**THE CARL D. PERKINS**

**VOCATIONAL AND TECHNICAL**

**EDUCATION**

**ACT OF 1998**

**P.L.105-332**

**STATE PLAN GUIDE**

#### OMB Control #1830-0029

#### Expires: June 30, 2000

**DIVISION OF VOCATIONAL-TECHNICAL EDUCATION**

**OFFICE OF VOCATIONAL AND ADULT EDUCATION**

**U.S. DEPARTMENT OF EDUCATION**

INTRODUCTION

We have developed this guide to assist you in writing or reviewing State
plans to be submitted to us under the authority of the Carl D. Perkins
Vocational and Technical Education Act of 1998, P.L. 105-332 (Perkins
III). The intent of this guide is to assist you in State plan writing
and to identify the requirements to be included.

If you intend to include Perkins III in a unified plan pursuant to
section 501 of the Workforce Investment Act of 1998 (P.L. 105-220), you
may also use separate interagency guidance that has been developed to
facilitate the preparation of unified plans. This unified plan guidance
will be published in January 2000 in the *Federal Register*.

This guide is organized around major topic areas, such as financial
requirements, special populations, and accountability, so that the
identification of critical State plan requirements may be more readily
apparent. All of the requirements for an application for funds under
Title II of the Act (Tech-Prep) are described in section V of this
guide. The other sections of the guide describe requirements for State
plans under Title I of the Act. Not only do we list individual
requirements from Perkins III for each major topic, but we also make
"Procedural Suggestions" to help you enhance the quality of your State
plan. The "Planning Reminders" are to assist you in covering those
statutory requirements that have implications for planning, but do not
need to appear in the State plan.

Although you are not required to include a tech-prep application in your
plan, we urge you to continue submitting your tech-prep application as a
part of your State plan.

We are looking forward to reviewing State plans that truly reflect your
planned programs and activities. The staff of the Division of
Vocational-Technical Education is available to assist you in the
development of your State plan as questions arise.

We encourage you to file your State plan electronically. Plans that are
PC-compatible MS Word or ASCII format can be submitted via e-mail to:

> <Ronald_Castaldi@ed.gov>

If you select electronic submission, you must then provide, in hard
copy, any pages within the document that require a signature. This would
include the assurances, certifications, and EDGAR certifications. No
submission of the State plan in hard copy is further required. Mail the
signature pages to:

> Mr. Ronald Castaldi, Director DVTE
>
> U.S. Department of Education
>
> 400 Maryland Avenue, SW, Rm 4317 MES
>
> Washington, DC 20202

We may publish your State plan, in whole or in part, on our World Wide
Web site, or through other means available to us.

If you do not select electronic submission, an original and 2 copies of
your State plan should be mailed to the preceding address.

STATE PLAN GUIDE

# **PLANNING , COORDINATION AND COLLABORATION PRIOR TO PLAN SUBMISSION**

## Requirements

1.  You shall conduct public hearings in the State, after appropriate
    and sufficient notice, for the purpose of affording all segments of
    the public and interested organizations and groups (including
    employers, labor organizations, and parents), an opportunity to
    present their views and make recommendations regarding the State
    plan. \[Sec. 122(a)(3)\]

2.  A summary of \[the above\] recommendations and the eligible agency's
    response to such recommendations shall be included in the State
    plan. \[Sec. 122(a)(3)\]

3.  You shall develop the State plan in consultation with teachers,
    eligible recipients, parents, students, interested community
    members, representatives of special populations, representatives of
    business and industry, and representatives of labor organizations in
    the State, and shall consult the Governor of the State with respect
    to such development. \[Sec. 122(b)(1)\]

4.  You shall develop effective activities and procedures, including
    access to information needed to use such procedures, to allow the
    individuals described in \[Sec. 122(b)(1)\] to participate in State
    and local decisions that relate to development of the State plan.
    \[Sec. 122(b)(2)\]

5.  You shall develop the portion of the plan relating to the amount and
    uses of any funds proposed to be reserved for adult vocational and
    technical education, postsecondary vocational and technical
    education, tech prep education, and secondary vocational and
    technical education after consultation with the State agency
    responsible for supervision of community colleges, technical
    institutes, or other 2-year postsecondary institutions primarily
    engaged in providing postsecondary vocational and technical
    education, and the State agency responsible for secondary education.
    If a State agency finds that a portion of the final State plan is
    objectionable, the State agency shall file its objections with you.
    You shall respond to any objections you receive in the State plan.
    \[Sec. 122(e)(3)\]

**The following (A.6-8) is only applicable to four-year unified plans.**

6.  You shall describe the methods for joint planning and coordination
    of the programs and activities included in the unified plan. \[P.L.
    105-220, Sec. 501(c)(3)(A)\]

7.  You shall provide an assurance that the methods for joint planning
    and coordination included an opportunity for the entities
    responsible for planning or administering programs and activities
    included in the unified plan to review and comment on all portions
    of the unified plan. \[P.L. 105-220, Sec. 501(c)(3)(B)\]

8.  If the unified plan includes secondary vocational education programs
    and activities, you shall provide evidence that the State
    legislature has granted approval for the inclusion of these programs
    and activities in the unified plan prior to its submission. \[P.L.
    105-220, Sec. 501(b)(1)\]

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A.  **Procedural Suggestions**

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1.  You should maintain a record of the public hearings that includes
    copies of the notices for the hearings, what media were used to
    publicize the hearings, mailing lists used for notification, where
    the hearings were held, attendance levels, and the recommendations
    or comments made by the attendees. See section 122 (a)(3).

2.  You should develop and implement policies and procedures for the
    framework of consultations required by section 122(b) of Perkins
    III; moreover, maintain appropriate records for these mandated
    consultations.

3.  Postsecondary vocational and technical education programs assisted
    under Perkins III are mandatory partners in the one-stop career
    center delivery system established by the Workforce Investment Act
    of 1998. We encourage you to collaborate with your State Workforce
    Investment Board and other one-stop partners as you plan for the
    participation of postsecondary vocational education programs in your
    State\'s one-stop career center delivery system.

4.  Public hearings and other consultation activities should address all
    aspects of the State plan, including the reservation of funds under
    section 112(c), if any, and the amount and uses of funds reserved
    for services that prepare individuals for nontraditional training
    and employment under section 112(a)(2)(B).

5.  Inclusion of secondary vocational education in a unified plan
    requires state legislative approval. The following constitutes
    acceptable evidence of state legislative approval:

> State legislative approval may be conferred by a resolution adopted by
> votes of both houses of your state legislature (unless your State has
> a unicameral legislature) on any date following July 28,1998.
>
> The resolution need not be freestanding; it may be included as an
> amendment to other legislation.
>
> The resolution should be specific and refer to the requirements of
> section 501 (b) (1) and must clearly differentiate between secondary
> and postsecondary vocational education.

**II PROGRAM ADMINISTRATION**

A.  **Descriptions**

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1.  You shall prepare and submit to the Secretary a State plan for a
    5-year \[4-year\] period, together with such annual revisions as the
    eligible agency determines to be necessary. \[Sec. 122(a)(1)\]

2.  You will describe the vocational and technical education activities
    to be assisted that are designed to meet or exceed the State
    adjusted levels of performance. \[Sec. 122(c)(1)\]

3.  You will describe the secondary and postsecondary vocational and
    technical education programs to be carried out, including programs
    that will be carried out by the eligible agency to develop, improve,
    and expand access to quality, state-of-the-art technology in
    vocational and technical education programs. \[Sec. 122(c)(1)(A)\]

4.  You will describe the criteria that you will use in approving
    applications by eligible recipients for funds under Perkins III.
    \[Sec. 122(c)(1)(B)\]

5.  You will describe how such programs will prepare vocational and
    technical students for opportunities in postsecondary education or
    entry into high skill, high wage jobs in current and emerging
    occupations. \[Sec. 122(c)(1)(C)\]

6.  You will describe how funds will be used to improve or develop new
    vocational and technical education courses. \[Sec. 122(c)(1)(D)\]

7.  You will describe how comprehensive professional development
    (including initial teacher preparation) for vocational and
    technical, academic, guidance, and administrative personnel will be
    provided. \[Sec. 122(c)(2)\]

8.  You will describe how you will actively involve parent, teachers,
    local businesses (including small- and medium-sized business), and
    labor organizations in the planning development, implementation, and
    evaluation of such vocational and technical education programs.
    \[Sec. 122(c)(3)\]

9.  You will describe how you will improve the academic and technical
    skills of students participating in vocational and technical
    education programs, including strengthening the academic, and
    vocational and technical, components of vocational and technical
    education programs through the integration of academics with
    vocational and technical education to ensure learning in the core
    academic, and vocational and technical, subjects, and provide
    students with strong experience in, and understanding of, all
    aspects of an industry. \[Sec. 122(c)(5)(A)\]

10. You will describe how you will ensure that students who participate
    in such vocational and technical education programs are taught to
    the same challenging academic proficiencies as are taught to all
    other students. \[Sec. 122(c)(5)(B)\]

11. You will describe how you will provide local educational agencies,
    area vocational and technical education schools, and eligible
    institutions in the State with technical assistance. \[Sec.
    122(c)(14)\]

12. You will describe how vocational and technical education relates to
    State and regional occupational opportunities. \[Sec. 122(c)(15)\]

13. You will describe the methods you propose for the joint planning and
    coordination of programs carried out under Perkins III with other
    Federal education programs. \[Sec. 122(c)(16)\]

14. You will describe how funds will be used effectively to link
    secondary and postsecondary education. \[Sec. 122(c)(19)\]

15. You will describe how you will address the equity provisions
    contained in Section 427(b) of the General Education Provisions Act,
    as amended \[20 U.S.C.1228a\]

16. You will include the description of the procedures in place to
    develop the memoranda of understanding outlined in section 121(c) of
    the Workforce Investment Act of 1998. \[Sec. 122(c)(21)\]

17. You will describe the procedures you will develop to ensure

> coordination of nonduplication among programs listed in section 112
> (b)(8)(A) of the Workforce Investment Act of 1998. \[Section
> 122(c)(21)\]

B.  **Procedural Suggestions**

To enhance the description of your efforts in the areas of planning and
administration, you should consider addressing the following in the
State plan:

1.  Submit a copy of your local applications for secondary and
    postsecondary eligible recipients that include the requirements of
    section 134(b) of Perkins III.

2.  Provide a copy of the State's governance structure for vocational
    and technical education.

3.  State plans submitted by the Governor under Title I of the Workforce
    Investment Act must contain the same information with respect to
    coordination among various Federal programs that are outlined under
    requirement number 17 in section II of this State plan guide. We
    expect that you will work collaboratively with the State agency
    responsible for WIA Title I and other appropriate State and local
    agencies to jointly develop a single set of procedures that will be
    used to fulfill the coordination requirements of WIA Title I and
    Perkins III. A collaborative approach to the development of guidance
    with respect to participation in the one-stop delivery system is
    also strongly recommended.

# 

4.  Provide a description of the role of postsecondary vocational and
    technical education in the one-stop career center delivery system
    established by WIA Title I. Program memorandum OVAE/DVTE 99-11 may
    be helpful to you in understanding the responsibilities for one-stop
    participation that are established by Title I of WIA and its
    implementing regulations.

5.  Provide a description of how your comprehensive professional
    development activities will focus on improving the academic and
    technical skills of students and ensuring that vocational and
    technical education students are taught to the same challenging
    academic proficiencies as are taught to other students. You may also
    describe how professional development training will be developed
    with the participation of the individuals who are the intended
    recipients of the training.

# **III. ACCOUNTABILITY AND EVALUATION** 

##  Program Requirements

1.  Describe the procedures employed to include input from eligible
    recipients in establishing performance measures for core indicators.
    \[Sec. 113(b)(1)(A), Sec. 113(b)(2)(D)\].

2.  Describe the procedures employed to include input from eligible
    recipients in establishing a State level of performance for each
    core indicator of performance. \[Sec. 113(b)(1)(C), Sec.
    122(C)(9)\].

3.  Describe the procedures employed to include input from eligible
    recipients in establishing any additional indicators of performance
    identified by the eligible agency. \[Sec. 113(b)(1)(B)\].

4.  Describe the procedures employed to include input from eligible
    recipients in establishing State levels of performance for each
    additional indicator of performance. \[Sec. 113(b)(1)(C)\].

5.  Identify and describe the core indicators to be used to meet the
    requirements of Section 113. \[Sec. 113(b)(2)(A)(I-iv)\].

6.  Identify and describe a State level of performance for each core
    indicator of performance for the first two program years covered by
    the State plan. \[Sec. 113(b)(3)(A)(ii)\].

7.  Identify and describe any additional indicators identified by the
    eligible agency. \[Sec. 113(b)(2)(B)\].

8.  Identify and describe a State level of performance for each
    additional indicator. \[Sec. 113(b)(3)(B)\].

9.  Describe how you will annually evaluate the effectiveness of
    vocational and technical education programs, and describe, to the
    extent practicable, how the eligible agency is coordinating such
    programs to ensure nonduplication with other existing Federal
    programs. \[Sec. 122(c)(6)\]

> 10\. Describe how you will report data relating to students
> participating in
>
> vocational and technical education in order to adequately measure the

progress of students, including special populations. \[Sec. 122(c)(12)\]

11\. Describe how you will ensure that the data reported to you from
local

> education agencies and eligible institutions under Perkins III and the
>
> data you report to the Secretary are complete, accurate, and reliable.
> \[Sec.122(c)(20)\]

12. As required by Sec 112(b)(8)(B) of the Workforce Investment Act of
    1998,

> describe the common data collection and reporting processes used for
> the
>
> programs and activities described in Sec. 112(b)(8)(A)(iii) of the
> Workforce Investment Act of 1998, and to postsecondary vocational
> education activities. \[Sec. 122(c)(21)\].

**The Use of Sampling to Establish and Report Performance Levels**

The Department recognizes that a number of States are now using sample
studies to gather information about student outcomes, especially to
track the employment and further education of students after they leave
a vocational education program. To help States make the transition to
the new accountability system, the Department will consider data
collected through sampling for the first two years of the accountability
plan (section 1113(b)(3)(A)(iii)). The State agency is responsible for
ensuring that data reported by its local education agencies and
institutions, and the data the State reports to the Secretary, are
complete, accurate, and reliable (section 122(c)(20)). Therefore, the
use of sampling should adhere to generally accepted principles for
statistical data collection and analysis. States wishing the Department
to set adjusted levels for performance based on samples should submit a
statewide sampling and analysis plan as part of the State plan for
accountability. The sampling plan should address methodological issues
such as how the sampling will result in:

-   A true random sample of the students in vocational and technical
    education.

-   A sample size that is sufficiently large to ensure that findings
    will be statistically significant for each local education agency
    and each postsecondary institution, and for each special populations
    group.

-   A response rate that will produce unbiased results (generally not
    less than a 75% return rate), through aggressive follow-up to
    contact individuals in the sample.

**B. Procedural Suggestions**

1.  For each core indicator, you should identify a measurement approach,
    baseline performance data (indicating the year in which the baseline
    data was collected), and a level of performance. You may express
    performance levels in a percentage or numerical form. When an
    indicator is expressed as a percentage, you should also identify the
    numbers of students (numerator and denominator) to make clear the
    universe of students included in the calculation and the size of the
    student population meeting the standard.

2.  The accountability system should include the secondary and
    postsecondary students participating in public vocational and
    technical education in the State. It should also include students
    participating in private vocational and technical education at
    agencies or institutions that receive Perkins III funds in the
    State. The purpose of the accountability system is to assess the
    effectiveness of the State in achieving *statewide* progress in
    vocational and technical education (section 113(a)).

3.  The first version of the *State Plan Guide* requested that States
    set performance levels for students who are vocational education
    "concentrators." Since the first version of the *Guide* was
    published, the Department and the States have extensively discussed
    how to define a "concentrator." Through these consultations, the
    States and the Department developed the concept of a "threshold" to
    identify "concentrators," who are students who have a sufficiently
    high level of participation in vocational and technical education to
    be in the accountability system. You should establish a threshold
    level consistent with the definition of \"vocational and technical
    education\" found in section 3(29) of Perkins III, which means
    organized educational activities that offer "a sequence of courses
    (or equivalent instructional units) that provides an individual with
    the academic and technical knowledge and skills the individuals need
    to prepare for further education and careers." Therefore, the
    Department recommends that States establish a threshold that
    includes only \"concentrators\" or students who have participated in
    this type of sequence of courses or instructional units.

4.  You should include students participating in Tech-Prep Education in
    the determination and reporting of the core indicators and the State
    adjusted levels of performance. Section 113(a) requires a State to
    establish a State performance accountability system to assess the
    effectiveness of the State in achieving statewide progress in
    vocational and technical education. A "Tech-Prep Program" is
    vocational education by definition (sections 3(26)(B) and (C), and
    202(a)(3)).

5.  For the first core indicator of performance, States must measure
    "student attainment of challenging State established academic skill
    proficiencies" (section 113(2)(A)(i)). Perkins III also requires
    that States ensure that students who participate in vocational and
    technical education programs are taught to the same challenging
    academic proficiencies as are taught to all other students (section
    122(c)(4)(B)). To keep the vocational and technical education
    standards and accountability system consistent with what the State
    uses to assess academic achievement for all secondary students, you
    should include all academic content areas for which there are
    State-established assessments. If State academic assessments change,
    you may need to amend your plan to be consistent with the new
    assessment strategy.

6.  To determine State performance on the core indicator, "Student
    participation in and completion of vocational and technical
    education programs that lead to nontraditional training and
    employment," you need to identify non-traditional occupations and
    the corresponding vocational education programs. Nontraditional
    training and employment is defined in Perkins III as "occupations or
    fields of work for which individuals from one gender comprise less
    than 25 percent of the individuals employed in each such occupation
    or field of work" (section 3(17)). Because our nation's labor force
    is increasingly mobile and the labor market internationally
    competitive, the Department encourages States to use national
    employment statistics to identify non-traditional occupations.
    However, States may use State data on employment to identify
    nontraditional occupations if it improves targeting of educational
    improvement activities for nontraditional employment and service to
    students enrolled in those programs. You may get additional
    information on employment statistics and non-traditional occupations
    from the National Occupational Information Coordinating Committee,
    State Occupational Information Coordinating Committees, or the
    Bureau of Labor Statistics of the U.S. Department of Labor (BLS).
    National data on gender of individuals employed in various
    occupations is derived from the Current Population Survey, which is
    conducted by the Census Bureau for BLS. The most recent data, the
    national household average for 1998, was published in the January
    1999 edition of the BLS publication *Employment and Earnings*. A
    chart that provides a detailed breakdown of various occupations by
    gender, race, and Hispanic origin in 1998 is available at the BLS
    website at http://stats.bls.gov/

> **C. Planning Reminders**

1.  Keep in mind that we will approve a State plan, or a revision to an
    approved State plan, only if we determine that the plan meets the
    requirements of Perkins III and that the State\'s levels of
    performance on the Core Indicators of performance are sufficiently
    rigorous to fulfill the purposes of Perkins III. \[Sec.
    122(e)(1)(B)\]

2.  Your accountability system needs to have the capacity to collect and
    report the data for each category of special populations defined in
    Sec. 3(23) of the Act. \[Sec. 122(c)(12)\]

3.  Keep in mind that States that exceed agreed upon levels of
    performance for this program and Adult Education and WIA Title I are
    eligible to receive incentive grants as specified in section 503 of
    the Workforce Investment Act of 1998.

4.  Note that the following provisions for local plans should be tied to
    the State adjusted levels of performance:

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a.  how vocational and technical education activities will be carried
    out with respect to meeting State adjusted levels of performance
    established under section 113 \[Sec. 134(b)(2)\];

b.  the process that will be used to independently evaluate and
    continuously improve the performance of the eligible recipient
    \[Sec. 134(b)(6)\];

c.  how local recipients will use funds to develop and implement
    evaluations of the vocational and technical education programs
    carried out with funds under Perkins III, including an assessment of
    how the needs of special populations are being met. \[Sec.
    135(b)(5)\].

> Note: In the local application included in your State plan, please
> identify the section(s) in which this information appears.

5.  Keep in mind that you should disaggregate data for secondary and
    postsecondary Core Indicators, State adjusted levels of performance,
    any additional indicators and levels of performance identified by
    you, reporting requirements, assessments and evaluations, unless
    otherwise specified in the Act.

**IV. SPECIAL POPULATIONS AND OTHER GROUPS**

A.  **Descriptions**

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1.  You will describe your program strategies for special populations.
    \[Sec. 122(c)(7)\]

2.  You will describe how individuals who are members of special
    populations will be provided with equal access to activities under
    Perkins III. \[Sec. 122(c)(8)(A)\]

3.  You will describe how individuals who are members of special
    populations will not be discriminated against on the basis of their
    status as members of special populations. \[Sec. 122 (c)(8)(B)\]

4.  You will describe how individuals who are members of special
    populations will be provided with programs designed to enable the
    special populations to meet or exceed State adjusted levels of
    performance, and how it will prepare special populations for further
    learning and for high skill, high wage careers. \[Sec.
    122(c)(8)(C)\]

5.  You will describe how you will adequately address the needs of
    students in alternative education programs, if appropriate. \[Sec.
    122(c)(13)\]

6.  You will describe how funds will be used to promote preparation for
    nontraditional training and employment. \[Sec. 122(c)(17)\]

7.  You will describe how funds will be used to serve individuals in
    State correctional institutions. \[Sec. 122(c)(18)\]

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B.  **Procedural Suggestions**

To enhance the description of your programs for special populations in
vocational and technical education, you should consider addressing the
following in the State plan:

1.  Describe the programs, services and activities that you will fund to
    serve students in State institutions other than correctional
    facilities. See section 112(a)(2)(A).

2.  Include a copy of your local applications or forms that demonstrates
    that you are seeking relevant information from eligible recipients
    on the proposed programs, services and activities for special
    populations at the subrecipient level. See section \[134(b)(7)(A)
    and (B)\]

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C.  **Planning Reminders**

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1.  There is a new definition of special populations. See section 3(23).

2.  Under the State Leadership setaside, there is a cap on funds that
    can be used to serve individuals in State institutions. See section
    112(a)(2)(A).

3.  You may wish to refer to Program Memorandum OVAE/DVTE 99-13 for
    additional guidance concerning the reservation and use of State
    leadership funds for activities related to nontraditional training
    and employment.

4.  Keep in mind that your accountability system needs to have the
    capacity to collect and report the data for each category of special
    populations defined in Section 3(23 of the Act. Recall that the
    fourth indicator (Sec. 113(b)(2)(A)(iv)) addresses a subset of
    special populations---individuals preparing for nontraditional
    training and employment. See section 122(c)(12).

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V.  **TECH-PREP**

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A.  **Program Requirements**

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1.  Describe how each funded tech-prep program will be carried out under
    an articulation agreement between the participants in the
    consortium, as defined in section 204(a)(1) of Perkins III. \[Sec.
    204(c)(1)\]

2.  Describe how each funded tech-prep program will consist of at least
    2 years of secondary school preceding graduation and 2 years or more
    of higher education, or an apprenticeship program of at least 2
    years following secondary instruction with a common core of required
    proficiency. \[Sec. 204(c)(2)\]

3.  Describe how each funded tech-prep program will meet academic
    standards developed by the state, link secondary and postsecondary
    institutions through nonduplicative sequences of courses, use
    work-based learning, educational technology and distance learning.
    \[Sec. 204(c)(3)(A-D)\]

4.  Describe how each funded tech-prep program includes in-service
    training for teachers that addresses the concerns of Perkins III.
    \[Sec. 204(c)(4)(A-E)\]

5.  Describe how each funded tech-prep program includes training
    programs for counselors that addresses the concerns of Perkins III.
    \[Sec. 204(c)(5)(A-E)\]

6.  Describe how each funded tech-prep program provides equal access to
    individuals who are members of special populations. \[Sec.
    204(c)(6)\]

7\. Describe how each funded tech-prep program provides for preparatory
services that assist participants in tech-prep programs. \[Sec.
204(c)(7)\]

**B. Administrative Requirements**

1.  Describe the competitive basis or formula you use to award grants to
    tech-prep consortia. \[Sec. 204(a)(1)\]

2.  Describe how you will give special consideration to applications
    that address the areas identified in Sec. 205(d). \[Sec.
    205(d)(1-5)\]

3.  Describe how you will ensure an equitable distribution of assistance
    between urban and rural consortium participants. \[Sec. 205(e)\]

4.  Describe how tech-prep programs will be evaluated using your system
    of core indicators and levels of adjusted performance. See section
    II -- Accountability.

5.  Describe how you plan to collect data to address the reporting
    requirements in Perkins III (to be addressed in performance
    reporting). \[Sec. 206\]

**C. Procedural Suggestions**

> To enhance the description of your tech-prep program, you should
> consider addressing the following in the tech-prep application:

1.  Provide a copy of the local application form(s) used to award
    tech-prep funds to consortia and a copy of the technical review
    criteria used to select winning consortia, if funds are awarded
    competitively.

2.  Provide a list of the consortia that the State expects to fund and
    the estimated or projected level of funding for each consortium.

3.  Describe any changes you intend to make to your existing tech prep
    program in order to respond to changes in Perkins III, e.g., using
    work-based and worksite learning, extending the model beyond the
    original 2+2 model, incorporating institutions of higher education
    that award baccalaureate degree programs, and/or employer or labor
    organizations.

4.  Describe the level and degree of participation of institutions
    awarding baccalaureate degrees, and employer or labor organizations
    in funded consortia.

5.  Describe any additional authorized tech-prep activities the State
    Board plans to implement with Title II funds.

D. **Planning Reminders**

1.  Supplanting requirements now apply to Title II tech-prep programs.
    \[See section 311(a)\]

2.  State expenditures for Title II tech-programs are now a part of the
    maintenance of effort calculations required by Perkins III. \[See
    section 311(b)\]

3\. State administrative costs are still limited to those costs that are
"reasonable and necessary."

**VI. FINANCIAL REQUIREMENTS**

A.  **Assurances**

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1.  You will assure compliance with the requirements of Title I and the
    provisions of the State plan, including the provision of a financial
    audit of funds received under this title which may be included as
    part of an audit of other Federal or State programs. \[Sec.
    122(c)(10)\]

2.  You will assure that none of the funds expended under title I 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, the employees of the purchasing entity, or any
    affiliate of such an organization. \[Sec. 122(c)(11)\]

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B.  **Required Descriptions**

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1.  You will describe how funds received through the allotment made
    under section 111 will be allocated among secondary school
    vocational and technical education, or postsecondary and adult
    vocational and technical education, or both, including the rational
    for such allocation. \[Sec. 122(c)(4)(A)\]

2.  You will describe how funds received through the allotment made
    under section 111 will be allocated among consortia that will be
    formed among secondary schools and eligible institutions, and how
    funds will be allocated among the members of the consortia,
    including the rationale for such allocation. \[Sec. 122(c)(4)(B)\]

**C. Procedural Suggestions**

To enhance the description of the State's fiscal underpinnings of funded
vocational and technical programs, you are strongly urged to include the
following in the State plan:

1.  A detailed projected budget table that addresses:

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a.  The amounts to be made available for purposes under section
    112(a)(1);

b.  The amounts to be made available for State leadership under section
    112(a)(2);

c.  The amounts to be made available to serve individuals in State
    institutions, as described in section 112(a)(2)(A);

d.  The amounts to be made available for services under section
    112(a)(2)(B);

e.  The amounts to be expended for State administration under section
    112(a)(3);

f.  The amounts to be expended for matching of Federal expenditures for
    State administration;

g.  The amounts, if any, reserved to address section 112(c);

h.  The amounts to be expended for tech-prep programs under Title I and
    II; and

i.  The amounts for each of the above categories to be expended by local
    educational agencies and postsecondary institutions.

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2.  An annual submission of subrecipient allocations made from funds
    available under section 112(a) and (c), including those allocations
    for BIA and charter schools for each year of the five-year plan.

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3.  An annual submission of allocations made to consortia from funds
    available under section 112(a) and (c) for each year of the
    five-year plan.

4.  A description of the secondary and postsecondary formulas used to
    allocate funds available under section 112(a).

5.  A description of the procedures used to determine and rank eligible
    recipients seeking funding under section 112(c).

6.  A description of the process used to allocate funds available under
    section 112(c).

7.  A description of the procedures used to determine eligible
    recipients in rural and sparsely populated areas, for purposes under
    sections 131(d)(2) and/or 132(a)(4).

8.  A full description of any alternative formula approved by the
    Secretary used to meet the requirements of sections 131(c) and/or
    132(b).

**D. Planning Reminders**

1.  No funds received under this Act may be used to provide vocational
    and technical education programs to students prior to the seventh
    grade, except that equipment and facilities purchased with funds
    under this Act may be used for such students. \[Sec. 315\]

2.  Maintenance of fiscal effort on either a per student or aggregate
    expenditure basis is required. \[Sec. 311(b)(1)(A)\]

3.  No funds made available under this Act will be used to require any
    secondary school student to choose or pursue a specific career path
    or major. \[Sec. 314(1)\]

4.  No funds made available under this Act will be used to mandate that
    any individual participate in a vocational and technical education
    program, including a vocational and technical education program that
    requires the attainment of a federally funded skill level, standard,
    or certificate of mastery. \[Sec. 314(2)\]

5.  All funds made available under this Act will be used in accordance
    with this Act. \[Sec. 6\]

6.  No funds under Perkins III may be transferred and utilized to fund a
    School-to-Work grant \[Sec. 6\].

7.  For a student to be eligible to participate in activities funded
    under Perkins III, the student must be in the 7^th^ grade or higher.
    An activity funded under Perkins III must meet all other applicable
    requirements, including the supplanting prohibition in Sec. 311(a)
    of Perkins III.

The programs and activities authorized under Perkins III may provide
linkages with programs operated under School-To-Work (STW), provided
that the limitation above is observed. If this limitation is met, i.e.
the activity is authorized and allowable and the participant is
eligible, State or local administrative or policy bodies may coordinate,
consult, and cooperate among WIA, Perkins III, and STW programs. We do
not foresee that these provisions will create barriers to successful
STW, workforce investment, vocational education, vocational
rehabilitation, or adult education activities. Assuming that you satisfy
the above conditions, we do not believe that these provisions require
you to do anything in the future differently than you are doing now.
\[Sec. 6\].

8.  Funds made available under this Act for vocational and technical
    education activities will supplement, and shall not supplant,
    non-Federal funds expended to carry out vocational and technical
    education activities and tech-prep activities. \[Sec. 311(a)\]

9.  Starting in fiscal year 2000, the distribution of funds to secondary
    school programs has changed. See Program Memorandums OVAE/DVTE 99-8
    and 2000-2 for more clarification. \[Sec. 131(b)\]

10. If you decide to develop an alternative allocation formula under the
    authority of sections 131(c) and/or 132(b), please submit the
    proposed formula and supporting documentation to the Secretary for
    approval prior to the submission of your State plan. \[See sections
    131(c) and 132(b)\] (Note: You may rely on the guidance provided in
    the Perkins II regulations for a postsecondary alternative formulas.
    See 34 CFR § 403.118.)

11. No funds provided under this Act shall be used for the purpose of
    directly providing incentives or inducements to an employer to
    relocate a business enterprise from one State to another State if
    such relocation will result in a reduction in the number of jobs
    available in the State where the business enterprise is located
    before such incentives or inducements are offered. \[Sec. 322\]

12. The portion of any student financial assistance received under this
    Act that is made available for attendance costs described in
    subsection \[section 325(b)\] shall not be considered as income or
    resources in determining eligibility for assistance under any other
    program funded in whole or in part with Federal funds. \[Sec.
    325(a)\]

13. Funds made available under this Act may be used to pay for the costs
    of vocational and technical education services required in an
    individualized education plan developed pursuant to section 614(d)
    of the Individuals with Disabilities Education Act and services
    necessary to the requirements of section 504 of the Rehabilitation
    Act of 1973 with respect to ensuring equal access to vocational and
    technical education. \[Sec. 325(c)\]

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VII. **EDGAR AND OTHER REQUIRED CERTIFICATIONS**

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A.  **Requirements**

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1.  That the plan is submitted by the State agency that is eligible to
    submit the plan. \[34 CFR 76.104(a)(1)\]

2.  That the State agency has authority under State law to perform the
    functions of the State under the program. \[34 CFR 76.104(a)(2)\]

3.  That the State legally may carry out each provision of the plan.
    \[34 CFR 76.104(a)(3)\]

4.  That all provisions of the plan are consistent with State law. \[34
    CFR 76.104(a)(4)\]

5.  That a State officer, specified by title in the certification, has
    authority under State law to receive, hold, and disburse Federal
    funds made available under the plan. \[34 CFR 76.104(a)(5)\]

6.  That the State officer who submits the plan, specified by title in
    the certification, has authority to submit the plan. \[34 CFR
    76.104(a)(6)\]

7.  That the agency that submits the plan has adopted or otherwise
    formally approved the plan. \[34 CFR 76.104(a)(7)\]

8.  That the plan is the basis for State operation and administration of
    the program. \[34 CFR 76.104(a)(8)\]

9.  That a copy of the State plan was submitted into the State
    Intergovernmental Review Process. \[Executive Order 12372\]

10. Debarment and Suspension Certification \[34 CFR 85, Appendix A\]

11. Drug-Free Workplace Certification \[34 CFR 85, Appendix C\]

12. Lobbying Certification \[34 CFR 82, Appendix A\]

13. Assurances -- Non-Construction Programs

According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless it displays a
valid OMB control number. The valid OMB control number for this
information collection is 1830-00029. The time required to complete this
information collection is estimated to average 168 hours per response,
including the time to review instructions, search existing data
resources, gather and maintain the data needed, and complete and review
the information collection. If you have any comments concerning the
accuracy of the time estimate(s) or suggestions for improving this form,
please write to: U.S. Department of Education, Washington, DC
20202-4651. If you have comments or concerns regarding the status of
your individual submission of this form, write directly to: Division of
Vocational Technical Education, U. S. Department of Education, 400
Maryland Avenue, SW, MES Room 4317, Washington, DC 20202.