PAPERWORK REDUCTION ACT SUBMISSION

Please read the instructions before completing this form. For additional forms or assistance in completing this form, contact your agency's Paperwork 

Clearance Officer. Send two copies of this form, the collection instrument to be reviewed, the Supporting Statement, and any additional documentation 

to: Office of Information and Regulatory Affairs, Office of Management and Budget, Docket Library, Room 10102, 725 17th Street, NW, 

Washington, DC 20503.

1. Agency/Subagency originating request: 

U.S. Department of Education/Office of Vocational and Adult 

Education/ Division of Academic and Technical Education

2. OMB control number:

 

 1830- 002 9

 a. __ __ __ __ -- __ __ __ __ b. { } NONE: __ __ __ __ -- NEW

3. Type of information collection (check one):

a. [ ] New collection

b. [ x ] Revision of a currently approved collection

c. [ ] Extension of a currently approved collection

d. [ ] Reinstatement, with change, of a previously

 approved collection for which approval has expired

e. [ ] Reinstatement, without change, of a previously approved

 collection for which approval has expired

f. [ ] Existing collection in use without an OMB control number

4. Type of review requested (check one):

 a. [x ] Regular (if streamlined also check here 

 b. [ ] Emergency - Approval requested by: __/___/___

 c. [ ] Delegated

5. Small entities:

Will this information collection have a significant economic impact on a substantial 

number of small entities? [ ] Yes [ x ] No

6. Requested expiration date:

a. [ x ] Three years from approval date

b. [ ] Other -- Specify: ___/___/___

7. Title (10-15 words maximum): 

 Carl D. Career and Technical Improvement Act of 2006 (P.L. 109-270) State Plan Guide 

8. Agency form number(s) (if applicable): N/A

9. Keywords: Federal aid to State – Vocational Education, Career and Technical Education, Tech-Prep

10. Abstract: 

P.L. 109-270 requires eligible State agencies to submit a 6-year plan, with annual revisions as the eligible agency deems necessary in order to 

receive Federal funds. The Office of Vocational and Adult Education/ Division of Academic and Technical Education program staff review the 

submitted state plans for compliance and quality.

11. Affected Public (mark primary with "P" and all others that apply 

with "X")

a. [ ] Individuals or households d. [ ] Farms

b. [ ] Businesses or other for-profit e. [ ] Federal Government

c. [ x ] Not-for-profit institutions f. [ x ] State, local or Tribal 

Goverment,

 SEAs or LEAs

12. Obligation to respond (Mark primary with "P" and all others 

that apply with "X"):

a. [ ] Voluntary

b. [ x ] Required to obtain or retain benefits

c. [ ] Mandatory

13. Annual reporting and recordkeeping hour burden:

a. Number of respondents: 56 

b. Total annual responses: 56 

Percentage of these responses collected electronically: 110% 

 c. Total annual hours requested: 5294 

 d. Current OMB inventory: 0

 e. Difference (+/-): 5294 

 f. Explanation of difference: N/A

 1. Program change: Applicants must submit revised state plans in 

accordance with requirements set forth in P.L. 109-270

 2. Adjustment

14. Annual reporting and recordkeeping cost burden (in 

thousands of dollars):

a. Total annualized capital/startup costs: 0 

b. Total annual costs (O&M): 0 

c. Total annualized cost requested: $114,782

d. Current OMB inventory: 0 

e. Difference (+/-): $114,782

f. Explanation of difference: N/A

 1. Program change: Applicants must submit revised state plans in 

accordance with requirements set forth in P.L. 109-270

 2. Adjustment ____________________

15. Purpose of information collection (mark primary with "P" and all 

others that apply with "X"):

a. [ ] Application for benefits e. [x ] Program planning or management

b. [ x ] Program evaluation f. [x] Research

c. [ ] General purpose statistics g. [ P ] Regulatory or compliance

d. [ ] Audit

16. Frequency of recordkeeping or reporting (check all that 

apply):

a. [ ] Recordkeeping b. [ ] Third party disclosure

c. [x ] Reporting

 1. [ ] On occasion 2. [ ] Weekly 3. [ ] Monthly

 4. [ ] Quarterly 5. [ ] Semi-annually 6. [x] Annually

 7. [ ] Biennially 8. [ ] Other (describe) _______________

17. Statistical methods:

Does this information collection employ statistical methods? [ ] Yes [ x ] No

18. Agency contact (person who can best answer questions 

regarding the content of this submission):

 Dr. Edward Smith

Name: ______________________________________________

 202-245-7602

Phone No.: ______________________________________________

 202-245-7170

Fax No.: ______________________________________________

19. Regulatory information (information provided in this block will be 

used to improve the processing of the information collection):

a. Does this collection contain a proposed regulation? [ ] Yes [ x ] No

 If yes, check item that applies:

 [ ] NPRM [ ] Final [ ] Other _____________________________

b. List all sections that apply to this collection that have paperwork burden:

__________________________________________________________
OMB-83-I - ED/OCF&CIO/IMG Version Page 1 of 2 7/99

20. Certification for Paperwork Reduction Act Submissions

On behalf of this federal agency, I certify that the collection of information encompassed by this request

complies with 5 CFR 1320.9.

NOTE: The text of 5 CFR 1320.9, and the related provisions of 5 CFR 1320.8 (b)(3), appear at the

 end of the instructions. The certification is to be made with reference to those regulatory

 provisions as set forth in the instructions.

The following is a summary of topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous terminology that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 320.8 (b)(3):

(i.) Why the information is being collected;

(ii.) Use of information;

(iii.) Burden estimate;

(iv.) Nature of response (voluntary, required for a benefit, or mandatory);

(v.) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective

management and use of information to be collected (see note in Item 19 of the instructions);

(i) It uses effective and efficient statistical survey methodology; and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item below and explain the reason in Item 18 of the 

Supporting Statement

Signature of Senior Official or Designee Date

For Department of Education Internal Use 

I certify that the information collection being submitted to the Senior Official, or designee, encompassed by this request

complies with 5 CFR 1320.9, as summarized above. (Assistant Secretary signature required for emergency reviews.)

Signature of Assistant Secretary or Designee Date

Page 2 of 2 7/99
I. SUPPORTING STATEMENT FOR PAPERWORK REDUCTION ACT SUBMISSIONS

A. Justification:

1. Explain the circumstances that make the collection of information necessary. Identify any 

legal or administrative requirements that necessitate the collections. Attach a copy of the 

appropriate section of each statute and of each regulation mandating or authorizing the 

collection of information.

The Carl D. Perkins Career and Technical Education Act of 2006 (Perkins IV), 20 U.S.C. 2301 et 

seq. as amended by P.L. 109-270, was signed into law on August 12, 2006. The purpose of this 

request is to update the information collection package 1830-0029 (The Carl D Perkins Vocational 

and Technical Education Act of 1998; P.L 105-332 – State Plan) to include:

 To provide an extension of the application submission requirements for years 2013-16 or 

until such time as reauthorization or new legislation replaces the current legislation states 

are operating under.

 Added instructions on application submission requirements for years 2010-2012 (the 

remaining years of the legislation)

 Prior submission approval:

 Instructions regarding contents of a one-year transition plan or six-year State plan;

 New State plan narrative requirements from the new Act;

 Information States must provide regarding the consolidation of Title II funds under 

Title I; 

 Budget information;

 Accountability information; and

 A cover page that must be submitted with the State plan.

Perkins IV reauthorizes programs previously authorized by the Carl D. Perkins Vocational and 

Technical Education Act of 1998 for fiscal years 2007 through 2012. Title I of Perkins IV 

authorizes grants to eligible agencies in the fifty States, the District of Columbia, Puerto Rico, the 

United States Virgin Islands, and Guam for the purposes of “promoting the development of 

services and activities that integrate rigorous and challenging academic and career and technical 

instruction, and that link secondary education and postsecondary education” for participating 

career and technical education students. Grant amounts are determined by a formula prescribed in 

the law. Title II of Perkins IV authorizes grants to the same eligible agencies listed above to 

support tech-prep education programs as defined by Title II. Grant amounts are determined by the 

same formula used to allocate funds for Title I. Under section 202 of the Act, eligible agencies 

now have the option of consolidating all or a portion of their Title II funds under Title I. 

Section 122 of the Act requires eligible agencies to submit a six-year state plan in order to receive 

funds under Title I. Section 201 requires eligible agencies to submit an application for Title II 

funds as part of its six-year state plan. State plans must be submitted by April 2, 2007. The Act 

contains specific requirements for what must be included in the State plan. This collection is 

limited to the information that is required by Perkins IV, the General Education Provisions Act 

and its implementing regulations, and the Education Department General Administrative 
Regulations (34CFR Part 76.104).

Additional State Options for FY 2007

One-Year Transition Plan under Perkins IV

Section 122(a)(1) of Perkins IV provides eligible agencies the option of meeting the State plan 

requirements by submitting a one-year transition plan for fiscal year 2007. If an agency elects to 

submit a one-year transition plan, it must submit a 5-year State plan by April 2, 2008.

Unified Plan under the Workforce Investment Act

Section 501 of WIA provides eligible agencies with the option of submitting the State plan for 

Perkins IV as part of a unified plan that incorporates one or more related education and workforce 

development programs. These programs include employment training activities authorized by

Title I of WIA, the Adult Education and Family Literacy Act, programs authorized by Title I of 

the Rehabilitation Act, and work programs authorized under the Food Stamp Act. The portion of 

the unified plan that addresses career and technical education must meet all of the requirements for 

a State plan under Perkins IV. The Department will issue under separate cover guidance for States 

for submitting a unified State plan.

2. Indicate how, by whom, and for what purpose the information is to be used. Except for a new 

collection, indicate the actual use the agency has made of the information received from the 

current collection.

Staff members of the Division of Academic and Technical Education, Office of Vocational and 

Adult Education review the State plans to determine compliance with the Act, as required by 

section 122 of the Act. The State plans also are used as a source of information for policy analysis 

and for responding to inquiries from members of Congress and others. States cannot receive 

Federal career and technical education funds without the submission and approval of the State 

plans. State Plan revisions submitted in subsequent years will be used in the same manner as 

described above.

3. Describe whether, and to what extent, the collection of information involves the use of 

automated, electronic, mechanical, or other technological collection techniques or other 

forms of information technology, e.g. permitting electronic submission of responses, and the 

basis for the decision for adopting this means of collection. Also describe any consideration 

of using information technology to reduce burden.

The Department is encouraging eligible agencies to submit State plans electronically. Last year, 

all States submitted electronically their required State plan revisions; therefore, we anticipate that 

every eligible agency make an electronic submission of their new State plan. All states are now 

submitting electronically.

4. Describe efforts to identify duplication. Show specifically why any similar information 

already available cannot be used or modified for use for the purposes described in Item 2 

above.

Current State plans expire March 31, 2007. They were developed, submitted, and approved under 

the Carl D. Perkins Vocational and Technical Education Act of 1998, which was repealed by P.L. 

109-270, effective August 12, 2006. The new Act contains additional and more rigorous 
requirements for the submission of State plans that must be addressed in the new State plans. 

If the collection information impacts small businesses or other small entities (Item 5 of 014B Form 

83-1), describe any methods used to minimize burden.

This collection does not impact small businesses.

5. Describe the consequence of Federal program or policy activities if the collection is not 

conducted or is conducted less frequently, as well as any technical or legal obstacles to 

reducing burden.

The State plan serves as the basis for the granting of Federal career and technical education funds 

under the Act. The Department of Education could not release funds to the States if the 

information collection was not conducted. The Act dictates the frequency of collection and the 

types of information that must be collected. 

6. Explain any special circumstance that would cause an information collection to be 

conducted in a manner:

 Requiring respondents to report information to the agency more often than quarterly;

 Requiring respondents to prepare a written response to a collection of information in fewer 

than 30 days after receipt of it;

 Requiring respondents to submit more than an original and two copies of any document;

 Requiring respondents to retain records, other than health, medical, government contract, 

grant-in-aid, or tax records for more than three years;

 In connection with a statistical survey, that is not designed to produce valid and reliable 

results that can be generalized to the universe of study; 

 Requiring the use of a statistical data classification that has not been reviewed and approved 

by OMB;

 That includes a pledge of confidentiality that is not supported by authority established in 

statute or regulation, that is not supported by disclosure and data security policies that are 

consistent with the pledge, or which unnecessarily impedes sharing of data with other 

agencies or compatible confidential use; or

 Requiring respondents to submit proprietary trade secrets, or other confidential information 

unless the agency can demonstrate that it has instituted procedures to protect the 

information’s confidentiality to the extent permitted by law.

No such circumstances exist. 

7. If applicable, provide a copy and identify the date and page number of publication in the 

Federal Register of the agency's notice, required by 5 CFR 1320.8 (d), soliciting comments 

on the information collection prior to submission to OMB. Summarize public comments 

received in response to that notice and describe actions taken by the agency in response to 

these comments. Specifically address comments received on cost and hour burden.

Describe efforts to consult with persons outside the agency to obtain their views on the 

availability of data, frequency of collection, the clarity of instruction and record keeping, 

disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, 

or reported.
Consultation with representatives of those from whom information is to be obtained or those 

who must compile record should occur at least once every 3 years—even if the collection of 

information activity is the same as in prior periods. There may be circumstances that may 

preclude consultation in a specific situation. These circumstances should be explained.

Time since enactment of the Act has not permitted consultation with eligible agencies prior to 

submission of this request. In early October, we convened a meeting here in Washington, DC, of 

all the State Directors of Career and Technical Education to discuss the new provisions of the Act, 

including the new requirements concerning State plans. Ongoing consultation was achieved 

through monthly conference calls with the State Directors. The above referenced meetings and 

conference calls with State Directors were held during 2006 and continue to the present.

8. Explain any decision to provide any payment or gift to respondents, other than remuneration 

of contractors or grantees.

We will not provide gifts or payment to respondents. The submission of a State plan is a 

prerequisite for eligible agencies to receive funds.

9. Describe any assurance of confidentiality provided to respondents and the basis for the 

assurance in statute, regulations, or agency policy.

Confidentiality concerns are handled according to provisions in the Privacy Act and the Freedom 

of Information Act. No other pledges of confidentiality are made.

10. Provide additional justification for any questions of a sensitive nature, such as sexual 

behavior and attitudes, religious beliefs, and other matters that are commonly considered 

private. This justification should include the reasons why the agency considers the questions 

necessary, the specific uses to be made of the information, the explanation to be given to 

persons from whom the information is requested, and any steps to be taken to obtain their 

consent.

There are no questions of a sensitive nature.

11. Provide estimates of the hour burden of the collection of information. The statement should:

 This collection (2013-2016) will distribute the burden equally from year to year –

prior collections were calculated on an alternating year of negotiation for 

performance levels for 2 years. From this point on, in each year, states will negotiate 

performance levels for the upcoming year of collection rather than doing so in 

alternating years. The chart (enclosed) reflects distribution of the burden hours for 

the requested extension years.

 Indicate the number of respondents, frequency of response, annual hour burden, and an 

explanation of how the burden was estimated. Unless directed to do so, agencies should not 

make special surveys to obtain information on which to base burden estimates. Consultation 

with a sample of potential respondents is desirable. If the burden on respondents is expected 

to vary widely because of differences in activity, size, or complexity, show the range of 

estimated burden and explain the reason for the variance. Generally, estimates should not 

include burden hours for customary and usual business practices.
 If the request for approval is for more than one form, provide separate burden estimates for 

each form and aggregate the hour burdens in Item 13 of OMB Form 83-1.

 Provide estimates of annualized cost to respondents for the hour burdens for collections of 

information, identifying and using appropriate wage rate categories. The cost of contracting 

out or paying outside parties for information collection activities should not be included here. 

Instead, this cost should be included in Item 14.

This request is for approval of one form only.

The Act requires eligible agencies in the 50 States, District of Columbia, Puerto Rico, U.S. Virgin 

Islands, American Samoa, Palau, and Guam to submit State plans in order to receive funds under 

the Act. State plans were due to be submitted to the Department by States on April 2, 2007. The 

duration of the plan is six years, but for Fiscal Year 2007 only, eligible agencies have the option of 

submitting a one-year transition plan in order to meet the State plan requirements of the Act. If an 

agency exercises this option, it must submit a five-year State plan by April 2, 2008. Agencies 

submit annual revisions to their approved State plan that they determine to be necessary in 

accordance with EDGAR 76.703 (b)(3)(ii).

 Data gathered by the Office of Vocational and Adult Education during its consultations with 

eligible agency staff regarding the time required for developing state plans under a previously

approved collection lead us to estimate that the development and submission of the information 

collected pursuant to Title I and Title II of the Act for submission of either a six-year or five-year 

State plan will require an estimated average of 7,560 hours of professional staff time to gather, 

compile, review and prepare information and 1,620 hours of clerical staff time. The time required 

for developing either a one-year transition State plan or State plan revisions would be 

considerably less, except for those program years (2009 and 2011) in which States are required to 

negotiate performance levels with the department. Prior collections were calculated on an 

alternating year of negotiation for performance levels for 2 years out (2009 – negotiated 9-10 

& 10-11 and 2011 – negotiated 11-12 & 12-13). From this point on, in each years submission, 

states will negotiate performance levels for the upcoming year of collection rather than doing 

so in alternating years. The chart (enclosed) reflects distribution of the burden hours 

equally for the requested extension years. (See chart, next page)
Program 

Year

Estimated 

Number Of 

Responses

Type Of 

Staff

Estimated 

Number Of 

Burden Hours 

Per Response

Estimated 

Number Of 

Burden Hours

2007-2008 54

Professional 140 7560

Clerical 30 1620

Total 170 9180

2008-2009 54

Professional 47 2538

Clerical 10 540

Total 57 3078

2009-2010 56

Professional 47 2538

Clerical 10 540

Total 57 3078

2010-2011 56

Professional 25 1269

Clerical 5 270

Total 30 1539

2011-2012 56

Professional 47 2538

Clerical 10 540

Total 57 3078

2012-2013 56

Professional 25 1269

Clerical 5 270

Total 30 1539

2013-2014 56

Professional

Clerical

Total

36

7

43

1904

405

2309

2014-2015 56

Professional

Clerical

Total

36

7

43

1904

405

2309

2015-2016 56

Professional

Clerical

Total

36

7

43

1904

405

2309

Annual 

Average 56 n/a 39* 2052*

NOTE: Please note that the change from 54 to 56 regarding the “Estimated Number of Responses” (as seen in 

column 2) reflect the addition of two United States territories, the Republic of Palau and American Samoa who must 

now submit their Perkins IV State plans/revisions directly to OVAE. In past years these territories submitted their state 

plans and budgets to the Office of Elementary and Secondary Education. However, In addition, please note that for the 

purposes of this submission the total annual averages are based on Program Years 2010-2013.

12. The total estimated annual average cost over the three (3) program year period (i.e. FY-2010 to 

FY-2013) is $45,900 for 56 respondents – (this remains the same for the requested extension 

period). This figure represents the salaries of one professional staff person who is projected to 

work an estimated annual average of 1692 hours at $25 per hour ($42,300), and one clerical staff 

person who will work an estimated annual average of 360 hours at $10 per hour for a cost of 

$3,600. 

13. Annual Costs to Respondents (capital/start-up & operation and maintenance).
The total capital and start-up costs for this collection are zero. The information collection will not 

require the purchase of any capital equipment or create any start-up costs. Computers and software 

used to complete this information collection are part of the respondents' customary and usual 

business or private practices, and therefore are not included in this estimate.

The total for operation and maintenance and purchase of service components for this information 

is zero. The information collection will not create costs associated with generating, maintaining, 

and disclosing or providing the information not already identified in question 12 of this supporting 

statement.

14. Provide estimates of annualized cost to the Federal government. 

The Federal cost is estimated to be approximately $24,551. This includes salaries of program staff 

who will review State plans. The method used to estimate the cost is as follows:

Program Office Staff:

3 GS-12 X 40 hours = $4,238

5 GS-13 X 40 hours = $8,400

6 GS-14 X 40 hours = $11,913

 TOTAL = $24,551

TOTAL ESTIMATED FEDERAL COST = $ 24,551

15. Explain the reasons for any program changes or adjustments reported in Items 13 or 14 of 

the OMB Form 83-I.

The first three years of the Carl D. Perkins Career and Technical Education Act of 2006 required 

states to develop and submit either a five-year or six-year State plan. The burden hours associated 

with the collection of information during the first three years of the legislative requirements are 

significantly higher than what is estimated for the final three years of the legislative requirements. 

During the final three years of the Perkins legislative requirements, states are required to submit 

revised State plans and budgets. The submission of revised state plans and budgets will result in a 

significant reduction in the burden hours during the final three years of the legislative 

requirements

16. For collections of information whose results will be published, outline plans for tabulation 

and publication. Address any complex analytical techniques that will be used. Provide the 

time schedule for the entire project, including beginning and ending dates of the collection 

information, completion of report, publication dates, and other actions. 

There are no plans for complex analytical techniques or for publication of data from this 

collection, although each state plan is a public document. 

17. If seeking approval to not display the expiration date for OMB approval of the information 

collection, explain the reasons that display would be inappropriate.

We are not seeking this approval.
18. Explain each exception to the certification statement identified in Item 20, "Certification for 

Paperwork Reduction Act Submissions," of OMB Form 83-I

This request is in compliance with 5 CFR 1320.9.

B. Collections of Information Employing Statistical Methods

This collection of information does not employ statistical methods.