## PAPERWORK REDUCTION ACT SUBMISSION Please read the instructions before completing this form. For additional forms or assistance in completing this form, contac t your agency's Paperwork Clearance Officer. Send two copies of this form, the collection instrument to be reviewed, the Supportin g Statement, and any additional documentation to: **Office of Information and Regulatory Affairs, Office of Management and Budget, Docket Library, Room 10102, 725 17th Street, N W,**  **Washington, DC 20503. 1. A**  **gency /Subagency** 

**originating request: U.S.**  **Depart ment of Education/Office of**  **Vocational and Adult Education/ Division of Academic and**  **Technical E ducation**  **2. OM**  **B control number: 183**  **0 -**  **00 2 9**  a. __ __ __ __ -- __ __ __ __ b. { } NONE: __ __ __ __
-- NEW **3. Ty**  **pe 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. Ty pe of review requested**  **(check one):** a. [ **x** ] Regular (if streamlined also check here b. [ ] Emergency
- Approval requested by: __/___/___ c. [ ] Delegated **5. Small entities:**  Wi ll 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. A**  **gency form number(s)**  **(if applicable) :**  **N/A**
**9 . Key**  **words: Federal aid to State**  **– Vocational Education, Career and**  **Technical Education, Tech -**  **Prep**
**10. A bstract:**  **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 Feder a**  **l 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. Af**  **fected 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. An**  **nual reporting and recordkeeping hour burden:**  a. Nu mber 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. An**  **nual 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 o r 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. [ ] W eekl y 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. Ag**  **ency 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. **NOT E:**  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 instruc tions. 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 recordk eeping requirements; (g) It informs respondents of the information called for under 5 CFR 320.8 (b)(3):

(i.) Wh y 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 effe ctive 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 t he reason in Item 18 of the Supporting Statement **S ignature of Senior Official or D**  **esignee 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.) **Signa ture of Assistant Secretary**  **or D esignee**  **Date** 

### Page 2 of 2 **7/99**

### I. **SUPPORTING STATEMENT FOR PAPERWORK REDUCTION ACT SUBMISSIONS** 

**A. Justification:**  **1. Explain the circumstances that make the collec**  **tion 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 b y 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 in clude:

 To provide an extension of the application submission requirements for ye ars 2013
- 16 or until such time as reauthorization or new legislation replaces the current legislation states are operating under.

 Added instructions on application submissio n require men ts for ye ars 2010
- 2012 (the remaining ye ars of the legislation)

 Prior submission approval:  

### Instructions regarding contents of a one

- ye ar transition plan or six

- ye ar State plan;  

### New State plan narrative requirements from the new Act;  

### In formatio n 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 previousl y 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 fift y States, the District of Columbia, Puerto Rico, the United States Virgin Island s, 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 ca reer and technical education students. Grant amounts are determined by a formula prescribed in the law. Title II of Perkins I V authorizes grants to the same eligible agencies listed above to support tech

- prep education programs as defined by Title II. G rant amounts are determined b y 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 portio n of their Title II funds under Title I. Section 122 of the Act requi res 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

- ye ar 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 b y Perkins I V, the General Education Provisions Act and its implementing regulations, and the Educa tion 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 I V provides eligible agencies the option of meeting the State plan requirements b y submitting a one

- ye ar transition plan for fiscal y ear 2007. If an agency elects to submit a one

- ye ar transition plan, it must submit a 5

- ye ar State plan by April 2, 2008. Unified Plan under the Workforce Investment Act Section 501 of WI A 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 employ ment training activities auth orized by Title Iof WIA, the Adult Education and Family L iteracy 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 edu cation must meet all of the requirements for a State plan under Perkins I V. 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 b y section 122 of the Act. The State plans also are used as a source of information for policy anal ys is and for responding to inquiries from members of Congress and o thers. States cannot receive Federal career and technical education funds without the submission and approval of the State plans. State Plan revisions submitted in subsequent y ears 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 basi**  **s 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 submi tted 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 electronicall y. **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. Perki ns Vocational and Technical Education Act of 1998, which was repealed b y 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 plan s.

**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 u nder 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 ty pes of information that must be collected. **6. Explain any special**  **circumstance that would cause an info rmation 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 i mpedes 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**  **in formation’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), so liciting 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 co st 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 activ ity 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 requ est. I n earl y October, we convene d 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 wi th 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 pay ment to respondents. The submi ssion 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 hand led 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 explana**  **tion 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 responde nts 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 pract ices.**  **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 collecti ons 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 re quest is for approval of one form onl y. 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 fu nds under the Act. State plan s were due to be submitted to the Department by States on April 2, 2007. The duration of the plan is six y ears, but for Fiscal Year 2007 only , eligible agencies have the option of submitting a one

- ye ar transition plan in order to meet the State plan requi rements of the Act. If an agency exercises this option, it must submit a five

- ye ar 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 b y 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 s ubmission 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 prepar e 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 considerabl y less , except for those program y ears (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 t he change from 54 to 56 regarding the “ Estimated Number of Responses ” (as seen in column 2) reflect the addition of tw o 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 submit ted their state plans and budgets to the Office of Elementary and Secondary Education
. However, In addition, p lease note that for the purposes of this submission t he total a nnual a verage s are based on Program Year s 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 wh o 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 co llection 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 providi ng the information not alread y 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 adjus**  **tments 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 submi t either a five

- ye ar or six

- ye ar State plan

. The burden h ours associated with the 

### collection of information during the first three years of 

### the legislative requirements are significantl y higher than what is estimated for the final three ye ars of 

### the legislative requirements
. During the final three ye ars of the Perkins legislative requirements , states are required to submit revised State plans and budgets. The submissio n of revised state plans and budgets will result in a significant reduction in the burden hours during the final three y ears 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 da**  **tes of the collection information, completion of report, publication dates, and other actions.**  There are no plans for complex analy tical techniques or for publication of data from this collection, although each state plan is a public document. **17. I**  **f seeki ng 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 Meth**  **ods** This collection of information does not employ statistical methods.