonable, schedule for coming into
compliance with the applicable requirements. The action plan also
sets out documentation and reporting requirements with which NDE
must comply. These provisions will allow the Assistant Secretary to
ascertain promptly whether NDE is meeting each of its commitments
under the compliance agreement.
IV. Conclusion
For the foregoing reasons, the Assistant Secretary finds the
following: (1) That full compliance by NDE with the standards and
assessment requirements of Title I is genuinely not feasible until a
future date; and (2) that NDE can meet the terms and conditions of
the attached compliance agreement. Therefore, the Assistant
Secretary has determined that it is appropriate to enter into a
compliance agreement with NDE.
Dated: December 19, 2008.
Kerri L. Briggs,
Assistant Secretary for Elementary and Secondary Education.
Appendix B
Compliance Agreement Under Title I of the Elementary and Secondary
Education Act Between the United States Department of Education and the
Nebraska Department of Education
Title I of the Elementary and Secondary Education Act (ESEA) of
1965 (Title I), as amended by the No Child Left Behind Act (NCLB) of
2001, requires each State receiving Title I funds to satisfy certain
requirements.
Each State was required to adopt academic content and
achievement standards in at least mathematics, reading/language
arts, and, beginning in the 2005-2006 school year, science. These
standards must include the same knowledge and levels of achievement
expected of all public school students in the State. Content
standards must specify what all students are expected to know and be
able to do; contain coherent and rigorous content; and encourage the
teaching of advanced skills. Achievement standards must be aligned
with the State's content standards and must describe at least three
levels of proficiency to determine how well students in each grade
are mastering the content standards. A State must provide
descriptions of the competencies associated with each achievement
level and must determine the assessment scores (``cut scores'') that
differentiate among the achievement levels.
Each State was also required to implement a student assessment
system used to evaluate whether students are mastering the subject
material reflected in the State's academic standards. By the 2005-
2006 school year, States were required to administer mathematics and
reading/language arts assessments yearly during grades 3-8 and once
during grades 10-12. Further, beginning with the 2007-2008 school
year, each State is required to administer a science assessment in
at least one grade in each of the following grade spans: 3-5, 6-9,
and 10-12. A State's assessment system must:
Be the same assessment system used to measure the
achievement of all public school students in the State;
[[Page 4645]]
Be designed to provide coherent information about
student attainment of State standards across grades and subjects;
Provide for the inclusion of all students in the grades
assessed, including students with disabilities and limited English
proficient (LEP) students;
Be aligned with the State's content and achievement
standards;
Express student results in terms of the State's student
achievement standards;
Be valid, reliable, and of adequate technical quality
for the purpose for which they are used and be consistent with
nationally recognized professional and technical standards;
Involve multiple measures of student academic
achievement, including measures that assess higher order thinking
skills and understanding of challenging content;
Objectively measure academic achievement, knowledge,
and skills without evaluating or assessing personal family beliefs
and attitudes;
Enable results to be disaggregated by gender, each
major racial and ethnic group, migrant status, English proficiency
status, students with disabilities, and economically disadvantaged
students;
Provide individual student reports; and
Enable itemized score analyses.
In addition to a general assessment, States were required to
develop at least one alternate assessment for students with
disabilities who cannot participate in the general assessment, with
or without accommodations. An alternate assessment may be based on
grade-level achievement standards, alternate achievement standards,
or modified achievement standards. Like the general assessment, any
alternate assessment must satisfy the requirements for high
technical quality, including validity, reliability, accessibility,
objectivity, and consistency with nationally recognized professional
and technical standards.
The Nebraska Department of Education (NDE) was unable to timely
meet certain of the requirements for its standards and assessment
system. In order to be eligible to continue to receive Title I funds
while working to comply with the statutory and regulatory
requirements from this point forward, Nebraska's Commissioner of
Education indicated NDE's interest in entering into a compliance
agreement with the United States Department of Education
(Department). On July 10, 2008, the Department conducted a public
hearing regarding (1) whether NDE's full compliance with Title I is
not feasible until a future date, and (2) whether NDE is able to
come into compliance with the Title I standards and assessment
requirements within three years.
Pursuant to this Compliance Agreement under 20 U.S.C. section
1234f, NDE must be in full compliance with the statutory and
regulatory requirements, as they may exist from this point forward,
no later than three years from the date of the Assistant Secretary's
written findings, a copy of which is attached to, and incorporated
by reference into, this Agreement. In order to achieve compliance
with the standards and assessment requirements, NDE must submit
evidence to satisfy each component of the Department's December 2007
Standards and Assessment Peer Review Guidance: Information and
Examples for Meeting Requirements of the No Child Left Behind Act of
2001 (available at: https://www.ed.gov/policy/elsec/guid/
saaprguidance.doc). This includes documentation for each of the
seven elements identified in that non-regulatory guidance:
1. Academic content standards;
2. Academic achievement standards;
3. Full assessment system;
4. Technical quality;
5. Alignment;
6. Inclusion; and
7. Reporting.
During the duration of this Compliance Agreement, NDE is
eligible to receive Title I, Part A funds if it complies with the
terms and conditions of this Agreement, and all other provisions of
Title I, Part A and other applicable Federal statutory and
regulatory requirements that are not specifically addressed by this
Agreement. The attached action steps are a detailed plan and
specific timeline for how NDE intends to come into compliance with
the Title I standards and assessment requirements as they currently
exist and how NDE intends to demonstrate that it has come into
compliance with those requirements. Except as specified herein,
these action steps are incorporated into this Agreement as though
fully restated herein. All action steps may be amended by joint
agreement of the parties, provided full compliance is still feasible
by the expiration of the Agreement. Action steps that relate to
NDE's science assessment that have due dates beyond the expiration
of this agreement, and only these particular action steps, are not
incorporated herein; failure to complete these particular action
steps prior to the expiration of the agreement shall not be relied
upon as a basis for finding that NDE has failed to comply with the
terms of the compliance agreement.
By agreeing to the action steps that are incorporated into this
Agreement, the Department expresses no opinion on the legal
sufficiency of the standards and assessment system that will result
from the completion of those action steps. NDE agrees that the
Department's approval of its standards and assessment system will be
handled through the Department's peer review process and that NDE's
successful completion of the action steps incorporated herein does
not bind the Department to approve NDE's standards and assessment
system.
In addition to all terms and conditions set forth above, NDE
agrees that its continued eligibility to receive Title I, Part A
funds is predicated upon its compliance with all statutory and
regulatory requirements of that program that are not specifically
addressed by this Agreement, including any amendments to the No
Child Left Behind Act of 2001 enacted after the effective date of
this Agreement. This agreement is predicated upon NDE's compliance
from this point forward with Federal and State laws as they now
exist or as they may be amended in the future.
If NDE fails to comply with any of the terms and conditions of
this Agreement, including the action steps attached hereto that are
incorporated herein as set forth above, the Department may consider
the Agreement no longer in effect and may take any action authorized
by law, including the withholding of funds or the issuance of a
cease and desist order. 20 U.S.C. 1234f(d).
It is so agreed.
For the Nebraska Department of Education.
Dated: October 2, 2008.
Marge Harouff,
Deputy Commissioner.
For the United States Department of Education.
Dated: October 8, 2008.
Kerri L. Briggs,
Assistant Secretary, Office of Elementary and Secondary Education.
Date this Compliance Agreement becomes effective: Oct 8, 2008.
Expiration Date of this Agreement: Oct 8, 2011.
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[FR Doc. E9-1537 Filed 1-23-09; 8:45 am]
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