1

U. S. Department of Education

Office of Vocational and Adult Education

* * * * * * * * * * *

The Carl D. Perkins Career and Technical 

Education Act of 2006 

GUIDE FOR THE SUBMISSION OF 

STATE PLANS

OMB Control Number:1830-0029

Expiration Date: 06/30/2013

Public Burden Statement:

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such 

collection displays a valid OMB control number. Public reporting burden for this collection of information is estimated to average 40 

hours per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data 

needed, and completing and reviewing the collection of information. The obligation to respond to this collection is required to obtain 

or retain benefit (Carl D. Perkins Career and Technical Education Act of 2006). Send comments regarding the burden estimate or any 

other aspect of this collection of information, including suggestions for reducing this burden, to the U.S. Department of Education, 

400 Maryland Ave., SW, Washington, DC 20210-4537 or email ICDocketMgr@ed.gov and reference the OMB Control Number 

1830-0029. Note: Please do not return the completed State Plans to this address. If you have comments or concerns regarding the 

status of your individual submission of this form, write directly to: Dr. Edward R. Smith, Chief, Program Administration Branch, 

Division of Academic and Technical Education, Office of Vocational and Adult Education, U.S. Department of Education, 550 12th

Street, SW, Potomac Center Plaza, Room 11060, Washington, DC 20202-7241.
2

TABLE OF CONTENTS

INTRODUCTION.................................................................................................................3

COVER PAGE......................................................................................................................5

CHECKLIST OF STATE PLAN SUBMISSION REQUIREMENTS ............................6

PART A: STATE PLAN NARRATIVE ............................................................................8

Planning, Coordination, and Collaboration Prior to Plan Submission...........................9

Program Administration...............................................................................................11

Provision of Services for Special Populations.............................................................15

Accountability and Evaluation.....................................................................................17

Tech Prep Programs.....................................................................................................22

Financial Requirements ...............................................................................................24

EDGAR Certifications and Other Assurances.............................................................27

PART B: BUDGET FORMS ............................................................................................30

PART C: ACCOUNTABILITY FORMS........................................................................35

I. Student Definitions..........................................................................................38

A. Secondary Level.........................................................................................38

B. Postsecondary/Adult Level ........................................................................38

II. Final Agreed Upon Performance Levels (FAUPL) Form................................39
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INTRODUCTION

The Office of Vocational and Adult Education (OVAE) developed this guide to assist you in preparing your 

State plan under the newly authorized Carl D. Perkins Career and Technical Education Act of 2006 (Act), 20 

U.S.C. 2301 et seq. as amended by P.L. 109-270. Sections 122(a)(1) and 201(c) require each eligible agency

desiring assistance under Titles I and II, respectively, for any fiscal year to prepare and submit to the Secretary a 

State plan for a 6-year period, except that, during the first fiscal year following the enactment of the Act which

operates from July 1, 2007 – June 30, 2008), each eligible agency may fulfill its obligation by submitting a oneyear transition plan. 

The framework for the guide is based on the requirements in the Act and a renewed vision of career and 

technical education (CTE) programs for the 21st century. Signed into law on August 12, 2006, the Act 

represents nearly three years of work on the part of Congress and the U.S. Department of Education 

(Department), in cooperation with other Federal agencies and the State and local agencies affected by its 

policies, to provide continuing Federal support for rigorous CTE programs that prepare students for today’s 

competitive workforce. The Act envisions that all students will achieve challenging academic and technical 

standards and be prepared for high-skill, high-wage, or high-demand occupations in current or emerging 

professions. The Act provides an increased focus on the academic achievement of career and technical 

education students, improves State and local accountability, and strengthens the connections between secondary

and postsecondary education. 

This guide is organized into three parts. Part A outlines the required State plan narrative for the State plan in 

seven key areas: planning, coordination, and collaboration prior to State plan submission; program 

administration; provision of services to special populations; accountability and evaluation; tech prep programs; 

financial requirements; and EDGAR certifications and other assurances. For each of these areas, the statutory

requirements are provided, along with other U.S. Department of Education (Department) requirements. Each 

section of the guide also includes procedural suggestions and planning reminders to help you prepare your State 

plan narrative, although these items are not required as part of your State plan submission. Upon approval of 

the above discussed State Plan (year 2 of the legislation), submission requirements for each of the four

remaining years of the legislation will consist of a budget submission and any revisions to the State Plan. Prior 

to the third and fifth years of the legislation, states are required to submit performance levels for program years 

three and four and five and six, respectively, for the core indicators of performance described in section 113(b) 

of Perkins IV. See Part C of the State Plan Guide. 

Part B includes the required budget form. Information and directions for completing the budget form are 

provided in the financial requirements section (VI) of Part A.

Part C includes the required accountability form. Information and directions for completing the accountability

form are provided in the accountability and evaluation section (IV) of Part A.

As indicated above, each State has several options in preparing its State plans. A State may complete a oneyear transition plan, a six-year plan, or a unified plan pursuant to section 501 of the Workforce Investment Act 

of 1998 (P.L. 105-220). Each State that chooses to submit a one-year transition plan must follow the 

instructions provided in the shaded boxes under the section headings throughout this guide. Each State that opts 

to submit a 6-year plan must complete each item in this guide. Any State that wishes to submit a unified plan 

must follow any instructions and submission requirements provided by the Employment and Training 

Administration, U.S. Department of Labor. For further information, please contact Janet Sten the Federal 

Coordinator for Plan Review and Approval, at sten.janet@dol.gov, or Robin Fernkas at fernkas.robin@dol.gov, 

or (202-693-3054).
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Section 202 of the Act provides each State with the option to consolidate all or a part of its funds under section 

201 of the Act with funds received under section 111 of the Act in order to carry out the activities described in 

the State plan under section 122. States that opt to consolidate all of their funds do not need to complete the 

tech prep programs section (V) in Part A and must add together the amounts received under section 111 and 122 

of the Act before completing the budget form. A state may submit a revision in any subsequent program year to 

change whether it will or will not continue to consolidate its tech prep funds.

The Department will issue, via program memorandum, each year its timeline for receiving State plan revisions 

and issuing grant awards. 

Submission Instructions

You must submit your State plan, including the Cover Page, (revisions and budget for post State Plan 

approval years) no later than close of business (5:00 pm EST) in accordance with EDGAR 76.703 

(b)(3)(ii), of each submission year. State plans may be entered into the electronic Perkins IV State Plan 

Database www.perkinsinfo.com/stateplans20(year of submission). 

You must submit, in hard copy to the address below, signed originals of any pages within the document that 

require a signature. This includes the Cover Page, EDGAR certifications, and other assurances. 

Submission Address

Edward R. Smith, Branch Chief

Program Administration Branch

Division of Academic and Technical Education

Office of Vocational and Adult Education

U.S. Department of Education

550 12th Street, SW

Potomac Center Plaza, Room 11060

Washington, DC 20202-7241

Publication Information

The Department may publish your State plan, in whole or in part, on our Web site or through other means 

available to us.

We look forward to reviewing your State plans and your initiatives to implement the new Act in the coming 

years. Staff of the Division of Academic and Technical Education (DATE), particularly your State Liaisons and 

Regional Accountability Specialists, are available at any time to answer questions that arise as you prepare your 

plan.
5

U. S. Department of Education

Office of Vocational and Adult Education

* * * * * * * * * * *

The Carl D. Perkins

Career and Technical Education Act of 2006 

STATE PLAN COVER PAGE

State Name: ______________________

Eligible Agency Submitting Plan on Behalf of State: 

Person at, or representing, the eligible agency responsible for answering questions on this plan: 

Signature: 

Name: 

Position: 

Telephone: ( )

Email: 

Type of State Plan Submission (check one): 

___ 6-Year Full Plan – FY 2007 – FY 2013

___ 1-Year Transition Plan – FY 2007-2008

Special Features of State Plan Submission (check all that apply):

___ Unified - Secondary and Postsecondary 

___ Unified - Postsecondary Only 

___ Title I only (All Title II funds have been consolidated under Title I)

___ Title I and Title II
6

I. CHECKLIST OF STATE PLAN SUBMISSION REQUIREMENTS

State Plan 

Items

Six-Year 

Plan 2007 

or 2008

One-Year 

Transition 

Plan 2007

Year 

2009

Year 

2010

Year 

2011

Year 

2012

Year 

2013

Year 

2014

Year 

2015

PART A: STATE PLAN NARRATIVE

Planning, 

Coordination, 

and 

Collaboration 

Prior to State 

Plan 

Submission 

All items 

required

Not required

Revisions 

if any

Revisions 

if any

Revisions 

if any

Revisions 

if any

Revisions 

if any

Revisions 

if any

Revisions 

if any

Program 

Administration

All items 

required

Only items 

A2(a-l); A8; 

B1; and B2 

required

Revisions 

if any

Revisions 

if any

Revisions 

if any

Revisions 

if any

Revisions 

if any

Revisions 

if any

Revisions 

if any

Provision of 

Services for 

Special 

Populations

All items 

required

Only items 

A1(a-c) 

required

Revisions 

if any

Revisions 

if any

Revisions 

if any

Revisions 

if any

Revisions 

if any

Revisions 

if any

Revisions 

if any

Accountability 

and Evaluation

All items 

required

All items 

required, 

except for the 

baseline data 

and 

performance 

levels 

Revisions 

for 

negotiatio

ns on 

performan

ce levels 

for years 

2009-

2010 and 

2010-

2011.

Revisions 

if any

Revisions 

for 

negotiatio

ns on 

performan

ce levels 

for years 

2011-

2012 and 

2012-

2013.

Revisions 

if any

Revisions for 

negotiations 

on 

performance 

levels for 

2014

Revisions for 

negotiations 

on 

performance 

levels for 

2015

Revisions for 

negotiations 

on 

performance 

levels for 

2016

Tech Prep 

Programs

All items 

required if 

State is using 

all or a 

portion of its 

Title II grant 

funds for its 

tech prep 

programs

No items 

required if 

consolidating 

all of its Title 

II grant funds 

into its basic 

grant 

programs

Only items

A(1); B(1); 

and B(2) 

required if 

State is using 

all or a 

portion of its 

Title II grant 

funds for its 

tech-prep 

programs

No items 

required if 

consolidating 

all of its Title 

II grant funds 

into its basic 

grant 

programs

Revision 

required if 

there is a 

change to 

state plans 

prior year 

status.

Revision 

required if 

there is a 

change to 

state plans 

prior year 

status.

Revision 

required if 

there is a 

change to 

state plans 

prior year 

status.

Revision 

required if 

there is a 

change to 

state plans 

prior year 

status.

TP no 

longer 

receiving 

funding

TP no 

longer 

receiving 

funding

TP no 

longer 

receiving 

funding

Financial 

Requirements

All items 

required

All items 

required

Revisions 

if any and 

new 

Budget in 

Part C.

Revisions 

if any and 

new 

Budget in 

Part C.

Revisions 

if any and 

new 

Budget in 

Part C.

Revisions 

if any and 

new 

Budget in 

Part C.

Revisions 

if any and 

new 

Budget in 

Part C.

Revisions 

if any and 

new 

Budget in 

Part C.

Revisions 

if any and 

new 

Budget in 

Part C.

EDGAR All items All items 

Only for 

Revisions that 

Only for 

Revisions that 

Only for 

Revisions that 

Only for 

Revisions that 

Only for 

Revisions that 

Only for 

Revisions that 

Only for 

Revisions that 
7

State Plan 

Items

Six-Year 

Plan 2007 

or 2008

One-Year 

Transition 

Plan 2007

Year 

2009

Year 

2010

Year 

2011

Year 

2012

Year 

2013

Year 

2014

Year 

2015

Certifications 

and Other 

Assurances

required required impact the 

Certifications 

and 

Assurances

impact the 

Certifications 

and 

Assurances

impact the 

Certifications 

and 

Assurances

impact the 

Certifications 

and 

Assurances

impact the 

Certifications 

and 

Assurances

impact the 

Certifications 

and 

Assurances

impact the 

Certifications 

and 

Assurances

PART B: BUDGET FORMS

Title I – Basic 

Grant

All items 

required

All items 

required

All items 

required

All items 

required

All items 

required

All items 

required

All items 

required

All items 

required

All items 

required

Title II – Tech 

Prep Programs 

All items 

required if 

using all or a 

portion of its 

Title II grant 

funds for its 

tech prep 

programs

No items 

required if 

consolidating 

all of its Title 

II grant funds 

into its basic 

grant 

programs

All items 

required if 

using all or a 

portion of its 

Title II grant 

funds for its 

tech prep 

programs

No items 

required if 

consolidating 

all of its Title 

II grant funds 

into its basic 

grant 

programs

Revision 

required if 

there is a 

change to 

state plans 

prior year 

status.

Revision 

required if 

there is a 

change to 

state plans 

prior year 

status.

Revision 

required if 

there is a 

change to 

state plans 

prior year 

status.

Revision 

required if 

there is a 

change to 

state plans 

prior year 

status.

TP no 

longer 

receiving 

funding

TP no 

longer 

receiving 

funding

TP no 

longer 

receiving 

funding

PART C: ACCOUNTABILITY FORMS

Definitions All items 

required

All items 

required

Any 

revisions 

Any 

revisions

Any 

revisions

Any 

revisions

Any 

revisions

Any 

revisions

Any 

revisions

Final Agreed 

Upon 

Performance 

Levels 

(FAUPL) 

Form –

Secondary 

Level

All items 

required

Student 

definition, 

and 

measurement 

definitions 

and 

approaches 

for all core 

indicators

Baseline data 

and 

performance 

levels 

Revisions 

for 

performan

ce levels 

for years 

2009-

2010 and 

2010-

2011

Revisions 

if any

Revisions 

for 

performan

ce levels 

for years 

2011-

2012 and 

2012-

2013

Revisions 

if any

Revisions for 

performance 

levels for year 

2014

Revisions for 

performance 

levels for 

years 2015

Revisions for 

performance 

levels for year 

2016
8

PART A: STATE PLAN NARRATIVE
9

States that submit a transition plan do not need to address the items in this 

section until they prepare their five-year plan prior to the second program year 

(July 1, 2008 – June 30, 2009). States that submit a six-year State plan must 

complete this entire section. 

 

I. PLANNING, COORDINATION, AND COLLABORATION PRIOR TO PLAN SUBMISSION

A. Statutory Requirements

1. You must 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 

charter school authorizers and organizers consistent with State law, employers, labor 

organizations, parents, students, and community organizations), an opportunity to present their 

views and make recommendations regarding the State plan. [Sec. 122(a)(3)]

2. You must include a summary of the above recommendations and the eligible agency’s response to 

such recommendations in the State plan. [Sec. 122(a)(3)]

3. You must develop the State plan in consultation with academic and career and technical education 

teachers, faculty, and administrators; career guidance and academic counselors; eligible recipients; 

charter school authorizers and organizers consistent with State law; parents and students; 

institutions of higher education; the State tech prep coordinator and representatives of tech prep 

consortia (if applicable); entities participating in activities described in section 111 of Public Law 

105-220; interested community members (including parents and community organizations); 

representatives of special populations; representatives of business and industry (including 

representatives of small business); and representatives of labor organizations in the State. You 

also must consult the Governor of the State with respect to development of the State plan. [Sec. 

122(b)(1)(A)-(B)]

4. You must develop effective activities and procedures, including access to information needed to 

use such procedures, to allow the individuals and entities listed in item 3 above to participate in 

State and local decisions that relate to development of the State plan. [Sec. 122(b)(2)]

5. You must develop the portion of the State plan relating to the amount and uses of any funds 

proposed to be reserved for adult career and technical education, postsecondary career and 

technical education, tech prep education, and secondary career 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

career 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 must file 

its objections with you. You must respond to any objections you receive in the State plan that you 

submit to the Secretary. [Sec. 122(e)(3)]
10

B. Procedural Suggestions and Planning Reminders

 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, and attendance levels. See section 122(a)(3).

 You should develop and implement policies and procedures for the framework of consultations 

required by section 122(b)(1)(A-B) and section 122(b)(2) of the Act; moreover, you should 

maintain appropriate records for these mandated consultations.

 Postsecondary career and technical education programs assisted under Perkins IV are mandatory

partners in the one-stop career center delivery system established by WIA. You are encouraged to 

collaborate with your State Workforce Investment Board and other one-stop partners as you plan 

for the participation of postsecondary career and technical programs in your State’s one-stop career 

center delivery system.

 Public hearings and other consultation activities should address all aspects of the State plan, 

including the reservation of funds under section 112(c) of the Act, 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) of the Act.
11

States that submit a one-year transition plan must address, at a 

minimum, its plans or the State’s planning process for the following 

items: A2(a-l); A8; B1; and B2. States that submit a six-year State plan 

must address all of the items below. 

II. PROGRAM ADMINISTRATION

A. Statutory Requirements

1. You must prepare and submit to the Secretary a State plan for a 6-year period; or

You may prepare and submit a transition plan for the first year of operation of programs under the Act. [Sec. 122(a)(1)]

 

 

2. You must describe the career and technical education activities to be assisted that are designed to 

meet or exceed the State adjusted levels of performance, including a description of—

(a) The career and technical education programs of study, that may be adopted by local 

educational agencies and postsecondary institutions to be offered as an option to students (and 

their parents as appropriate) when planning for and completing future coursework, for career 

and technical content areas that—

i. Incorporate secondary education and postsecondary education elements;

ii. Include coherent and rigorous content, aligned with challenging academic standards, and 

relevant career and technical content in a coordinated, non-duplicative progression of 

courses that align secondary education with postsecondary education to adequately prepare 

students to succeed in postsecondary education;

iii. May include the opportunity for secondary education students to participate in dual or 

concurrent enrollment programs or other ways to acquire postsecondary education credits; 

and 

iv. Lead to an industry-recognized credential or certificate at the postsecondary level, or an 

associate or baccalaureate degree; 

(b) How you, in consultation with eligible recipients, will develop and implement the career and 

technical programs of study described in (a) above;

(c) How you will support eligible recipients in developing and implementing articulation 

agreements between secondary education and postsecondary education institutions;

(d) How programs at the secondary level will make available information about career and 

technical programs of study offered by eligible recipients;

(e) The secondary and postsecondary career and technical education programs to be carried out, 

including programs that will be carried out by you, to develop, improve, and expand access to 

appropriate technology in career and technical education programs;

(f) The criteria that you will use to approve eligible recipients for funds under the Act, including 

criteria to assess the extent to which the local plan will—
12

i. Promote continuous improvement in academic achievement;

ii. Promote continuous improvement of technical skill attainment; and

iii. Identify and address current or emerging occupational opportunities;

(g) How programs at the secondary level will prepare career and technical education students, 

including special populations, to graduate from secondary school with a diploma;

(h) How such programs will prepare career and technical education students, including special 

populations, academically and technically for opportunities in postsecondary education or entry

into high-skill, high-wage, or high-demand occupations in current or emerging occupations, 

and how participating students will be made aware of such opportunities;

(i) How funds will be used to improve or develop new career and technical education courses—

i. At the secondary level that are aligned with rigorous and challenging academic content 

standards and student academic achievement standards adopted by the State under section 

1111(b)(1) of the Elementary and Secondary Education Act of 1965, as amended;

ii. At the postsecondary level that are relevant and challenging; and

iii. That leads to employment in high-skill, high-wage, or high-demand occupations;

(j) How you will facilitate and coordinate communications on best practices among successful 

recipients of tech prep program grants under Title II and other eligible recipients to improve 

program quality and student achievement. (Please note this item is required only for States not 

consolidating all of their Tech Prep funds);

(k) How funds will be used effectively to link academic and career and technical education at the 

secondary level and at the postsecondary level in a manner that increases student academic and 

career and technical achievement; and

(l) How you will report on the integration of coherent and rigorous content aligned with 

challenging academic standards in career and technical education programs in order to 

adequately evaluate the extent of such integration. [Sec. 122(c)(1)(A)-(L)]

3. You must describe how comprehensive professional development (including initial teacher 

preparation and activities that support recruitment) for career and technical teachers, faculty, 

administrators, and career guidance and academic counselors will be provided, especially

professional development that—

(a) Promotes the integration of coherent and rigorous academic content standards and career and 

technical education curricula, including through opportunities for academic and career and 

technical teachers to jointly develop and implement curricula and pedagogical strategies;

(b) Increases the percentage of teachers that meet teacher certification or licensing requirements;

(c) Is high quality, sustained, intensive, and focused on instruction, and increases the academic 

knowledge and understanding of industry standards, as appropriate, of career and technical 
13

education teachers;

(d) Encourages applied learning that contributes to the academic and career and technical 

knowledge of the student;

(e) Provides the knowledge and skills needed to work with and improve instruction for special 

populations; and

(f) Promotes integration with professional development activities that the State carries out under 

Title II of the Elementary and Secondary Education Act of 1965, as amended, and Title II of 

the Higher Education Act of 1965, as amended. [Sec. 122(c)(2)(A)-(G)]

4. You must describe efforts that your agency and eligible recipients will make to improve—

(a) the recruitment and retention of career and technical education teachers, faculty, and career 

guidance and academic counselors, including individuals in groups underrepresented in the 

teaching profession; and

(b) the transition to teaching from business and industry, including small business. [Sec. 

122(c)(3)(A)-(B)]

5. You must describe efforts that your agency and eligible recipients will make to improve the 

transition of sub-baccalaureate career and technical education students into baccalaureate degree 

programs at institutions of higher education. [Sec. 122(c)(4)]

6. You must describe how you will actively involve parents, academic and career and technical 

education teachers, administrators, faculty, career guidance and academic counselors, local 

business (including small businesses), and labor organizations in the planning, development, 

implementation, and evaluation of career and technical education programs in your State. [Sec. 

122(c)(5)]

7. You must describe efforts that your agency and eligible recipients will make to—

(a) Improve the academic and technical skills of students participating in career and technical 

education programs, including by strengthening the academic and career and technical 

components of career and technical education programs through the integration of academics 

with career and technical education to ensure learning in--

i. The core academic subjects (as defined in section 9101 of the Elementary and Secondary

Education Act of 1965, as amended); and

ii. Career and technical education subjects; 

(b) Provide students with strong experience in, and understanding of, all aspects of an industry; 

and

(c) Ensure that students who participate in career and technical education programs are taught to 

the same challenging academic proficiencies as taught to all other students. [Sec. 

122(c)(7)(A)-(C)]
14

8. You must describe how you will provide local educational agencies, area career and technical 

education schools, and eligible institutions in the State with technical assistance. [Sec. 122(c)(15)]

9. You must describe how career and technical education in your State relates to your State’s and 

regional occupational opportunities. [Sec. 122(c)(16)]

10. You must describe the methods you propose for the joint planning and coordination of programs 

carried out under this legislation with other Federal education programs. [Sec. 122(c)(17)]

11. You must describe the procedures you will develop to ensure coordination and non-duplication 

among programs listed in sections 112(b)(8) and 121(c) of the Workforce Investment Act (Public 

Law 105-220) concerning the provision of services for postsecondary students and school 

dropouts. [Sec. 122(c)(20)]

B. Other Department Requirements

1. You must submit a copy of your local applications or plans for secondary and postsecondary

eligible recipients, which will meet the requirements in section 134(b) of the Act.

2. You must provide a description of your State’s governance structure for vocational and technical 

education, including the approximate number of eligible recipients at both secondary and 

postsecondary levels.

3. You must provide a description of the role of postsecondary career and technical education in the 

one-stop career center delivery system established by Title I of WIA. 

C. Procedural Suggestions and Planning Reminders

 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. See http://www.ed.gov/policy/sectech/guid/cte/title19911.html. 
15

States that submit a one-year transition plan must address, at a minimum, 

its plans or the State’s planning process for the following items: A1(a-c). 

States that submit a six-year State plan must address all of the items below. 

III. PROVISION OF SERVICES FOR SPECIAL POPULATIONS

Statutory Requirements

1. You must describe your program strategies for special populations listed in Section 3(29) of the 

Act, including a description of how individuals who are members of the special populations—

(a) Will be provided with equal access to activities assisted under the Act. 

(b) Will not be discriminated against on the basis of their status as members of special populations; 

and

(c) Will be provided with programs designed to enable the special populations to meet or exceed 

State adjusted levels of performance, and how you will prepare special populations for further 

learning and for high-skill, high-wage, or high-demand occupations. [Sec. 122(c)(9)(A)-(C)]

2. You must describe how you will adequately address the needs of students in alternative education 

programs, if you have such programs. [Sec. 122(c)(14)]

3. You must describe how funds will be used to promote preparation for high-skill, high-wage, or 

high-demand occupations and non-traditional fields. [Sec. 122(c)(18)]

4. You must describe how funds will be used to serve individuals in State correctional institutions. 

[Sec. 122(c)(19)]

5. You must describe how you will require each applicant for funds to include in its application a 

description of the steps the applicant proposes to take to ensure equitable access to, and 

participation in, its Federally-assisted program for students, teachers, and other program 

beneficiaries with special needs as contained in section 427(b) of the General Education Provisions 

Act as amended. For further guidance and examples, see the Notice to All Applicants at:

http://www.ed.gov/fund/grant/apply/appforms/gepa427.doc.

Other Department Requirements

There are no other Department requirements for this section of the State plan narrative.
16

C. Procedural Suggestions and Planning Reminders

 Be sure that your local applications or forms seek complete information from eligible recipients on 

their proposed programs, services, and activities for special populations. See section 134(b)(8)(A)-

(C), and 134(b)(9)-(10).

 The Act eliminated “individuals with other barriers to educational achievement” from the 

definition of special populations. See section 3(29).

 Under the State leadership set-aside, there is a cap of not more than 1 percent of the funds allotted 

to you under section 111 of the Act that can be used to serve individuals in State institutions. See 

section 112(a)(2)(A).

 You may wish to refer to Program Memorandum OVAE/DVTE 99-13 for additional background 

information concerning the reservation and use of State leadership funds for activities related to 

non-traditional training and employment.

 Your accountability system must be able to disaggregate data for each of the core indicators of 

performance under section 113(b)(2) of the Act for the categories of students described in section 

1111(h)(1)(C)(i) of the Elementary and Secondary Education Act of 1965, as amended, and section 

3(29) of the Act that are served under the Act. See section 113(c)(2)(A).
17

 

IV. ACCOUNTABILITY AND EVALUATION

States that submit a one-year transition plan must submit a five-year plan prior to the second program year. At that time, the 

Department will reach agreement on performance levels for program year two (July 1, 2008 – June 30, 2009) for the indicators 

that were not initially required for program year one (July 1, 2007 – June 30, 2008). The Department will issue further guidance 

to States prior to the required submission of the five-year plan.

States that submit a transition plan, along with their eligible recipients, will not be subject to sanctions under sections 123(a) and 

(b) of the Act for the first program year for the core indicators that are not required. 

A. Statutory Requirements

1. You must describe procedures you will use to obtain input from eligible recipients in establishing 

measurement definitions and approaches for the core indicators of performance for career and 

technical education students at the secondary and postsecondary levels, as well as for any other 

additional indicators of performance identified by the eligible agency. [Sec. 113(b)(1)(A)-(B), sec. 

113(b)(2)(A)-(C)]

2. You must describe the procedures you will use to obtain input from eligible recipients in 

establishing a State adjusted level of performance for each of the core indicators of performance 

for career and technical education students at the secondary and postsecondary levels, as well as 

State levels of performance for any additional indicators of performance identified by the eligible 

agency. [Sec. 122(c)(10)(A), sec. 113(b)(3)(B)]

3. You must identify, on the forms in Part C of this guide, the valid and reliable measurement 

definitions and approaches that you will use for each of the core indicators of performance for 

career and technical education students at the secondary and postsecondary/adult levels, as well as 

any additional indicators of performance identified by the eligible agency, that are valid and 

reliable. You must describe how your proposed definitions and measures are valid and reliable. 

[Sec. 113(b)(2)(A)-(B)] 

Section 113(b) of the Act describes the measures that a State must use for student attainment of 

challenging academic content standards and student academic achievement standards in 

reading/language arts and mathematics (1S1 and 1S2, respectively) and student graduation rates 

(4S1). Based on our non-regulatory guidance, we have prepopulated the measurement definitions 

on the Final Agreed Upon Performance Levels (FAUPL) form for your convenience. You do not 

need to describe how these definitions and measures are valid and reliable in your State plan 

narrative. A State that chooses to propose other student definitions and measurement approaches 

in its new State plan would have to describe how its proposed definitions and measures would be 

valid and reliable. (The Secretary is considering whether to issue regulations requiring a State to 

agree to use the student definitions and measurement approaches for the core indicators of 

performance for academic attainment in reading/language arts and mathematics and graduation 

rates as contained in the guidance document. If the Secretary decides to regulate on these issues 

and adopts final rules, a State may be required to amend its State plan.

4. You must describe how, in the course of developing core indicators of performance and additional 

indicators of performance, you will align the indicators, to the greatest extent possible, so that 

information substantially similar to that gathered for other State and Federal programs, or for any 

other purpose, is used to meet the Act’s accountability requirements. [Sec. 113(b)(2)(F)]
18

5. On the forms provided in Part C of this guide, you must provide, for the first two years covered by 

the State plan (July 1, 2007 – June 30, 2008 and July 1, 2008 – June 30, 2009), performance levels 

for each of the core indicators of performance, except that States submitting one-year transition 

plans are only required to submit performance levels for part of the indicators as discussed above. 

For performance levels that are required, the States’ performance levels, at a minimum, must be 

expressed in a percentage or numerical form, so as to be objective, quantifiable, and measurable; 

and require the State to continually make progress toward improving the performance of career 

and technical education students. [Sec. 113(b)(3)(A)(i)-(II)] 

Section 113(b)(2) of the Perkins Act requires a State to develop valid and reliable core indicators 

of performance, to propose performance levels in its State plan, and to reach agreement with the 

Department on “adjusted performance levels” for each of the core indicators. In so doing, the 

Perkins Act prescribes the measures that a State must use for some of the core indicators.

a. Section 113(b)(2)(A)(i) of the Perkins Act requires a State to measure career and technical 

education students’ attainment of “challenging academic content standards” and “student 

academic achievement standards” that a State adopted pursuant to section 1111(b)(1) of the 

ESEA. The Perkins Act further requires a State use its State’s academic assessments (i.e. 

the State’s reading/language arts and mathematics tests) implemented under section 

1111(b)(3) of the ESEA to measure career and technical education students’ attainment of 

these State standards. Thus, a State’s core indicators must include career and technical 

education students’ proficiency in reading/language arts and mathematics as measured 

under 1111(b)(1) and (3) of the ESEA. Accordingly, under the Perkins Act, a State must 

report the number or percent of its career and technical education students who score at the 

proficient level or above on the State’s assessments in reading/language arts and 

mathematics administered under the ESEA to measure the academic proficiency of 

secondary career and technical education students against the ESEA standards. 

To measure attainment of these standards, a State must develop and reach agreement with 

the Department on “adjusted performance levels,” which constitute the State’s performance 

targets for a program year. Permissible targets (i.e. “adjusted performance levels”) would 

be a State’s “annual measurable objectives” (AMOs) from its State’s ESEA accountability

workbook. (To ensure that a State’s schools are making “adequate yearly progress” (AYP) 

as required under section 1111(b)(2)(A) of the ESEA, section 1111(b)(2)(G) of the ESEA 

requires a State to establish Statewide AMOs, which identify a single minimum percentage 

of students who are required to meet or exceed the proficient level on the State’s academic 

assessments each year.) Under the Perkins Act, a State may propose different performance 

levels (targets) instead of its AMOs as discussed below. 

b. Section 113(b)(2)(A)(iv) of the Perkins Act requires a State to identify a core indicator to 

measure for its career and technical education students at the secondary level “student 

graduation rates (as described in section 1111 (b)(2)(C)(vi) of the [ESEA]).” Thus, a State 

must report the number or percent of its career and technical education students whom the 

State includes as graduated in its graduation rate described under the ESEA. To ensure that 

a State’s schools are making AYP as required under section 1111(b)(2)(A) of the ESEA, 

some States have established Statewide targets for graduation rates under section 

1111(b)(2)(C)(vi), and others States have defined AYP only to require improvement in the 

graduation rate each year. 
19

The Department strongly encourages your State to reach agreement on “adjusted performance 

levels” required under section 113 of the Perkins Act for the core indicators discussed in (a) 

and (b) above that are the same as your State’s AMOs or targets that your State adopted to 

ensure that your State’s schools are making AYP as required under section 1111(b)(2) of the 

ESEA. However, as noted above, your State may not have established targets for graduation 

rates under the ESEA, or your State may wish to propose performance levels for these core 

indicators that are different from your State’s targets. If so, your State must provide baseline 

data using your State’s most recent year’s achievement data or graduation rate under the 

ESEA, propose performance levels, and reach agreement with the Department on “adjusted 

performance levels.” (The Secretary is considering whether to issue regulations requiring a 

State to agree to “adjusted performance levels” under the Perkins Act that are the same as the 

State’s AMOs or targets for graduation rate under the ESEA. If the Secretary decides to 

regulate on this issue and adopts final rules, a State may be required to amend its State plan.)

6. You must describe your process for reaching agreement on local adjusted levels of performance if 

an eligible recipient does not accept the State adjusted levels of performance under section 

113(b)(3) of the Act and ensuring that the established performance levels will require the eligible 

recipient to continually make progress toward improving the performance of career and technical 

education students. [Sec. 113(b)(4)(A)(i)(II); sec. 122(c)(10)(B)]

7. You must describe the objective criteria and methods you will use to allow an eligible recipient to 

request revisions to its local adjusted levels of performance if unanticipated circumstances arise 

with respect to an eligible recipient. [Sec. 113(b)(4)(A)(vi)]

8. You must describe how you will report data relating to students participating in career and 

technical education programs in order to adequately measure the progress of the students, 

including special populations and students participating in tech prep programs, if applicable, and 

how you will ensure that the data reported to you from local educational agencies and eligible 

institutions, and the data that you report to the Secretary, are complete, accurate, and reliable. 

[Sec. 122(c)(13); sec 205].

9. You must describe how your State plans to enter into an agreement with each consortium receiving 

a grant under Perkins IV to meet a minimum level of performance for each of the performance 

indicators described in section 113(b) and 203(e) of the Act. [Sec. 204(e)(1)]

10. You must describe how you will annually evaluate the effectiveness of career and technical 

education programs, and describe, to the extent practicable, how you are coordinating those 

programs with other Federal programs to ensure non-duplication. [Sec. 122(c)(8)]

B. Other Department Requirements

1. Except as noted above with respect the States submitting one-year transition plans, you must 

provide all the information requested on the forms provided in Part C of this guide to report 

accountability data annually to the Secretary under section 113(c)(1)-(2), including:

(a) The student definitions that you will use for the secondary core indicators of performance and 

the postsecondary/adult core indicators of performance; 
20

(b) Baseline data for the core indicators of performance under section 113(b)(2) using data from 

the most-recently completed program year, except that, for the indicators for which your State 

must use your State’s standards, assessment, and graduation rates adopted under Title I of the 

ESEA, if your State chooses to use its AMOs and targets under the ESEA, you will not need to 

submit baseline data; and 

(c) Proposed performance levels as discussed above, except that, for the indicators for which your 

State must use your State’s standards, assessments, and graduation rates adopted under Title I 

of the ESEA, if your State chooses to use its AMOs and targets under the ESEA, you will only 

have to confirm this information with your Regional Accountability Specialist. Upon your 

request, the Regional Accountability Specialist will pre-populate the forms in Part C with your 

State’s AMOs and targets for the 2007-08 and 2008-09 program years and send the forms for 

you to finish completing. 

2. You must identify the program areas for which the State has technical skill assessments, the 

estimated percentage of CTE students who take technical skill assessments, and the State’s plan for 

increasing the coverage of programs and students reported in future program years.

3. Your State’s grant approval letter will incorporate your State’s final agreed upon adjusted 

performance levels (FAUPL) into your State plan, as required by section 113(b)(3)(iii) and (v). If 

your State misses meeting at least 90% of any adjusted performance level, for three or more 

consecutive years, the Secretary may condition your State’s subsequent grant on your submission 

of periodic reports on your State’s progress toward meeting its adjusted performance levels and 

implementing its improvement plan under section 123(a).

Procedural Suggestions and Planning Reminders

 The Secretary will approve a State plan, or a revision to an approved State plan, unless the 

Secretary determines that the State plan, or revision, respectively, does not meet the requirements 

of the Act. These requirements include that a State must develop valid and reliable measures for 

the core indicators of performance and establish levels of performance on the core indicators of 

performance are sufficiently rigorous to meet the purposes of the Act. See section 122(e)(1)(A)-

(B); section 113(b)(2).

 If your State has developed, prior to the date of enactment of the Act, performance measures that 

meet the requirements of section 113 of the Act, as amended by Public Law 109-270, the State 

may continue to use such performance measures to measure the progress of career and technical 

education students. See section 113(b)(2)(D).

 You will be required to prepare and submit annually to the Secretary a report on the progress of the 

State in achieving the State adjusted levels of performance on the core indicators of performance; 

and information on the levels of performance achieved by the State with respect to the additional 

indicators of performance, including the levels of performance for special populations. See section 

113(c)(1).

 With respect to future reports, your accountability system must be able to disaggregate data for 

each of the core indicators of performance under section 113(b)(2) and 203(e) of the Act, if 
21

applicable, for the categories of students described in section 1111(h)(1)(C)(i) of the ESEA and 

section 3(29) of the Act that are served under the Act. See section 113(c)(2)(A). The Department 

will issue further guidance to States on non-duplication of data. See section 113(c)(3).

 If your State does not consolidate all of its tech prep funds into its Title I grant, the State will be 

required to disaggregate data for each of the core indicators of performance under section 

113(b)(2) of the Act for tech prep students. 

 You will be required to identify and quantify any disparities or gaps in performance between any 

category of students described in section 1111(h)(1)(C)(i) of the ESEA and section 3(29) of the 

Act and the performance of all students served by the eligible agency under this Act, which must 

include a quantifiable description of the progress each such category of students served by the 

eligible agency under this Act has made in meeting the State adjusted levels of performance. See 

section 113(c)(2)(B).

 The Department will make the information contained in reports submitted by States under section 

113(c) and 205 of the Act available to the general public through a variety of formats, including 

electronically through the Internet, will disseminate State-by-State comparisons of the information, 

and will provide the appropriate committees of Congress with copies of such reports. See section 

113(c)(5)(A)-(C) and section 205.

 Your State is responsible for identifying, using national, state, or regional data, the career and 

technical education programs that lead to non-traditional fields. See section 113(b)((2)(A)(vi) and 

section 113(b)(2)(B)(v). The U.S. Department of Labor’s Bureau of Labor Statistics and Women’s 

Bureau, and the National Association of Partners in Education are several sources of information 

and data to assist States in this effort. See http://www.bls.gov/home.htm, 

http://www.dol.gov/wb/factsheets/nontra2005.htm, and http://www.napequity.org.

 Your State is responsible for identifying, using national, state, or regional data, the occupations, or 

professions that it will classify as high-skill, high-wage, or high-demand. See section 

113(b)(2)(B)(iv). The U.S. Department of Labor, Bureau of Labor Statistics, offers a wealth of 

information and data to assist States in this effort. See http://www.bls.gov/home.htm, as well as 

the Department’s Web site at http://www.edcountability.net.
22

Important Note: States receiving an allotment under sections 111 and 201 

may choose to consolidate all, or a portion of, funds received under section 

201 with funds received under section 111 in order to carry out the activities 

described in the State plan submitted under section 122. Only States that will 

use all or part of their allotment under section 201 need to complete items in 

this section of the State plan. 

 

V. TECH PREP PROGRAMS

A. Statutory Requirements

1. You must describe the competitive basis or formula you will use to award grants to tech-prep 

consortia. [Sec. 203(a)(1)]

2. You must describe how you will give special consideration to applications that address the areas 

identified in section 204(d) of the Act. [Sec. 204(d)(1)-(6)]

3. You must describe how you will ensure an equitable distribution of assistance between urban and 

rural consortium participants. [Sec. 204(f)]

4. You must describe how your agency will ensure that each funded tech prep program—

(a) Is carried out under an articulation agreement between the participants in the consortium, as 

defined in section 3(4) of the Act;

(b) Consists of a program of study that meets the requirements of section 203(c)(2)(A)-(G) of the 

Act;

(c) Includes the development of tech prep programs for secondary and postsecondary education 

that meet the requirements of section 203(c)(3)(A)-(D) of the Act;

(d) Includes in-service professional development for teachers, faculty, and administrators that 

meets the requirements of section 203(c)(4)(A)-(F) of the Act.

(e) Includes professional development programs for counselors that meet the requirements of 

section 203(c)(5)(A)-(F) of the Act;

States that submit a one-year transition plan that includes Title II tech prep 

programs must address, at a minimum, its plans or the State’s planning process 

for the following items: A(1);B(1); and B(2). States that submit a six-year 

State plan that includes Title II tech prep programs must address all of the 

items below. 

NOTE: In view of the fact that States no longer receive funding under Title II of 

Perkins IV (Tech Prep Education Grants), States will not submit paperwork related to 

Title II grants.
23

(f) Provides equal access to the full range of technical preparation programs (including preapprenticeship programs) to individuals who are members of special populations, including the 

development of tech-prep program services appropriate to the needs of special populations 

[Sec. 203(c)(6)]; 

(g) Provides for preparatory services that assist participants in tech-prep programs [Sec. 

203(c)(7)]; and 

(h) Coordinates with activities under Title I. [Sec. 203(c)(8)]

5. You must describe how your State plans to enter into an agreement with each consortium receiving 

a grant under Perkins IV to meet a minimum level of performance for each of the performance 

indicators described in sections 113(b) and 203(e) of the Act. [Sec. 204(e)(1)]

B. Other Department Requirements

1. You must submit 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.

C. Procedural Suggestions and Planning Reminders

 Non-supplanting requirements apply to Title II tech prep programs. See section 311(a).

 State expenditures for Title II tech prep programs are a part of the maintenance of effort 

calculations originally required by the Act. See section 311(b).

 State administrative costs are still limited to those costs that are “reasonable and necessary.” 

See OVAE’s program memo at http://www.ed.gov/programs/techprep/tpmemo5192000.html.

 Title II funds may not be used for State leadership activities. See OVAE’s program memo at 

http://www.ed.gov/programs/techprep/tpmemo5192000.html. 

 You will be required to prepare and submit annually to the Secretary a report on the effectiveness 

of the tech prep programs assisted under Title II. See section 205.
24

NOTE: In view of the fact that States no longer receive funding under Title II of 

Perkins IV (Tech Prep Education Grants), States will not submit paperwork related to 

Title II grants.

All States must complete this entire section.

VI. FINANCIAL REQUIREMENTS

 

A. Statutory Requirements

1. You must describe how your agency will allocate funds it receives through the allotment made 

under section 111 of the Act, including any funds that you choose to consolidate under section 

202(a) of the Act, will be allocated among career and technical education at the secondary level, or 

career and technical education at the postsecondary and adult level, or both, including the rationale 

for such allocation. [Sec. 122(c)(6)(A); Sec. 202(c)]

2. You must provide the specific dollar allocations made available by the eligible agency for career 

and technical education programs under section 131(a)-(e) of the Act and how these allocations are 

distributed to local educational agencies, area career and technical education schools, and 

educational service agencies within the State. [Sec. 131(g); Sec. 202(c)]]

3. You must provide the specific dollar allocations made available by the eligible agency for career 

and technical education programs under section 132(a) of the Act and how these allocations are 

distributed to postsecondary institutions within the State. [Section 122(c)(6)(A); Sec. 202(c)]

4. You must describe how your agency will allocate any of those funds among any consortia that will 

be formed among secondary schools, and how funds will be allocated among the members of the 

consortia, including the rationale for such allocation. [Sec. 122(c)(6)(B); Sec. 202(c)]

5. You must describe how your agency will allocate any of those funds among any consortia that will 

be formed among postsecondary institutions, and how funds will be allocated among the members 

of the consortia, including the rationale for such allocations. [Section 122(c)(6)(B); sec. 202(c)]

6. You must describe how you will adjust the data used to make the allocations to reflect any change 

in school district boundaries that may have occurred since the population and/or enrollment data 

was collected, and include local educational agencies without geographical boundaries, such as 

charter schools and secondary schools funded by the Bureau of Indian Affairs. [Sec. 131(a)(3)] 

7. You must provide a description of any proposed alternative allocation formula(s) requiring 

approval by the Secretary as described in section 131(b) or 132(b) of the Act. At a minimum, you 

must provide an allocation run for eligible recipients using the required elements outlined in 

section 131(a) and/or section 132(a)(2) of the Act, together with an allocation run using the 

proposed alternative formula(s). Also you must include a demonstration that the alternative 

secondary formula more effectively targets funds on the basis of poverty, as described in section 

131(b)(1) of the Act; and/or, in the case of an alternative postsecondary formula, a demonstration 

that the formula described in section 132(a)(2) of the Act does not result in a distribution of funds 

to eligible recipients that have the highest numbers of economically disadvantaged individuals and 

that an alternative formula would result in such a distribution.

 
25

B. Other Department Requirements

1. You must submit a detailed project budget, using the forms provided in Part B of this guide. 

2. You must provide a listing of allocations made to consortia (secondary and postsecondary) from 

funds available under sections 112(a) and (c) of the Act. 

3. You must describe the secondary and postsecondary formulas used to allocate funds available 

under section 112(a) of the Act, as required by section 131(a) and 132(a) of the Act. 

4. You must describe the competitive basis or formula to be used to award reserve funds under 

section 112(c) of the Act. 

5. You must describe the procedures used to rank and determine eligible recipients seeking funding 

under section 112(c) of the Act.

6. You must include a description of the procedures used to determine eligible recipients in rural and 

sparsely populated areas under section 131(c)(2) or 132(a)(4) of the Act.

C. Procedural Suggestions and Planning Reminders

 Funds received under the Act may not be used to provide career 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 by such students. See section 315.

 States must meet maintenance of fiscal effort requirements, on either per student or aggregate 

expenditure basis. See section 311(b)(1)(A).

 No funds made available under the Act may be used to require any secondary school student to 

choose or pursue a specific career path or major. See section 314(1).

 No funds made available under the Act may be used to mandate that any individual participate in a 

career and technical education program, including a career and technical education program that 

requires the attainment of a federally funded skill level, standard, or certificate of mastery. See 

section 314(2).

 All funds made available under the Act must be used in accordance with the Act. See section 6.

 Funds made available under the Act for career and technical education activities may supplement, 

and not supplant, non-Federal funds expended to carry out career and technical education activities 

and tech prep activities. See section 311(a).

 No funds provided under the Act may 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. See section 322.
26

 The portion of any student financial assistance received under the Act that is made available for 

attendance costs may 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. See section 

324(a).

 Funds made available under the Act may be used to pay for the costs of career and technical 

education services required in an individualized education program 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 career and technical education. See section 324(c).
27

All States must complete this entire section.

VII. EDGAR CERTIFICATIONS AND OTHER ASSURANCES

A. EDGAR Certifications

1. You must provide a written and signed certification that—

(a) The plan is submitted by the State agency that is eligible to submit the plan. [34 CFR 

76.104(a)(1)] [Note: The term ‘eligible agency’ means a State board designated or created 

consistent with State law as the sole State agency responsible for the administration, or the 

supervision of the administration, of career and technical education in the State. See Sec. 

3(12).]

(b) The State agency has authority under State law to perform the functions of the State under the 

program. [34 CFR 76.104(a)(2)] 

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

(d) All provisions of the plan are consistent with State law. [34 CFR 76.104(a)(4)] 

(e) 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)] [Note: 

If a State wishes for the Department to continue sending the grant award documents directly to 

the State director, this individual’s title needs to be listed on this portion of the assurance.]

(f) 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)]

(g) The agency that submits the plan has adopted or otherwise formally approved the plan. [34 

CFR 76.104(a)(7)]

(h) The plan is the basis for State operation and administration of the program. [34 CFR 

76.104(a)(8)]

B. Other Assurances

1. You must submit a copy of the State plan to the State office responsible for the Intergovernmental 

Review Process if your State implements that review process under Executive Order 12372. [See 

34 CFR Part 79]

2. You must provide a complete and signed ED Form 80-0013 for certifications regarding lobbying; 

[See 34 CFR Part 82]. To download ED Form 80-0013, and the SF LLL Form (Disclosure of 

Lobbying Activities) referred therein, See: 

http://www.ed.gov/fund/grant/apply/appforms/appforms.html
28

3. You must provide a complete and signed Assurance for Non-Construction Programs Form. 

[See http://www.ed.gov/fund/grant/apply/appforms/appforms.html] 

4. You must provide a signed assurance that you will comply with the requirements of the Act and 

the provisions of the State plan, including the provision of a financial audit of funds received under 

the Act which may be included as part of an audit of other Federal or State programs. 

[Sec. 122(c)(11)]

5. You must provide a signed assurance that none of the funds expended under the Act 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 acquiring 

entity or the employees of the acquiring entity, or any affiliate of such an organization. [Sec. 

122(c)(12)]

6. You must provide a signed assurance that your State will waive the minimum allocation as 

required in section 131(c)(1) in any case in which the local educational agency is located in a rural, 

sparsely populated area or is a public charter school operating secondary school career and 

technical education programs and demonstrates that it is unable to enter into a consortium for 

purposes of providing services under the Act. [Section 131(c)(2)]

7. You must provide a signed assurance that your State will provide, from non-Federal sources for 

the costs the eligible agency incurs for the administration of programs under this Act, an amount 

that is not less than the amount provided by the eligible agency from non-Federal sources for such 

costs for the preceding fiscal year. [Sec. 323(a)]

8. You must provide a signed assurance that your State and eligible recipients that use funds under 

this Act for in-service and pre-service career and technical education professional development 

programs for career and technical education teachers, administrators, and other personnel shall, to 

the extent practicable, upon written request, permit the participation in such programs of career 

and technical education secondary school teachers, administrators, and other personnel in nonprofit 

private schools offering career and technical secondary education programs located in the 

geographical area served by such eligible agency or eligible recipient. [Sec. 317(a)]

9. You must provide a signed assurance that, except as prohibited by State or local law, that an 

eligible recipient may, upon written request, use funds made available under this Act to provide for 

the meaningful participation, in career and technical education programs and activities receiving 

funds under this Act, of secondary school students attending nonprofit private schools who reside 

in the geographical area served by the eligible recipient. [Sec. 317(b)(1)]

10. You must provide a signed assurance that eligible recipients that receive an allotment under this 

Act will consult, upon written request, in a timely and meaningful manner with representatives of 

nonprofit private schools in the geographical area served by the eligible recipient regarding the 

meaningful participation, in career and technical education programs and activities receiving 

funding under this Act, of secondary school students attending nonprofit private schools. 

[Sec. 317(b)(2)]
29

C. Procedural Suggestions and Planning Reminders

 EDGAR regulations implementing the Drug-Free Workplace Act of 1988 (41 U.S.C. 701 et seq., 

as amended) are provided in 34 CFR Part 84, “Government-wide Requirements for Drug-Free 

Workplace (Financial Assistance).” Changes in this Government-wide requirement (adopted in 

the November 26, 2003 Federal Register Notice) now implement this as a condition of the award. 

See 34 CFR 84.400. 

 EDGAR regulations implementing Executive Orders 12549 and 12689 and Section. 2455 of the 

Federal Acquisition Regulation are provided in 34 CFR Part 85, “Government-wide Debarment 

and Suspension (Non-procurement).” Changes in this Government-wide requirement (adopted in 

the November 26, 2003 Federal Register Notice) now implement this as a condition of the award. 

See 34 CFR 85.440. You are also responsible for including a condition in any sub-grant and 

contract that meets the definition for a covered transaction a condition that the lower tier 

participant must comply with the regulations in part 85. See 34 CFR 85.330.

 Under EDGAR regulations at 34CFR 85.320, your State is responsible for determining whether 

any of your principals of your covered transactions (i.e. sub-grants or contracts) is excluded or 

disqualified from participating in the transaction. See 34 CFR 85.320. You may decide the 

method and frequency by which you do so. You may, but are not required to, check the Excluded 

Parties List System at the following site: http://www.epls.gov/.
30

PART B: BUDGET FORMS
31

INSTRUCTIONS 

On the attached budget tables, you must identify:

I. Title I: Career and Technical Education Assistance to States

Line I.A The amount of Title I funds available under section 112(a).

Line I.B The amount of Title II funds, if any, to be consolidated with Title I funds as described in 

section 202(a) and (b).

Line I.C The total amount of combined Title I and Title II funds.

Line I.D The percent and amount, if any, slated for eligible recipients under section 112(a)(1).

Line I.D.1 The amount, if any, to be reserved under section 112(c).

Line I.D.1.a The percent and amount reserved for secondary recipients.

Line I.D.1.b The percent and amount reserved for postsecondary recipients.

Line I.D.2 The amount to be made available for eligible recipients for under section 112(a)(1) by the 

allocation formulas addressed in sections 131 and 132.

Line I.D.2.a The percent and amount slated for secondary recipients. 

Line I.D.2.b The percent and amount slated for postsecondary recipients. 

Line I.E. The percent and amount to be made available for State leadership under section 112(a)(2).

Line I.E.1 The amount to be made available for services to prepare individuals for non-traditional 

fields under section 112(a)(2)(B).

Line I.E.2 The amount to be made available to serve individuals in State institutions, as described in 

section 112(a)(2)(A).

Line I.F The percent and amount to be expended for State administration under section 112(a)(3).

Line I.G The amount to be expended for matching of Federal expenditures for State administration 

under sections 112(b) and 323.

NOTE: In view of the fact that States no longer receive funding under Title II of Perkins IV 

(Tech Prep Education Grants), States will not submit paperwork related to Title II grants.
32

II. Title II: Tech Prep Programs

Line II.A The amount of funds available under section 201(a).

Line II.B The amount of Title II funds, if any, to be consolidated with Title I funds as described in section 

202(a).

Line II.C The total amount of funds to be used for Title II tech-prep programs.

Line II.D The amount of funds to be made available for tech-prep consortia under section 203.

Line II.D.1 The percent of funds to be made available for tech-prep consortia under section 203.

Line II.D.2 The number of tech-prep consortia to be funded.

Line II.E The amount to be expended for State administration under Title II.

Line II.E.1 The percent of funds to be expended for State administration under Title II.
33

FY 2010 PERKINS IV BUDGET FORMAT

(For Federal Funds that Become Available Beginning on July 1, 2010)

STATE NAME: 

Item

(Note: Insert dollar amounts or values where requested with 

lines below)

Amount

Title I – State Basic Grant

Title I Allocation $ 

Title II Funds Consolidated with Title I Funds $ 

Total Title I Funds (Title I Allocation + Consolidated Title II 

Funds)

$ 

Local Formula Distribution (not less than 85% of total 

Title I funds)

$

Reserve (not more than 10% of the 85% of funds for local 

distribution)

$

Secondary programs (__ __% of funds) $ 

Postsecondary programs (__ __% of funds) $ 

Remainder for local distribution (85% of the funds for 

local distribution less any funds reserved)

$

Secondary programs (__ __% of funds) $ 

Postsecondary programs (__ __% of funds) $ 

State Leadership (not more than 10% of the total Title I 

funds)

$ 

Nontraditional training and employment (between $60,000 and 

$150,000)

$

Corrections or institutions (not more than 10% of state 

leadership funds)

$

State Administration (not more than 5% of the total Title I 

funds)

$ 

State Administrative Match (from non-federal funds)1 $ 

Item

(Note: Insert dollar amounts or values where requested with 

lines below)

Amount

Title II—Tech Prep Education

 

1 The eligible agency must provide non-federal funds for State administration of the Perkins IV, Title I grant in an amount not less 

than the amount it provided in the preceding year pursuant to section 323 of Perkins IV. 

NOTE: In view of the fact that States no longer receive funding under Title II of Perkins IV (Tech 

Prep Education Grants), States will not submit paperwork related to Title II grants.
34

Title II Allocation $ 

Title II Funds Consolidated with Title I Funds

 Check here if you did not consolidate any Title II funds 

 last year

$ 

Total Title II Funds (Title II Allocation - Consolidated Title II 

Funds)

$ 

Administration (amount as “reasonable and necessary”) $ 

Percent of funds for administration %

Remainder for consortia (Title II funds less any funds for 

administration)

$ 

Number of consortia 

Method of distribution (check one):

 Formula 

 Competitive
35

PART C: ACCOUNTABILITY FORMS
36

INSTRUCTIONS For Completion of the Definitions and Final Agreed Upon Performance Level 

(FAUPL) form:

I. Definitions of Student Populations

You must provide (page 52) the career and technical education (CTE) student definitions that you will use 

for the secondary and postsecondary/adult core indicators of performance, e.g., “CTE participants” and 

“CTE concentrators.” These are the students on which you will report data annually to the Secretary 

under section 113(c)(1)-(2) of the Act. 

II. Identification of Measurement Definitions/Approaches

In Columns 2 and 3 of the “Final Agreed Upon Performance Levels” (FAUPL) forms on pages 53-55, you 

must provide your valid and reliable measurement definitions and approaches, respectively, for each of the 

core indicators of performance required under section 113(b) of the Act. Each definition must contain a 

description of the numerator (the number of individuals achieving an outcome) and a denominator (the 

number of individuals seeking to achieve an outcome). As discussed above in Part A, Section IV, A.3, 

based on our non-regulatory guidance, we have pre-populated the FAUPL form with the measurement 

definitions and approaches for the core indicators to measure student attainment of challenging academic 

content standards and student academic achievement standards in reading/language arts and mathematics 

under the ESEA (1S1 and 1S2, respectively) and student graduation rates under the ESEA (4S1). A State 

may choose to propose other student definitions and measurement approaches, but it would have to 

describe in its new State plan how it’s proposed definitions and measures would be valid and reliable. 

III. Baseline Data

In Column 4 of the FAUPL forms, you must provide baseline data, using data for the most recently 

completed program year (July 1, 2008 – June 30, 2009), on the performance of career and technical 

education students on each of the core indicators of performance, except that, for the indicators for which 

your State must use your State’s standards, assessments, and graduation rates adopted under Title I of the 

ESEA, if your State chooses to use its AMOs and targets under the ESEA, you will not need to submit 

baseline data. 

IV. Performance Levels

In Columns 5 - 10 of the FAUPL forms, you must provide proposed levels of performance for each of the 

core indicators of performance for the first four program years (July 1, 2007 – June 30, 2011) as required 

under section 113(b)(3)(ii) of the Perkins Act, except that, for the indicators for which the State must use 

its State’s standards, assessments, and graduation rates adopted under Title I of the ESEA, a State that 

chooses to use its AMOs or targets under the ESEA will only have to confirm this information with its 

OVAE Regional Accountability Specialist. In submission year 2011, states will provide performance 

levels for the remaining 2 program years (July 1, 2011 – June 30, 2013) for each of the core indicators of 

performance.. The Regional Accountability Specialist has pre-populated the forms in Part C with the 

State’s AMOs or targets for each program year. 

(This information, which States have entered in previous years, is now carried forward 

year to year in the electronic FAUPL). FAUPL performance level negotiations are 

done on line and specific training and guidance is provided to States prior to each State 

Plan Submission. 
37

V. State Confirmation of Final Agreed Upon Performance Levels

After you reach agreement with the Department on your State’s final agreed upon adjusted performance 

levels for each program year, you will be asked to confirm these levels via e-mail submission of your 

State’s FAUPL form. Your State’s final agreed upon performance levels for the first two program years 

for the ESEA indicators was incorporated into your State plan and your July 1, 2009 Perkins grant award. 

Submission requirements for the remaining years of the legislation will consist of a budget submission and 

any revisions to the State Plan. Prior to the fourth year of the legislation (FY 2011), states are required to 

submit and negotiate performance levels for program year five and six, respectively, for the core 

indicators of performance described in section 113(b) of Perkins IV. See Part C of the State Plan Guide.

 
38

I. Student Definitions

A. Secondary Level

Participants –

Concentrators –

B. Postsecondary/Adult Level

Participants –

Concentrators –
39

II. FINAL AGREED UPON PERFORMANCE LEVELS FORM (FAUPL)