1

ATTACHMENT 

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: 03/31/2010

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

displays a valid OMB control number. The valid OMB control number for this information collection is 1830-0029. The time 

required to complete this information collection is estimated to average 39 hours per response, including the time to review

instructions, search existing data resources, gather, and maintaining the data needed, and complete and review the information 

collection. If you have any comments concerning the accuracy of the time estimate(s) or suggestions for improving this form,

please write to: U.S. Department of Education, Washington, DC 20202-4651. If you have comments or concerns regarding 

the status of your individual submission of this form, write directly to: 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.
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TABLE OF CONTENTS

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

COVER PAGE ..................................................................................................................... 6

CHECKLIST OF STATE PLAN SUBMISSION REQUIREMENTS ........................... 7

PART A: STATE PLAN NARRATIVE ......................................................................... 10

Planning, Coordination, and Collaboration Prior to Plan Submission........................ 11

Program Administration.............................................................................................. 13

Provision of Services for Special Populations............................................................ 18

Accountability and Evaluation.................................................................................... 20

Tech Prep Programs.................................................................................................... 26

Financial Requirements............................................................................................... 28

EDGAR Certifications and Other Assurances............................................................ 31

PART B: BUDGET FORMS ........................................................................................... 34

PART C: ACCOUNTABILITY FORMS ....................................................................... 39

I. Student Definitions ......................................................................................... 42

A. Secondary Level........................................................................................ 42

B. Postsecondary/Adult Level........................................................................ 42

II. Final Agreed Upon Performance Levels (FAUPL) Form............................... 43

A. Secondary Level........................................................................................ 43

B. Postsecondary/Adult Level ....................................................................... 45
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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 one-year 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 

one-year 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 
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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).

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. 
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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 submitted in one of three ways: (1) 

e-mailed to Perkins20(year of submission)@ed.gov; (2) entered into the electronic Perkins IV 

State Plan Database www.perkinsinfo.com/stateplans20(year of submission); or (3) mailed to the 

submission address below. 

If you choose to transmit your plan electronically, 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.
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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: 
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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
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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

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

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

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

Accountability 

and Evaluation

All items 

required

All items 

required, except 

for the baseline 

data and 

performance 

levels 

Revisions for 

negotiations 

on 

performance 

levels for 

years 2009-

2010 and 

2010-2011.

Revisions if 

any

Revisions for 

negotiations 

on 

performance 

levels for 

years 2011-

2012 and 

2012-2013.

Revisions if 

any

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.

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.
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State Plan 

Items

Six-Year 

Plan 2007 

or 2008

One-Year 

Transition 

Plan 2007

Year 2009 Year 2010 Year 2011 Year 2012

EDGAR 

Certifications 

and Other 

Assurances

All items 

required

All items 

required

Only for 

Revisions 

that impact 

the 

Certifications 

and 

Assurances

Only for 

Revisions that 

impact the 

Certifications 

and 

Assurances

Only for 

Revisions that 

impact the 

Certifications 

and 

Assurances

Only for 

Revisions 

that 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

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.

PART C: ACCOUNTABILITY FORMS

Definitions All items 

required

All items 

required 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 

performance 

levels for 

years 2009-

2010 and 

2010-2011

Revisions if 

any

Revisions for 

performance 

levels for 

years 2011-

2012 and 

2012-2013

Revisions if 

any
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PART A: STATE PLAN NARRATIVE
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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 
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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)]

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 onestop 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.
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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 
14

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—

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)]
15

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 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)]
16

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)]

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 nonduplication 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.
17

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. 
18

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, highwage, 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.
19

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).
20

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.
21

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)]

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.) 
22

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. 

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].
23

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; 

(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. 

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).
24

 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 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, 
25

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.
26

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;

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

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. 
27

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.
28

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 
29

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.

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.
30

 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.

 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).
31

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]
32

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]

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)]
33

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)]

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/.
34

PART B: BUDGET FORMS
35

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 nontraditional 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.
36

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.
37

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 $ 

 

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. 
38

Item

(Note: Insert dollar amounts or values where requested with 

lines below)

Amount

Title II—Tech Prep Education

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
39

PART C: ACCOUNTABILITY FORMS
40

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 prepopulated the forms in Part C with the State’s AMOs or targets for each program year. 
41

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.

 
42

I. Student Definitions

A. Secondary Level

Participants –

Concentrators –

B. Postsecondary/Adult Level

Participants –

Concentrators –
43

II. FINAL AGREED UPON PERFORMANCE LEVELS FORM (FAUPL)

A. SECONDARY LEVEL

Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 Column 9 Column 10

Core

Indicator

Measurement

Definition 

Measurement

Approach

Negotiated 

Baseline

Year 1 Year 2 Year 3 Year 4 Year 5 Year 6

7/1/07-

6/30/08

7/1/08-

6/30/09

7/1/09-

6/30/10

7/1/10-

6/30/11

7/1/11-

6/30/12

7/01/12 –

6/30/13

1S1

Secondary

Academic

Attainment

--Reading

Numerator: 

Denominator: 

B. A. A. L. L. To Be 

Negotiated 

in the 

Future

To Be 

Negotiate

d in the 

Future

1S2

Secondary

Academic

Attainment

--

Mathematic

s

Numerator: 

Denominator: 

B. L. 

A. 

L. 

A. 

L. L. To Be 

Negotiated 

in the 

Future

To Be 

Negotiate

d in the 

Future

2S1

Technical 

Skill 

Attainment

Numerator: 

Denominator: 

B. L. 

A. 

L. 

A. 

L. L. To Be 

Negotiated 

in the 

Future

To Be 

Negotiate

d in the 

Future

3S1

Secondary 

School 

Completion

Numerator: 

Denominator: 

B. L. 

A. 

L. 

A. 

L. L. To Be 

Negotiated 

in the 

Future

To Be 

Negotiate

d in the 

Future

4S1

Graduation 

Rates

Numerator: 

Denominator: 

B. L. 

A. 

L. 

A. 

L. L. To Be 

Negotiated 

in the 

Future

To Be 

Negotiate

d in the 

Future
44

Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 Column 9 Column 10

Core

Indicator

Measurement

Definition 

Measurement

Approach

Negotiated 

Baseline

Year 1 Year 2 Year 3 Year 4 Year 5 Year 6

7/1/07-

6/30/08

7/1/08-

6/30/09

7/1/09-

6/30/10

7/1/10-

6/30/11

7/1/11-

6/30/12

7/01/12 –

6/30/13

5S1

Secondary 

Placement

Numerator: 

Denominator: 

B. L. 

A. 

L. 

A. 

L. L. To Be 

Negotiated 

in the 

Future

To Be 

Negotiate

d in the 

Future

6S1

Nontraditi

onal

Participat

ion

Numerator: 

Denominator: 

B. L. 

A. 

L. 

A. 

L. L. To Be 

Negotiated 

in the 

Future

To Be 

Negotiate

d in the 

Future

6S2

Nontraditi

onal

Completion

Numerator: 

Denominator: 

B. L. 

A.

L. 

A. 

L. L. To Be 

Negotiated 

in the 

Future

To Be 

Negotiate

d in the 

Future
45

B. POSTSECONDARY LEVEL

Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 Column 9 Column 10

Core

Indicator

Measurement

Definition 

Measurement

Approach

Negotiated 

Baseline

Year 1 Year 2 Year 3 Year 4 Year 5 Year 6

7/1/07-

6/30/08

7/1/08-

6/30/09

7/1/09-

6/30/10

7/1/10-

6/30/11

7/1/11-

6/30/12

7/01/12 –

6/30/13

1P1

Technical 

Skill 

Attainment

Numerator: 

Denominator: 

B. L. 

A. 

L. 

A. 

L. L. To Be 

Negotiate

d in the 

Future

To Be 

Negotiate

d in the 

Future

2P1

Credential

, 

Certificat

e, or 

Diploma

Numerator: 

Denominator: 

B. L. 

A. 

L. 

A. 

L. L. To Be 

Negotiate

d in the 

Future

To Be 

Negotiate

d in the 

Future

3P1

Student 

Retention 

or 

Transfer

Numerator: 

Denominator: 

B. L. 

A. 

L. 

A. 

L. L. To Be 

Negotiate

d in the 

Future

To Be 

Negotiate

d in the 

Future

4P1

Student 

Placement

Numerator: 

Denominator: 

B. L. 

A. 

L. 

A. 

L. L. To Be 

Negotiate

d in the 

Future

To Be 

Negotiate

d in the 

Future

5P1

Nontraditi

onal

Participat

ion

Numerator: 

Denominator: 

B. L. 

A. 

L. 

A. 

L. L. To Be 

Negotiate

d in the 

Future

To Be 

Negotiate

d in the 

Future

5P2

Nontraditi

onal

Completion

Numerator: 

Denominator: 

B. L. 

A. 

L. 

A. 

L. L. To Be 

Negotiate

d in the 

Future

To Be 

Negotiate

d in the 

Future
46