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 Da te:**  **06/30/2013**

**Public Burden Statem ent:**  According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless su ch collection displays a valid OMB control number. Public reporting burden for this coll ection 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 obl igation 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 suggest ions 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, w rite directly to: Dr. Edw ard R. Smith, Chief, Program Administration Branch, Division of Academic and Technical Education, Office of Vocational and Adult Education, U.S. Department of Education, 550 12 th Street, SW, Potomac Center Plaza, Room 11060, Washington, DC 20202

- 7241.2 

### TABLE OF CONTENTS
**INTRODUCTION**
................................ ................................ ................................ ................. 3 **COVER PAGE**
................................ ................................ ................................ ...................... 5 **CHECKLIST OF STATE PLAN SUBMISSI ON 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
................................ ................................ ................................ ..... 2 2 Fin ancial Requirements
................................ ................................ ............................... 2 4 EDGAR Certifications and Other Assurances
................................ ............................. 27 **PART B: BUDGET FORMS**
................................ ................................ ............................ 3 0 **PART C: ACCOUNTABILITY FORMS**
................................ ................................ ........ 3 5 I. Student Definitions
................................ ................................ .......................... 38 A. Secondary

L evel
................................ ................................ ......................... 38 B. Postsecondary

/Adult Level
................................ ................................ ........ 38 II. Final Agreed Upon Performance Levels (FAUPL) Fo rm ................................ 393 **INTRODUCTION** The Office of Vocational and Adult Education (OVAE) developed this guide to assist y ou 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 . a s amended by P.L . 109
- 270. Sections 122(a) ( 1) and 201(c) require each eligible agency desiring assistance under Titles Iand II, respectively , for any fiscal y ear to prepare and submit to the Secretary a State plan for a 6

- ye ar period, except that, during the first fiscal y ear 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 one

ye ar 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 21 st century . Signed into law on August 12, 2006, the Act represents nearl y 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 a ll 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 t echnical 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 Sta te 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 EDGA R 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 yo ur State plan submission
. Upon approval of the above discussed State Plan (y ear 2 of the legislation), submission requirements for each of the four remaining ye ars of the legislation will consist of a budget submission and any revisions to the State Plan. Prior to the third and fifth y ears 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 provi ded 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 in dicated above, each State has several options in preparing its State plans. A State may complete a one

ye ar transition plan, a six

- ye ar 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

- ye ar 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

- ye ar plan must complete each item in this guide. An y State that wishes to submit a unified plan must follow any

instructions and submission requirements provided by the Employ

ment 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).4 Section 202 of the Act provides each State with the option to con solidate 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 y ear to change whether it will or will not continue to consolidate its tech prep funds. The Department will issue , via program memorandum , each ye ar 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 ye ars) no later than close of business (5:00 pm EST) in accordance with EDGAR 76.703 (b)(3)(ii) , of each submission y ear. State plans may be entered into the electronic Per kins IV State Plan Database www.perkinsinfo.com/stateplans20(y ear of submission)
. Y ou 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 Educatio n U.S. Department of Education 550 12 th 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 ye ars. Staff of the Division of Academic and Technical Education (DATE), particularl y your State Liaisons and Regional Accountability

Specialists, are available at an y 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 Nam e: ______________________**  **Eligible Agency Submitting Plan on Behalf of State:**

**Person at, or representing, the eligible agency responsible for answering questions on this plan:** Signature: Nam e: Posi tion: Telephone: ( ) Em ail: **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):** ___ Unifi ed

- Secondary and Postsecondary ___ Unified

- Postsecondary Only ___ Title I only (

All Title II funds have been consolidated under Title I ) ___ Title I and Title II6 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**  **201 3**  **Year 201**  **4 Year**  **201 5**  **PART A: STATE PLAN NARRATIVE** Pla nning, Coordination, and Collaboration Prior to State Pla n 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 Ad ministration 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 Re visions

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 performan ce 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 that7 

### State Plan **Items Six** 

**- Year**  **Plan 2007**  **or 2008 One**  **- Year** 

**Transition Plan 2007**  **Year**

**2009 Year**  **2010 Year**  **2011 Year**  **2012 Year**  **201 3**  **Year 201**  **4 Year**  **201 5**  Certifications and Other Assurances requi red 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 p ortion 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

r equired 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 FO RMS**  Definitions All items

required All items

required An y

revisions An y

revisions An y

revisions An y

revisions An y

revisions An y

revisions An y

revisions Final Agreed Upon Performance Levels (FAUPL) Form

– Secondary Level All items

requir ed 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 20168 

# PART A: STATE PLAN NARRATIVE9

**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 pl** 

**an 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 consi stent with State law, employ ers, 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 recom mendations 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 gui dance 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 L aw 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 ac tivities 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 an y 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

- ye ar postsecondary institutions primarily

engaged in providing postsecondary career and technical education, and th e 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 b y section 122(b)(1)(A

- B) and section 1 22(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 s ys tem e stablished 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

s y stem.  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 an y, and the amount and uses of funds reserved for services that prepare individua ls for nontraditional training and emplo ym ent 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 a**  **ddress 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

- ye ar 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 p lanning for and completing future coursework, for career and technical content areas that

— i. In corporate secondary education and postsecondary education elements; ii. In clude 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 op portunity

for secondary

education students to participate in dual or concurrent enrollment programs or other way s to acquire postsecondary education credits; and iv. L ead 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 imple menting 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) Th e 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) T he 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 t echnical skill attainment; and iii. Id entify

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 seconda ry 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

- dem and 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 a ligned with rigorous and challenging academic content standards and student academic achievement standards adopted b y 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 emplo ym ent 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 und er Title II and other eligible recipients to improve program qualit y 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 effectivel y 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 adequatel y evaluate the extent of such integration. [Sec. 122(c)(1)(A)

- (L)] 3. You must describe how comprehensive professional development (including initial teac her 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 co herent 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) In crease s the percentage of teachers that meet teacher certification or licensing requirement s ; (c) Is high qualit y, sustained, intensive, and focused on instruction, and increases the academic knowledge and understanding of industry standards, as appropriate, of career and technical13

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 po pulations; 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. [S ec. 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, includi ng 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, facult y, 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 p rograms, including b y 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) E nsure 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 occupati onal 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 th e 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 s ys tem 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 on e - 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 ite** **ms 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) W ill 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 populati ons 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 adequatel y 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 s teps 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 Provi sions 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 Requirement s 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 propos ed 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 employ ment.  Your accountability

s ys tem must be able to disaggregat e 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 th at 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** 

**– Ju**  **ne 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 transi** **tion 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 pe rformance 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 an y additional indicators of performance identified by the eligible a gency . [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 technica l 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 y our proposed definitions and measures are vali d 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, respectivel y) and student graduation rates (4S1). Based o n 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 y our 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 definit ions 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 i n 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 th e course of developing core indicators of performance and additional indicators of performance, y ou 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 an y 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 y ears covered b y the State plan (July

1, 2007

– June 30, 2008 and Jul y 1, 2008

– June 30, 2009), performance levels for each of the core indicators of performance, except that States submitting one

- year transition plans are onl y required to submit performance levels for part of the indicators as discussed above. For perfor

mance 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 f urther 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 stand ards. 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 f or a program y ear. 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 y earl y 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 S tate’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 graduati on 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 ye ar’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 wheth er 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 fi nal 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 continuall y 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 t ech 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 2 05]. 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

- du plication. [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 ac countability

data annually

to the Secretary

under section 113(c)(1)

- (2), including: (a) The student definitions that y ou will use for the secondary core indicators of performance and the postsecondary

/adult core indicators of performance;20

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

- recentl y completed program ye ar, except that, for the indicators for which your State must use your State’s standards, assessment, and graduation rates adopted under Titl e 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 y our State must use y our State’s s tandards, 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 Accountabilit y 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 ye ars and send the forms for yo u 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 y ears. 3. Your State’s grant app roval letter will incorporate your State’s final agreed upon adjusted performance levels (FAUPL ) into your State plan, as required b y s ection 113(b)(3)(iii) and (v). If yo ur State misses meeting at least 90% of an y adjusted performance level, for three or more consecutive ye ars, the Secretary may condition your State’s subsequent grant on y our submission of periodic reports on yo ur State’s progress toward meeting its adjusted performance levels and implementing its improvement plan under section 123(a). P rocedural 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, respectivel y, does not meet the requirements of the Act. Thes e 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 se ction 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 b y Public Law 109

- 270, the State may continue to use s uch 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 adjus ted levels of performance on the core indicators of performance; and information on the levels of performance achieved b y 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 sy stem 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, if21

applicable, for the categories of students des cribed 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 d oes not consolidate all of its tech prep funds into its Title Igrant, 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

an y disparities or gaps in performance between an y 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 b y the eligible agency under this Act, which must include a quantifiable description of the progress each such category of students served b y 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 info rmation contained in reports submitted by States under section 113(c) and 205 of the Act available to the general public through a variet y 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 educatio n 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 htt p://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 .ne t.22

**Important Note :**  **States receiving an allotment under sec tions 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 us**  **e 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) In cludes 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) In cludes in

- service professional development for teachers, faculty , and administrators that meets the requirements of section 203(c)(4)(A)

- (F) of the Act. (e) In cludes 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 pl anning 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 receiv e**  **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 p re apprenticeship 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 par

ticipants 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 con sortia and a cop y 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 necessa ry .” 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 receiv**  **e 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 an y funds that you choose to consolidate under section 202(a) of the Act, will be allocated among career and technical education at the secondary leve l, 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 b y the eligible agency for c areer 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 b y 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 an y 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 an y consortia that will be formed among postsecondary institutions, and how funds will be allo cated 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 boundarie s 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 b y the Bureau of Indian Affairs. [Sec. 131(a)( 3)] 7. You must provide a description of an y proposed alternative allocation formula(s) requiring approval b y the Secretary as described in section 131(b) or 132(b) of the Act. At a minimum, y ou must provide an allocation run for eligible recipients us ing 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 effectiv el y targets funds on the basis of povert y, 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 distributi on of funds to eligible recipients that have the highest numbers of economicall y 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 provi de 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 sparsel y populated areas under section 131(c)(2) or 132(a)(4) of the Act. **C. Procedural Sugges**  **tions 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

su ch students. See section 315.  States must meet maintenance of fiscal e ffort 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 federall y 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 directl y providing incentives or inducements to an employ er 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 t he business enterprise is located before such incentives or inducements are offered. See section 322.26

 The portion of an y 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 an y 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 eq ual 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 eli gible 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 legall y ma y 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 offi cer 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 p rocess under Executive Order 12372. [See 34 CFR Part 79] 2. You must provide a complete and signed ED Form 80

- 0013 for certifications regarding lobb yi ng; [See 34 CFR Part 82 ] . To download ED Form 80

- 0013, and the SF LLL Form (Disclosure of Lobb yi ng Activit ies) referred therein, See: http://www.ed.gov/fund/grant/apply /appforms/appforms.html28

3. You must provide a complete and signed Assurance for Non

- Construction Programs Form. [See http://www.ed.gov/fund/grant/appl y/ 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 re ceived 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 (inclu ding computer software) in an y instance in which such acquisition results in a direct financial benefit to an y organization representing the interests of the acquiring entity or the employ ees of the acquiring entity , or any affiliate of such an organizatio n. [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 an y case in which the local educational agency is located in a rural, sparsel y populated area or is a public ch arter 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 y ear. [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 car eer 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 oth er 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 thi s Act, of secondary school students attending nonprofit private schools who reside in the geographical area served b y the eligible recipient. [Sec. 317(b)(1)] 10. You must provide a signed assurance that eligible recipients that receive an allotment under th is Act will consult, upon written request, in a timely and meaningful manner with representatives of nonprofit private schools in the geographical area served b y the eligible recipient regarding the meaningful participation, in career and technical educati on 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

- F ree 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 Fede ral Register Notice) now implement this as a condition of the award. See 34 CFR 84.400.  EDGA R 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 inc luding 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, y our 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 L ist Sy stem at the following site: http://www.epls.gov/
.30



# PART B: BUDGET FORMS31 **INSTRUCTIONS**

On the attached b udget 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 fun ds as described in

section 202(a) and (b). Line I.C The total amount of combined Title Iand 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 r eserved 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) b y 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 per cent 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**  **receiv e**  **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 avai lable for tech

- prep consortia under section 203. Line II.D.2 The number of tech

- prep consortia to be funded. Line II.E The amo unt to be expended for State administration under Title II. Line II.E.1 The percent of funds to be expended for State adminis tration 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)**  **Am ount** 

**Title I**

**– State Ba**  **sic 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 mor e 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 in stitutions**  **(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 request**  **ed with lines below)**  **Am ount** 

**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 receiv**  **e funding under Title II of Perkins IV (Tech**  **Prep Education Gra nts)**  **, 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 Al location**  **- 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 Competitive35 

# PART C: ACCOUNTABILITY FORMS36 **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.” T hese are the students on which you will report data annuall y 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 numerat or (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, res pectivel y) 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 FAUPLforms, you must provide baseline data, using data for the most recentl y completed program y ear (July 1, 2008

– June 30, 2009), on the performance of career and technical education students on each o f the core indicators of performance, except that, for the indicators for which yo ur State must use y our 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 ESE A, 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 ye ars (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
. Insubmission y ear 2011, states will provide performance levels for the remaining 2 program ye ars (July 1, 2011

– June 30, 2013) fo r each of the core indicators of performance
. . The Regional Accountabilit y 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 y ears, is now carried forward ye ar to y ear 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 performanc e levels for the first two program y ears for the ESEA indicators was incorporated into your State plan and your July 1, 20 09 Perkins grant award. S ubmission requirements for the remaining ye ars of the legislation will consist of a budget submission and any revisions to the State Plan. Prior to the fourth ye ar of the legislation (FY 201 1 ) , states are required to submit and negotiate performance levels for program ye ar five and six, respectivel y, for the core indicators of performance described in section 1 13(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 F**  **ORM (FAUPL)**