U.S. Department of Education

Office of Career, Technical, and Adult Education

CONSOLIDATED ANNUAL REPORT (CAR)

FOR THE CARL D. PERKINS

CAREER AND TECHNICAL EDUCATION ACT OF 2006 

(Perkins IV) (as reauthorized by P. L. 109-270)

State Basic Grant (Title I) – CFDA 084.048A

Program Years (PY) – 2013-2014

OMB NO: 1830-0569

EXPIRES: 5/31/201X

Public Burden Statement:

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a 

collection of information unless such collection displays a valid OMB control number. The valid 

OMB control number for this information collection is 1830-0569. Public reporting burden for 

this collection of information is estimated to average 174 hours per response, including time for 

reviewing instructions, searching existing data sources, gathering and maintaining the data 

needed, and completing and reviewing the collection of information. The obligation to respond 

to this collection is required to obtain or retain benefit (Carl D. Perkins Career and Technical 

Education Act of 2006 (Perkins IV) (20 U.S. C. 2301 et seq. as amended by P.L. 109-270). If 

you have comments or concerns regarding the status of your individual submission of this APR,

please contact (Office of Career, Technical and Adult Education; Director, Division of Academic 

and Technical Education; 550 12th Street, SW; Washington, D.C. 20202 directly. [Note: Please 

do not return the completed report to this address.]
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TABLE OF CONTENTS

INTRODUCTION ..................................................................................................................4

I. GENERAL INSTRUCTIONS AND REPORTING REQUIREMENTS......................6

A. Submission Deadline ............................................................................................6

B. Submission Information........................................................................................6

C. Requests for Extensions........................................................................................7

D. Amended Final Financial Status Report Submissions..........................................7

E. Amended Performance Data Submissions............................................................7

F. Further Information and Questions.......................................................................8

II. CHECKLIST OF REQUIRED REPORT FORMS .......................................................9

III. CONSOLIDATED ANNUAL REPORT (CAR) INSTRUMENT AND

INSTRUCTIONS.........................................................................................................13

A. Cover Page ..........................................................................................................14

B. Narrative Performance Information....................................................................16

1. Implementation of State Leadership Activities ........................................16

2. Progress in Developing and Implementing Technical Skill 

Assessments...............................................................................................17

3. Implementation of State Program Improvement Plans..............................18

4. Implementation of Local Program Improvement Plans.............................18

C. Financial Status Reports (FSRs).........................................................................20

1. Basic Reporting Requirements .................................................................20

2. Instructions for Completing the FSR.........................................................20

3. Required FSR Forms......................................................................................

 Interim Financial Status Report Form

 Final Status Report Form
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D. Performance Report ...........................................................................................26

1. Basic Reporting Instructions......................................................................27

2. Definition of Terms....................................................................................28

3. Required Performance Report Forms ........................................................33

 Student Enrollment Forms

 Student Accountability Form for the Core Indicators of Performance under 

Section 113 of Title I of the Act
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INTRODUCTION

This document contains the U.S. Department of Education (Department), Office of Career 

Technical, and Adult Education’s (OCTAE’s) Consolidated Annual Report (CAR) for the Carl D. 

Perkins Career and Technical Education Act of 2006, 20 U.S.C. §§ 2301 et seq. as amended by 

P.L. 109-270 (Perkins IV or the Act). Section 113(c) of Perkins IV requires each eligible agency

that receives an allotment under section 111 of Title I of the Act (State basic grant) to annually

prepare and submit to the Secretary a report regarding the progress of the State in achieving the 

State adjusted levels of performance on the core indicators of performance and additional 

indicators of performance, including the levels of performance for special population categories 

described in section 3(29) of Perkins IV and other student categories described in section 

1111(h)(1)C)(i) of the Elementary and Secondary Education Act of 1965, as amended by the No 

Child Left Behind Act (NCLB) of 2001. The enclosed CAR is a single reporting instrument that 

combines the requirements referenced above with the required annual interim and final financial 

status reports pursuant to the Education Department General Education Regulations (EDGAR) in 

34 CFR §80.41.

Perkins IV, signed into law on August 12, 2006, represents nearly three years of work on the part 

of Congress and the Department, in cooperation with other Federal agencies and the State and 

local agencies affected by its policies, to provide continuing Federal support for rigorous career 

and technical education (CTE) programs that provide students with knowledge and skills to keep 

the United States competitive. The Department distributes approximately one billion dollars 

annually in Perkins funding to the 50 States, the District of Columbia, Puerto Rico, and the 

outlying areas, such as Guam, Palau, and the Virgin Islands, collectively referred to as the 

“States”. Each State distributes funds to eligible recipients, such as local educational agencies 

(LEAs) and postsecondary institutions, to develop more fully the academic and career and 

technical education knowledge and skills of secondary and postsecondary education students who 

elect to enroll in career and technical education programs. Perkins IV indicates that one of its 

purposes is to build on the work of States to assist CTE students to achieve challenging academic 

and technical standards, and be prepared for high skill, high wage, or high demand occupations in 

current or emerging professions. Perkins IV provides increased focus on: the academic 

achievement of CTE students, improvement in State and local accountability, and strengthened 

connections between secondary and postsecondary education delivery systems. These themes 

serve as the general framework for the enclosed CAR instrument. 

This document is organized into three sections. Section 1 contains general instructions and 

reporting requirements for each State’s CAR submission, which is divided into seven parts 

addressing the following topics: (1) submission deadlines; (2) submission information; (3) 

requests for extensions; (4) amended final financial status report submissions; (5) amended 

performance data submissions; (6) performance data reporting requirements for program year-one 

for States that submitted a one-year transition plan; and (7) further information and questions. 

Section 2 provides a checklist of required report forms that must be included in each State’s CAR 

submission. Section 3 contains the CAR instrument and instructions, which is divided into four 

parts addressing the following topics: (1) the cover page format that must be signed and certified 

as complete and accurate by the State’s CTE director in order for a State to submit its CAR to the 

Department; (2) the information that must be provided in narrative form; (3) the requirements 
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related to the interim and final Financial Status Report (FSR) forms; and (4) the requirements 

related to the performance report forms, consisting of student enrollment forms, student 

accountability forms for the core indicators of performance under section 113 of Title I of the Act.

Each part contains detailed instructions necessary to assist each eligible agency prepare and submit

a complete, accurate, and timely report on its Perkins IV grants to the Department each year. 
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I. GENERAL INSTRUCTIONS AND REPORTING REQUIREMENTS

A. Submission Deadline

The due date for each State’s CAR submission is December 31 of each year. This date 

corresponds with Department regulations that require the submission of annual financial status 

reports by the 90th day following the grant period or expiration of the grant. See 34 CFR 

§80.40(b)(1) and §80.41(b)(4) of EDGAR. Perkins funds, similar to funds under most stateadministered programs, are generally available for obligation (at the Federal and State levels) from 

July 1 in the fiscal year through September 30 of the following fiscal year (15 months). The 

Perkins IV funds are then covered by the so-called “Tydings Amendment,” under section 421(b) of 

the General Education Provisions Act (GEPA), 20. U.S.C. 1225(b), which allows States to 

carryover for one additional year funds that were not obligated in the 15-month period for which 

they were appropriated. Therefore, States have up to 27 months to obligate appropriated funds 

beginning July 1 of the Federal fiscal year in which they were allocated. Unless an extension is 

approved, grantees must liquidate obligations within 90 days of the end of the funding period. 

B. Submission Information

Each State has several options in submitting its CAR report. A State may submit its report 

electronically via the Department’s CAR Web site at 

https://perkins.ed.gov/Account/LogOn?ReturnUrl=%2f. This Perkins Information Management 

System (PIMS) allows a State to complete its CAR report using Web-based and to certify to the 

accuracy and completeness of its submission using electronic Personal Identification Numbers 

(PINs) supplied to the State by the Department. The State CTE director must use one PIN to 

certify and sign the entire CAR submission. The authorized State official responsible to certify

and sign Financial Status Reports (FSR) must use another unique PIN. It is important to note that 

the use of the PINs to certify and sign the CAR and FSRs is the same as certifying the documents 

with a hand-written signature by the responsible State official. State officials are responsible for 

protecting the confidentiality of their PIN and for any use of their PIN by another individual. 

Finally, a State is required to send an original signed Coversheet to the following address:

Chief

Performance and Accountability Branch

Division of Academic and Technical Education

Office of Career, Technical, and Adult Education

U.S. Department of Education

Potomac Center Plaza

550 12th Street, SW, Room 11023

Washington, DC 20202-7241
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C. Requests for Extensions

The Department may grant to a State a brief extension to the submission deadline for one or more 

sections of the CAR upon receipt of a justified request. The request must indicate the specific 

factors necessitating the State’s extension and the reasons the State did not become aware of these 

factors to ensure that its submission was timely. An extension must be requested in writing to the 

Performance and Accountability Branch Chief at the address provided in section B or via e-mail to 

the State’s Perkins Regional Accountability Specialist as indicated on page nine.

D. Amended Final Financial Status Report Submissions 

The Department may permit a State to file an amended final Financial Status Report (FSR) upon 

receipt of a justified request, indicating the specific factors necessitating the State’s revision of its 

FSR and the reasons the State did not become aware of these factors in time to ensure its original 

submission was complete, accurate, and timely. An extension must be requested in writing to the 

Performance and Accountability Branch Chief at the address provided on page six or via e-mail to 

the State’s Regional Accountability Specialist as indicated on page eight. 

Once a State has received OCTAE approval the amended FSR is submitted electronically via the 

Department’s Perkins Information Management System (PIMS) at 

https://perkins.ed.gov/Account/LogOn?ReturnUrl=%2f. The authorized State official must use 

their unique PIN to certify and sign the amended FSR. 

. 

E. Amended Performance Data Submissions

The Department may permit a State to submit amended performance data upon receipt of a 

justified request, indicating the specific factors necessitating the State’s revision of its performance 

data and the reason the State did not become aware of these factors in time to ensure its original 

data submission was complete, accurate, and timely. An extension must be requested in writing to 

the Performance and Accountability Branch Chief at the address provided in section B or via email to the State’s Perkins Regional Accountability Specialist as indicated on page eight.

It is important to note that, although a State may be permitted to submit amended performance 

data, the Department must use only the performance data that it receives by the December 31 

submission deadline each year to determine whether a State has met at least 90 percent of its 

agreed upon State adjusted performance levels for each of the core indicators of performance 

under section 113 of Title I of the Act or whether the State must submit a program improvement 

plan as required in section 123(a)(1) of Perkins IV. 

Once a State has received OCTAE approval, a State will submit its amended performance data 

electronically via the Department’s Perkins Information Management System (PIMS) at: 

https://perkins.ed.gov/Account/LogOn?ReturnUrl=%2f. 
- 8 -

G. Further Information and Questions

Requests for further information and questions regarding the CAR instrument and reporting 

requirements should be directed to your State’s Perkins Regional Accountability Specialist (RAS) 

as indicated below.

States Regional Accountability Specialist (RAS)/ 

Contact Information

Arizona, Alaska, California, Colorado, 

Guam, Hawaii, Indiana, Nevada, New 

Hampshire, New Mexico, New York, 

Oregon, Puerto Rico, Utah, Vermont, Virgin 

Islands and Washington

Jose Figueroa

(202) 245-6054

jose.figueroa@ed.gov

Connecticut, Illinois, Maine, Massachusetts, 

Michigan, Minnesota, Ohio and Rhode 

Island

Sharon Head

(202) 245-6131

sharon.head@ed.gov

Kentucky, Maryland, Mississippi, Missouri, 

Nebraska, North Dakota, Oklahoma, South 

Dakota, Tennessee, Texas and Wisconsin

Allison Hill

(202) 245-7775

allison.hill@ed.gov

Alabama, Arkansas, Delaware, District of 

Columbia, Florida, Georgia, Idaho, Iowa, 

Kansas, Louisiana, Montana, New Jersey, 

North Carolina, Pennsylvania, South 

Carolina, Virginia, West Virginia and 

Wyoming

Jay Savage

(202) 245-6612

jay.savage@ed.gov
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II. CHECKLIST OF REQUIRED REPORT FORMS

Form Name or Items Required (For State Use) 

Check When Completed

SECTION 1: COVER PAGE

 Cover Page

SECTION 2: REPORTING INFORMATION

 Race/Ethnicity Standards

SECTION 3: REQUIRED USES OF FUNDS AND PERMISSIVE USES OF FUNDS

 how did your state assess the career and technical education 

programs funded under Perkins IV

 how did your state develop, approve, or expand the use of 

technology in career and technical education

 what professional development programs did your state offer, 

including providing comprehensive professional development 

(including initial teacher preparation) for career and technical 

education teachers, faculty, administrators, and career guidance 

and academic counselors at the secondary and postsecondary 

levels

 how did your state provide support for career and technical 

education programs that improve the academic and career and 

technical skills of students through the integration of academics 

with career and technical education

 how did your state provide preparation for non-traditional fields 

in current and emerging professions, and other activities that 

expose students, including special populations, to high skill, high 

wage occupations

 how did your state support partnerships among local educational 

agencies, institutions of higher education, adult education 

providers, and, as appropriate, other entities, such as 

employers, labor organizations, intermediaries, parents, and 

local partnerships, to enable students to achieve state academic 

standards, and career and technical skills

 Serving individuals in state institutions

 how did your state provide support for programs for special 

populations that lead to high skill, high wage and high demand 

occupations

 how did your state offer technical assistance for eligible 

recipients

 did your state use Perkins funds to improve career guidance and 

academic counseling programs
- 10 -

 did your state use Perkins funds to establish agreements, 

including articulation agreements, between secondary school 

and postsecondary career and technical education programs to 

provide postsecondary education and training opportunities for 

students

 did your state use Perkins funds to support initiatives to facilitate 

the transition of sub baccalaureate career and technical 

education students into baccalaureate programs

 did your state use Perkins funds to support career and technical 

student organizations

 did your state use Perkins funds to support public charter 

schools operating career and technical education programs

 did your state use Perkins funds to support career and technical 

education programs that offer experience in, and understanding 

of, all aspects of an industry for which students are preparing to 

enter

 did your state use Perkins funds to support family and consumer 

sciences programs

 did your state use Perkins funds to support partnerships 

between education and business, or business intermediaries, 

including cooperative education and adjunct faculty 

arrangements at the secondary and postsecondary levels

 did your state use Perkins funds to support the improvement or 

development of new career and technical education courses and 

initiatives, including career clusters, career academies, and 

distance education

 did your state use Perkins funds to award incentive grants to 

eligible recipients for exemplary performance or for use for 

innovative initiatives under Sec. 135(c)(19) of Perkins IV

 did your state use Perkins funds to provide activities to support 

entrepreneurship education and training

 did your state use Perkins funds to provide career and technical 

education programs for adults and school dropouts to complete 

their secondary school education

 did your state use Perkins funds to provide assistance to 

individuals who have participated in Perkins assisted services 

and activities in continuing their education or training or finding 

appropriate jobs

 did your state use Perkins funds to develop valid and reliable 

assessments of technical skills

 did your state use Perkins funds to develop or enhance data 

systems to collect and analyze data on secondary and 

postsecondary academic and employment outcomes did your 

state use Perkins funds to improve the recruitment and retention 

of career and technical education teachers, faculty, 

administrators, or career guidance and academic counselors, and 

the transition to teaching from business and industry, including 
- 11 -

small business

 did your state use Perkins funds to support occupational and 

employment information resources

SECTION 4: TECHNICAL SKILL ASSESSMENTS

 the program areas for which the state had technical skill assessments at the secondary and 

postsecondary level. Select the type of assessment and measurement approach

 state's plan and timeframe for increasing the coverage of programs

SECTION 5: FINANCIAL STATUS REPORTS (FSRs)

 Interim Financial Status Report Form

 Final Financial Status Report Form

SECTION 6: STUDENT ENROLLMENT

 Enrollment of CTE Participants

 Enrollment of CTE Concentrators

SECTION 7: PERFORMANCE REPORTS

Postsecondary Level

 Core Indicator 1P1: Technical Skill Attainment

 Core Indicator 2P1: Credential, Certificate, or Degree

 Core Indicator 3P1: Student Retention of Transfer 

 Core Indicator 4P1: Student Placement 

 Core Indicator 5P1: Nontraditional Participation

 Core Indicator 5P2: Nontraditional Completion

Form Name or Items Required (For State Use) 

Check When Completed

Adult Level 

*Note: These forms are applicable only to States that chose to negotiate with the 
- 12 -

Department on separate student definitions and performance levels for their adult CTE 

programs.

 Core Indicator 1A1: Technical Skill Attainment

 Core Indicator 2A1: Credential, Certificate, or Degree

 Core Indicator 3A1: Student Retention of Transfer 

 Core Indicator 4A1: Student Placement 

 Core Indicator 5A1: Nontraditional Participation

 Core Indicator 5A2: Nontraditional Completion

Additional Indicators of Performance

 Additional Indicator: [Insert Title of Indicator] 

 Additional Indicator: [Insert Title of Indicator} 

SECTION 8: PROGRAM IMPROVEMENT PLANS 

 Required Program Improvement Plans

 Secondary Program Improvement Plans
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III.

CONSOLIDATED ANNUAL REPORT 

(CAR) INSTRUMENT AND 

INSTRUCTIONS
- 14 -

SECTION 1: COVER PAGE FOR THE CONSOLIDATED ANNUAL REPORT

UNDER THE CARL D. PERKINS CAREER AND

TECHNICAL EDUCATION ACT OF 2006 (PERKINS IV)

1. Recipient Organization:

Organization Name:

2. Period covered by this report:

State Date: 

(MM/DD/YY) 

End Date: __________________

(MM/DD/YY)

3. PR/Award Numbers:

Title I (State Basic Grant):

Remarks: (Any explanation deemed necessary or information required by Federal sponsoring 

agency in compliance with governing legislation)

4. Lead individuals completing this report:

Select the lead individuals completing the report. If additional individuals without accounts 

will be completing the report, return the Submit Your Report page and click “Request Access” 

to submit a request for additional user accounts.

1. Please select the individual responsible for the narrative performance information 

in this report.
- 15 -

2. Please select the individual responsible for the financial status report information 

in this report.

3. Please select the individual responsible for the narrative performance information 

in this report.

4. Please select the individual responsible for the narrative performance information 

in this report.
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SECTION 3: NARRATIVE PERFORMANCE INFORMATION

Each State must address all the items below and, to the extent possible, use bullets, tables, and 

charts to summarize key points of its performance in the past program year. 

1. Implementation of State Leadership Activities

Section 124(b) and (c) of Perkins IV describe the required and permissible uses of State 

leadership funds, respectively. Provide a summary of your State’s major initiatives and 

activities in each of the required areas, as well as any of the permissible areas that your State 

has chosen to undertake during the program year. 

a. Required Uses of Funds 

 Conducting an assessment of the vocational and technical education programs 

funded under Perkins IV. 

 Developing, improving, or expanding the use of technology in career and 

technical education.

 Offering professional development programs, including providing comprehensive 

professional development (including initial teacher preparation) for career and 

technical education teachers, faculty, administrators, and career guidance and 

academic counselors at the secondary and postsecondary levels. 

 Providing support for career and technical education programs that improve the 

academic and career and technical skills of students through the integration of 

academics with career and technical education. 

 Providing preparation for non-traditional fields in current and emerging 

professions, and other activities that expose students, including special 

populations, to high skill, high wage occupations, except that one-day or shortterm workshops or conferences are not allowable.

 Supporting partnerships among local education al agencies, institutions of higher 

education, adult education providers, and, as appropriate, other entities, such as 

employers, labor organizations, intermediaries, parents, and local partnerships, to 

enable students to achieve State academic standards, and career and technical 

skills, or complete career and technical programs of study.

 Serving individuals in State institutions.

 Providing support for programs for special populations that lead to high skill, high 

wage and high demand occupations.

 Offering technical assistance for eligible recipients.

b. Permissible Activities 

 Improving career guidance and academic counseling programs. 

 Establishing agreements, including articulation agreements, between secondary

school and postsecondary career and technical education programs to provide 

postsecondary education and training opportunities for students.
- 17 -

 Supporting initiatives to facilitate the transition of subbaccalaureate career and 

technical education students into baccalaureate programs. 

 Supporting career and technical student organizations. 

 Supporting public charter schools operating career and technical education 

programs.

 Supporting career and technical education programs that offer experience in, and 

understanding of, all aspects of an industry for which students are preparing to 

enter.

 Supporting family and consumer sciences programs.

 Supporting partnerships between education and business or business 

intermediaries, including cooperative education and adjunct faculty arrangements 

at the secondary and postsecondary levels.

 Supporting the improvement or development of new career and technical 

education courses and initiatives, including career clusters, career academies, and 

distance education.

 Awarding incentive grants to eligible recipients for exemplary performance or for 

use for innovative initiatives under section 135(c)(19) of Perkins IV.

 Providing activities to support entrepreneurship education and training.

 Providing career and technical education programs for adults and school dropouts 

to complete their secondary school education.

 Providing assistance to individuals who have participated in Perkins-assisted 

services and activities in continuing their education or training or finding 

appropriate jobs.

 Developing valid and reliable assessments of technical skills.

 Developing or enhancing data systems to collect and analyze data on secondary

and postsecondary academic and employment outcomes.

 Improving the recruitment and retention of career and technical education 

teachers, faculty, administrators, or career guidance and academic counselors, and 

the transition to teaching from business and industry, including small business.

 Supporting occupational and employment information resources.

2. Progress in Developing and Implementing Technical Skill Assessments

Section 113(b) of Perkins IV describes the core indicators of performance for career and 

technical education students for which each State is required to gather data and report 

annually to the Department. Among the core indicators is student attainment of career and 

technical skill proficiencies, including student achievement on technical assessments aligned 

with industry-recognized standards, if available and appropriate. [See section 

113(b)(2)(A)(ii) of Perkins IV.] While the Department recognizes that a State may not have 

technical skill assessments aligned with industry-recognized standards in every career and 

technical education program area and for every career and technical education student, the 

Department asked each State to identify, in Part A, Section VI (Accountability and 

Evaluation) of its new Perkins IV State Plan: (1) the program areas for which the State had 

technical skill assessments; (2) the estimated percentage of students who would be reported 

in the State’s calculation of career and technical education concentrators who took 

assessments; and (3) the State’s plan and timeframe for increasing the coverage of programs 
- 18 -

and students reported in this indicator in the future. Please provide an update, using the chart 

below, http://www.ed.gov/policy/sectech/guid/cte/perkinsiv/studentdef.doc on your State’s 

progress and plan for implementing technical skill assessments with respect to items one 

through three above.

3. Implementation of State Program Improvement Plans

Section 123(a)(1) of Perkins IV requires each State, that fails to meet at least 90 percent of an 

agreed upon State adjusted level of performance for any of the core indicators of 

performance described in section 113(b)(3) of Perkins IV, to develop and implement a 

program improvement plan, with special consideration given to performance gaps identified 

under section 113(c)(2) of Perkins IV. The plan must be developed and implemented in 

consultation with appropriate agencies, individuals, and organizations. It must be 

implemented during the first program year succeeding the program year for which the State 

failed to meet its State adjusted levels of performance for any of the core indicators of 

performance. 

Please review your State’s accountability data in Part D of this report. If your State failed to 

meet at least 90 percent of a State-adjusted level of performance for any of the core 

indicators of performance under section 113 of Title I of the Act, please provide a State 

program improvement plan that addresses, at a minimum, the following items:

 The core indicator(s) that your State failed to meet at the 90 percent threshold.

 The disaggregated categories of students for which there were quantifiable disparities 

or gaps in performance compared to all students or any other category of students.

 The action steps which will be implemented, beginning in the current program year, to 

improve the State’s performance on the core indicator(s) and for the categories of 

students for which disparities or gaps in performance were identified.

 The staff member(s) in the State who are responsible for each action step.

 The timeline for completing each action step.

4. Implementation of Local Program Improvement Plans

Section 123(b)(1) of Perkins IV requires each State to evaluate annually, using the local 

adjusted levels of performance described in section 113(b)(4) of Perkins IV, the career and 

technical education activities of each eligible recipient receiving funds under the basic grant 

program (Title I of the Act). Section 123(b)(2) of Perkins IV further requires that if the 

State, after completing its evaluation, determines that an eligible recipient failed to meet at 

least 90 percent of an agreed upon local adjusted level of performance for any of the core 

indicators of performance described in section 113(b)(4) of Perkins IV, the eligible recipient 

shall develop and implement a program improvement plan with special consideration given 

to performance gaps identified under section 113(b)(4)(C)(ii)(II) of Perkins IV. The local 

improvement plan must be developed and implemented in consultation with appropriate 

agencies, individuals, and organizations. It must be implemented during the first program 

year succeeding the program year for which the eligible recipient failed to meet its local 

adjusted levels of performance for any of the core indicators of performance.
- 19 -

Review the accountability data submitted by your State’s eligible recipients. Indicate the 

total number of eligible recipients that failed to meet at least 90 percent of an agreed upon 

local adjusted level of performance and that will be required to implement a local program 

improvement plan for the succeeding program year. Note trends, if any, in the performance 

of these eligible recipients (i.e., core indicators that were most commonly missed, including 

those for which less than 90 percent was commonly achieved; disaggregated categories of 

students for whom there were disparities or gaps in performance compared to all students).
- 20 -

SECTION 5: FINANCIAL STATUS REPORTS (FSR)

1. Basic Reporting Requirements 

Federal funds under Perkins IV, similar to most state-administered programs, are available for 

obligation in the State for a 15-month period from July in the fiscal year for which the funds were 

appropriated through September 30 of the following fiscal year (referred to as the “funding 

period”). Any unobligated Perkins IV funds (referred to as “carryover funds”) are then covered by 

the so-called “Tydings Amendment,” which gives States an additional 12 months to obligate those 

funds. As a result, a State has up to 27 months to obligate funds awarded in any fiscal year. A 

State cannot make additional obligations against the grant award after the end of the Tydings 

period. A State has three months following the 27-month period in which to liquidate its 

obligations.

A State must complete two separate forms to meet the requirement for the submission of annual 

financial status reports (FSRs) to the Department: an interim FSR and a final FSR. The interim 

report covers the first 15-month period for which the grant was awarded, while the final report 

covers the entire 27-month period for which the grant was awarded. A State must liquidate all 

existing obligations at the time it files its final FSR. 

States report on their Perkins IV Title I (State basic) grants for the same fiscal year on the same 

form. States that use the Perkins Information Management System (PIMS) will be able to take 

advantage of the automatic calculations built into the system to add and subtract the rows and 

columns as denoted below.

2. Instructions for Completing the FSR Forms

a. Grant Information – Blocks 1 through 12

Above the FSR matrix are the following items, which must be completed: 

 Box 1 – Recipient Organization – the organization name and address is prepopulated. Confirm the recipient organization information. If the information is 

incorrect contact your Regional Accountability Specialist (RAS). 

 Box 2 –Period Covered By This Report – the 15-month funding period for the 

Title I grant award (i.e., July 1, 2007 through September 30, 2008). The start and 

end dates.

 Box 3 – PR/Award Numbers – the grant award numbers for the Title I grant.

 Box 4 – Accounting Basis – the accounting method used by the State to track 

program expenditures (e.g., cash or accrual)

 Box 5 – Grant Award Number – the grant award number for the Title 1 grant.
- 21 -

 Box 6 – Grant Award Amount - the amount of the Title I grant award as indicated 

on the grant award notification (GAN).

 Box 7 - Amended Final FSR – a check () in the box indicates that the State is 

filing an amended final FSR as of the date indicated on the accompanying line. See 

Section I, Item D for further instructions on submitting an amended final FSR.

Below the FSR matrix is the following item, which must be completed: 

 Box 12– the report must be certified and signed by the State official authorized by

State law to perform these functions on behalf of the State. This authorized 

individual may use the PIN supplied to the State by the Department per the 

instructions listed in Section I, item B. The use of the PIN to certify and submit 

the CAR is the same as certifying and signing the document. 

b. Line Items – Rows A through S

Below are row headings that appear on the FSR matrix. Headings are listed in the 

order in which they appear (top to bottom) on the FSR. Unless otherwise specified, a 

State must provide information pertaining to each of these rows on the columns of the 

FSR as indicated below.

 Row A – Total Title I Funds – the total amount of the grant award made to the 

eligible agency under section 111 of Title I of the Act for the funding period 

covered by the FSR. No information needs to be entered for this row on the 

FSR.

 Row B – Local Uses of Funds – the total amount of funds under Title I of 

Perkins IV that the eligible agency distributes to eligible recipients. This amount 

shall not be less than 85 percent of the total Title I allocation. No information 

needs to be entered for this row on the FSR.

 Row C – Reserve – the total amount of funds under Title I of Perkins IV that the 

eligible agency makes available as a reserve for eligible recipients under section 

112(c) of Perkins IV. This amount shall not be more than 10 percent of the funds 

made available for distribution to eligible recipients. No information needs to be 

entered for this row on the FSR.

 Row D – Funds for Secondary Recipients – enter information pertaining 

to the amount of reserve funds made available to secondary recipients.

 Row E – Funds for Postsecondary Recipients – enter information 

pertaining to the amount of reserve funds made available to postsecondary

recipients.
- 22 -

 Row F – Total – enter information pertaining to the total amount of reserve 

funds made available to eligible recipients. (Row D plus Row E)

 Row G – Formula Distribution – the total amount of funds under Title I of 

Perkins IV that the eligible agency distributes by formula under sections 131 and 

132 of Perkins IV to eligible secondary and postsecondary recipients, 

respectively, after subtracting any funds to be distributed under a reserve. No 

information needs to be entered for this row on the FSR.

 Row H – Funds for Secondary Recipients – enter information pertaining 

to the amount of funds distributed by formula to secondary recipients.

 Row I – Funds for Postsecondary Recipients – enter information 

pertaining to the amount of funds distributed by formula to postsecondary

recipients.

 Row J – Total – enter information pertaining to the total amount of funds 

distributed by formula to eligible recipients. (Row H plus Row I)

 Row K – Total Local Uses of Funds – enter information pertaining to the total 

amount of Title I funds that the eligible agency distributes under the reserve and 

by formula to eligible recipients. (Row F plus Row J)

 Row L – State Leadership – the total amount of funds under Title I of Perkins 

IV that the eligible agency uses to carry out the State leadership activities 

described in section 124 of Perkins IV. This amount shall not be more than 10 

percent of the eligible agency’s total Title I funds. No information needs to be 

entered for this row on the FSR.

 Row M – Nontraditional Training and Employment – enter information 

pertaining to the total amount of State leadership funds made available for 

services that prepare individuals for non-traditional fields. This amount 

shall not be less than $60,000 and not be more than $150,000.

 Row N – State Institutions – enter information pertaining to the total 

amount of State leadership funds made available to serve individuals in 

State institutions, such as State correctional institutions and institutions that 

serve individuals with disabilities. This amount shall not be more than one 

percent of the eligible agency’s total Title I funds.

 Row O – Other Leadership Activities – enter information pertaining to the 

amount of other State leadership funds made available.

 Row P – Total State Leadership – enter information pertaining to the total 

amount of Title I funds for State leadership activities. (Row M plus Row N 

plus Row O)
- 23 -

 Row Q – State Administration – the total amount of Title I funds that the 

eligible agency uses to carry out the State administration activities described in 

section 121 of Perkins IV. This amount shall not be more than 5 percent, or 

$250,000, whichever is greater, of the eligible agency’s total Title I funds. No 

information needs to be entered for this row on the FSR.

 Row R – Total State Administration – enter information pertaining to the 

total amount of Title I funds for State administration activities.

 Row S – Total Title I Funds – enter information pertaining to the total amount of 

funds that the eligible agency uses to carry out activities under Title I of Perkins 

IV. This amount includes funds for local uses, State leadership, and State 

administration. (Row K plus Row P plus Row R) 

c. Line items - Columns 1 through 11

The column headings on the FSR matrix are used to track expenditures for each of the 

rows noted above and are generally self-explanatory. Notes are provided below to 

further assist you in completing the FSR.

 Column 1 – Net Outlays Previously Reported – this column will be blank for 

the interim report; for the final report, this column should reflect column 4 of the 

interim report.

 Column 2 – Total Outlays This Report Period – this column reports first-year 

expenditures for the interim report and carry-over year expenditures on the final 

report. It includes non-Federal outlays made during the reporting period.

 Column 3 – Program Income Credits – this column reports program income, 

which is discussed in detail in EDGAR at 34 CFR 80.25. This column will be 

blank in most instances.

 Column 4 – Net Outlays This Report Period – this column eliminates program 

income from total outlays. (Column 2 minus Column 3)

 Column 5 – Net Outlays To Date – this column reports net outlays to date. This 

column is the same as column 4 on the interim report; for the final report, this 

column is the sum of column 1 and column 4 (Column 1 plus Column 4)

 Column 6 – Non-Federal Share of Outlays – this column reports non-Federal 

outlays, including the State expenditures to meet the matching and hold-harmless 

requirements of sections 112(b) and 323(a) of Perkins IV.
- 24 -

 Column 7 – Total Federal Share of Outlays – this column establishes the total 

level of Federal outlays by eliminating non-Federal outlays. (Column 5 minus 

Column 6)

 Column 8 – Federal Share of Unliquidated Obligations – this column 

establishes the Federal level of unliquidated obligations. 

 Column 9 – Federal Share of Outlays and Unliquidated Obligations – this 

column represents the total outlays made and the level of unliquidated obligations 

outstanding. (Column 7 plus Column 8)

 Column 10 – Federal Funds Authorized – this column should reflect the 

available resources from the total Title I grant funds earmarked for the specific 

row purpose. 

 Column 11 – Balance of Federal Funds – this column should reflect only 

unobligated funds available for the carry-over year for the interim report; for the 

final report, this column must reflect the amount of lapsed funds that the State is 

returning to the Federal Treasury. (Column 9 minus Column 10)
- 25 -

SECTION 7: PERFORMANCE REPORT

To meet the requirement for the submission of annual performance data to the Department, a State 

must complete the following forms: student enrollment forms, accountability data forms for the 

core indicators of performance under section 113 of Title I of the Act In completing the forms, 

each State must use the basic reporting instructions and definitions as described below.

1. Basic Reporting Instructions 

a. All Forms 

 A State must report performance data for the preceding program year. For 

example, in its December 31, 2014, CAR submission, a State must report 

performance data for program year covering July 1, 2013, through June 30, 2014.

 A State must report on all students participating in public career and technical 

education in the State, meaning that a State must report on both its Perkins-funded 

and non-Perkins funded public career and technical education programs, 

including those at public charter schools. Further, a State also must report on all 

students participating in career and technical education at private agencies or 

institutions that receive Perkins funds in the State.

 A State must use its definitions for a “CTE participant” and “CTE concentrator” 

at the secondary, postsecondary, and, if applicable, adult levels as described in its 

Final Agreed Upon Performance Levels (FAUPL) form incorporated into its 

approved Perkins IV State Plan.

b. Student Enrollment Form for CTE Participants and Accountability Data Forms 

for Section 113 of Perkins IV: Disaggregating Data

 A State must provide disaggregated data on: (1) the Student Enrollment Form on 

CTE Participants; and (2) the Accountability Data Forms for the Perkins IV 

Section 113 Core Indicators of Performance (Title I – State Basic Grant). 

Definitions for the race, ethnicity, special populations, and other student 

categories are provided in Section 2 below. 

 Consistent with the “Final Guidance on Maintaining, Collecting, and Reporting 

Racial and Ethnic Data,” issued by the Department on October 19, 2007, a State 

may choose to report the required data disaggregated by race and ethnicity using 

the categories and definitions based on: 

 “The Standards for the Classification of Federal Data on Race and Ethnicity 

(Statistical Policy Directive No. 15)” issued by the Office of Management 

and Budget (OMB) in 1977; 
- 26 -

 The “Revisions to the Standards for the Classification of Federal Data on 

Race and Ethnicity” issued by OMB in 1997: or

 Any additional or combined categories that a State uses for NCLB as 

approved in its Consolidated State Accountability Worksheet. 

 A State must provide disaggregated data for each of the special populations, as 

defined in section 3(29) of Perkins IV. Definitions for the special population 

categories are provided in Section 2 below.

 A State also must provide disaggregated data for each of the categories of 

students described in section 1111(h)(1)(C)(i) of the Elementary and Secondary

Education Act of 1965 (ESEA), as reauthorized by the No Child Left Behind Act 

of 2001 (NCLB), except that the Department must ensure that a State does not 

report duplicative disaggregated data. Based on this, a State must provide 

disaggregated data by gender, race, ethnicity, disability status as required by

NCLB, and migrant status. Definitions for these categories of students are 

provided in Section 2 below.

 Disaggregated data by special populations and other student categories may be 

duplicative counts; for example, a student may be both “Limited English

Proficient” and “Economically Disadvantaged.”

 A State will report all secondary performance data i.e. 1S1, 1S2, 2S1, 3S1, 4S1, 

5S1, 6S1, and 6S2 in the EDEN/EDFacts system. States may not report these 

performance data in the CAR system. States will report all Post-Secondary, Adult 

Level and additional performance data forms in the CAR system.

c. Student Enrollment Forms

 A State must provide an unduplicated count of its “CTE participants” and must 

disaggregate data for its “CTE participants” by gender, race, ethnicity, special 

populations, and other student categories as required by NCLB. 

 A State must provide an unduplicated count of its “CTE concentrators” using the 

16 career cluster categories recognized by OCTAE and the National Association 

for State Directors for Career and Technical Education Consortium 

(NASDCTEc). If a program area or sequence of courses recognized by the State 

is broader than one of the sixteen career cluster areas or cuts across more than one 

career cluster area, then the State must select the most appropriate cluster in 

which to place the student. If the State does not provide one or more of the 16 

career clusters, please indicate a -9 in that column. If the State has a different 
- 27 -

name for a cluster, the State should find the closest applicable of the 16 clusters in 

which to place the student. 

 Each cell on the student enrollment form must contain only one of the following four options: a 

whole number, "0" (zero), negative one "-1" (data not provided), or negative nine "-9" (program 

not offered). 0 indicates that there are no students in the cell. -1 means that the State attempted, 

but was unable, to obtain data from its eligible recipients. "-1" will be counted as a "0" in 

aggregated totals. All cells with "-1" must be explained in the Additional Information block at the 

bottom of the form. -9 means the State does not offer the program. 

d. Accountability Data Forms for the Core Indicators of Performance under Section 

113 of Title I of the Act (Title I – State Basic Grant)

 Separate forms are provided for any State that has submitted and received 

approval for student definitions and measurement approaches for adult 

postsecondary career and technical education programs as part of its Perkins IV 

State Plan.

 Separate forms are provided for any State that has identified additional indicators 

of performance as described in section 113(b)(2)(C) of Perkins IV. 

2. Definition of Terms

a. Race and Ethnicity Categories in the 2007 Revised Standards

A State may report disaggregated data by race and ethnicity using the following 

categories and definitions based on the Revisions to the Standards for the Classification 

of Federal Data on Race and Ethnicity that was issued by OMB in 2007: 

 American Indian or Alaskan Native – A person having origins in any of the 

original peoples of North and South America (including Central America), and 

who maintains a tribal affiliation or community attachment. 

 Asian – A person having origins in any of the original peoples of the Far East, 

East, Southeast Asia, or the Indian subcontinent including, for example, 

Cambodia, China, India, Japan, Korea, Malaysia, Pakistan, the Philippine Islands, 

Thailand, and Vietnam.

 Black or African American – A person having origins in any of the Black racial 

groups of Africa.
- 28 -

 Hispanic or Latino– A person of Cuban, Mexican, Puerto Rican, South or 

Central American, or other Spanish culture or origin.

 Native Hawaiian or Other Pacific Islander – A person having origins in any of 

the original peoples of Hawaii, Guam, Samoa, or other Pacific Islands.

 White – A person having origins in any of the original peoples of Europe, the 

Middle East, or North Africa. 

 Two or More Races – A person belonging to two or more racial groups.

 Race and/or Ethnicity Unknown – A postsecondary student only who does not 

self-identify a race and/or ethnicity on a local information collection. 

b. Race and Ethnicity Categories Approved under NCLB

A State may report disaggregated data by race and ethnicity using any additional or 

combined categories as approved under NCLB as discussed above. In such a case, the 

State must report these categories in the “additional information” section on each form. 

c. Special Populations and Other Student Categories Described in NCLB

Unless otherwise noted, the following categories and definitions are described in section 3 

of Perkins IV.

 Disability Status: The term “disability status” as used in section 1111(h)(1)(C)(i) of 

the ESEA refers to a “child with a disability,” which under section 9101 of the ESEA 

has the same meaning as the term in section 602 of the Individuals with Disabilities 

Education Act. Under section 602(3) of the IDEA, the term “child with a disability” 

means a child “(i) with mental retardation, hearing impairments (including deafness), 

speech or language impairments, visual impairments (including blindness), serious 

emotional disturbance (referred to in this title as `emotional disturbance'), orthopedic 

impairments, autism, traumatic brain injury, other health impairments, or specific 

learning disabilities; and (ii) who, by reason thereof, needs special education and 

related services.”

 Displaced Homemaker: An individual who—

(A) (i) has worked primarily without remuneration to care for a home and family

and for that reason has diminished marketable skills; (ii) has been dependent 

on the income of another family member but is no longer supported by that 

income; or (iii) is a parent whose youngest dependent child will become 

ineligible to receive assistance under part A of title IV of the Social Security

Act (42 U.S.C. 601 et seq.) not later than 2 years after the date on which the 

parent applies for assistance under this title; and 

(B) is unemployed or underemployed and is experiencing difficulty in obtaining 

or upgrading employment. 
- 29 -

 Economically Disadvantaged: Individuals from economically disadvantaged 

families, including foster children. 

 Individual with Limited English Proficiency: A secondary school student, an 

adult, or an out-of-school youth, who has limited ability in speaking, reading, 

writing, or understanding the English language, and—

(A) whose native language is a language other than English; or

(B) who lives in a family or community environment in which a language other 

than English is the dominant language. 

 Individual with a Disability: The term "individual with a disability" means an 

individual with any disability (as defined in section 3 of the Americans with 

Disabilities Act of 1990 (ADA)). Under section 3(2) of the ADA, the term 

"disability" means, with respect to an individual, (A) a physical or mental 

impairment that substantially limits one or more of the major life activities of 

such individual; (B) a record of such an impairment; or (C) being regarded as 

having such impairment.

 Migrant Status: The term “migrant status” as used in section 1111(h)(1)(C)(i) of 

the ESEA is not defined; however, the Department strongly encourages a State to 

use the same definition of “migrant status” as a State uses in its annual State 

report card and as approved in its Consolidated State Accountability Workbook. 

 Nontraditional Fields: Occupations or fields of work, including careers in 

computer science, technology, and other current and emerging high skill 

occupations, for which individuals from one gender comprise less than 25 percent 

of the individuals employed in each such occupation or field of work.

 Single parents: The term "single parents" includes single pregnant women.

 Special populations: The term “special populations” means—

(A) individuals with disabilities;

(B) individuals from economically disadvantaged families, including foster 

children;

(C) individuals preparing for non-traditional fields;

(D) single parents, including single pregnant women;

(E) displaced homemakers; and

(F) individuals with limited English proficiency.