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ICRAS ICR ID and OMB Number: (XXXX) 1830-0569

Revised: 04/14/2014

RIN Number: XXXX-XXXX (if applicable)

SUPPORTING STATEMENT

FOR PAPERWORK REDUCTION ACT SUBMISSION

ICRAS ICR ID and OMB Number: (XXXX) 1830-0569

Revised 04/14/2014

RIN Number: XXXX-XXXX (if applicable)

A. Justification 

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

Identify any legal or administrative requirements that necessitate the collection. 

Attach a hard copy of the appropriate section of each statute and regulation 

mandating or authorizing the collection of information, or you may provide a valid 

URL link or paste the applicable section. Please limit pasted text to no longer than 3 

pages. Specify the review type of the collection (new, revision, extension, 

reinstatement with change, reinstatement without change). If revised, briefly specify 

the changes. If a rulemaking is involved, make note of the sections or changed 

sections, if applicable.

The extension of the collection instrument is submitted due to the July 2014 expiration 

date. The purpose of this information collection package, the Consolidated Annual 

Report (CAR),is to gather narrative, financial, and performance data as required by the 

Carl D. Perkins Career and Technical Education Act of 2006 (Perkins IV). 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. This includes 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. Finally, section 205 of Perkins IV 

requires each eligible agency that receives a tech prep allotment under section 201 of 

Title II of the Act (tech prep grant) to annually prepare and submit, to the Secretary, a 

report on the effectiveness of these programs, including a description of how tech prep 

grants were awarded within the State. The 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, the 

State, and local agencies affected by its policies. It provides 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, 
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ICRAS ICR ID and OMB Number: (XXXX) 1830-0569

Revised: 04/14/2014

RIN Number: XXXX-XXXX (if applicable)

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, in 

order to develop the academic, 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’ efforts to assist CTE students in achieving challenging academic and 

technical standards, and preparing them 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 revised 

CAR instrument.

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.

The information gathered through this package will be used in a variety of ways. First, 

narrative and financial information will be reviewed by the Office of Vocational and 

Adult Education (OVAE), Division of Academic and Technical Education (DATE), to 

determine each State’s compliance with basic provisions of Perkins IV and the Education 

Department General Administrative Regulations (34 CFR Part 80.40 [Annual 

Performance Report] and Part 80.41 [Financial Status Report]). For example, States are 

required to implement specific leadership activities in their State as well as to spend 

certain percentages of their funding to meet the academic and technical skill needs of 

various student populations (i.e. individuals preparing for nontraditional careers and 

individuals in State institutions). 

Second, DATE staff will review performance data to determine whether, and to what 

extent, each State has met its State adjusted levels of performance for the core indicators 

described in section 113(b)(4) of Perkins IV. A State that did not meet at least 90 percent 

of the adjusted levels of performance for any of the core indicators described in section 

113(b)(4) of Perkins IV is required to develop and submit, as part of its CAR report, a 

program improvement plan with special consideration to the performance gaps identified 

under section 113(c)(2) of Perkins IV. The improvement plan must address each core 

indicator(s) that a State failed to meet; disaggregated categories of students for which 

there were quantifiable disparities or gaps in performance compared to all students or any 

other category of students; steps that will be implemented, beginning in the current 

program year; staff members in the State who are responsible for each action step; and 

the timeline for completing each action step. DATE staff will review these plans in order 

to determine whether they are thorough and appropriate in addressing the indicator(s) that 

were not met at the 90 percent level.

Third, section 113(c)(3)(C) of Perkins IV requires the Secretary to provide the 

appropriate committees of Congress copies of annual reports received by the department 
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ICRAS ICR ID and OMB Number: (XXXX) 1830-0569

Revised: 04/14/2014

RIN Number: XXXX-XXXX (if applicable)

from each eligible agency that receives funds under the Act. Section 113(c)(3)(A) further 

requires the Secretary to make the information contained in such reports available to the 

general public. To meet this obligation, DATE compiles the CAR data into an annual 

report to Congress and makes the data available to the public online through the Peer 

Collaborative Resource Network at http://cte.ed.gov.

 

Fourth, DATE charts its own progress in helping States to improve the educational and 

employment outcomes for students who pursue career and technical education by setting 

annual performance targets for each of the core indicators of performance in section 

113(b). Targets and performance data are entered annually into the Department’s 

Program and Performance Management Database (PPMD)

Finally, DATE staff uses annual CAR information to determine which States will be 

monitored for an upcoming year or which States could benefit from technical assistance 

in particular areas. Annual CAR reviews have resulted in the identification of topics for 

annual Data Quality Institutes (DQIs), as well as the decision to offer customized 

technical assistance to States on accountability issues. This strategy has been wellreceived by the States and is deemed by OCTAE, effective in improving the reliability 

and validity of the Perkins data.

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

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

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

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

consideration given to using technology to reduce burden.

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

electronically via the Department’s Program Information Management System Web site 

at https://perkins.ed.gov/Account/LogOn?ReturnUrl=%2f . This Web site allows a State 

to complete its CAR report using Web-based forms and to certify to the accuracy and 

completeness of its submission using electronic Personal Identification Numbers (PINs). 

The State CTE director must then 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 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 handwritten signature by the State official. State officials are responsible for protecting the 

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

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 Question 2 above.

This information gathered as part of this collection is not required to be submitted to any

other office within the Department of Education.

5. If the collection of information impacts small businesses or other small entities, 

describe any methods used to minimize burden. A small entity may be (1) a small 
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ICRAS ICR ID and OMB Number: (XXXX) 1830-0569

Revised: 04/14/2014

RIN Number: XXXX-XXXX (if applicable)

business which is deemed to be one that is independently owned and operated and 

that is not dominant in its field of operation; (2) a small organization that is any notfor-profit enterprise that is independently owned and operated and is not dominant 

in its field; or (3) a small government jurisdiction, which is a government of a city, 

county, town, township, school district, or special district with a population of less 

than 50,000.

This collection does not impact small business.

6. Describe the consequences to 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.

Without the information gathered through the CAR, the Department would be unable to 

determine whether, and to what extent, States were complying with the Perkins IV 

legislation or other applicable federal regulations. The Department would be unable to 

sufficiently review each State’s progress in meeting its adjusted levels of performance, 

much less determine its own effectiveness in helping States to achieve the purposes of the 

Act. The statute dictates the frequency of collection and the types of information that 

must be collected.

7. Explain any special circumstances 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 than 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 that unnecessarily 

impedes sharing of data with other agencies for 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.

There are no special circumstances that require the collection to be conducted in a 

manner inconsistent with the guidelines in 5 CFR 1320.6.
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ICRAS ICR ID and OMB Number: (XXXX) 1830-0569

Revised: 04/14/2014

RIN Number: XXXX-XXXX (if applicable)

8. As applicable, state that the Department has published the 60 and 30 Federal 

Register notices as 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 records 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.

A 60-Day and 30-Day Federal Register Notice published for CAR.

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

remuneration of contractors or grantees with meaningful justification.

The respondents will not receive any payment or gift for completing the information 

collection.

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

the assurance in statute, regulation, or agency policy. If personally identifiable 

information (PII) is being collected, a Privacy Act statement should be included on 

the instrument. Please provide a citation for the Systems of Record Notice and the 

date a Privacy Impact Assessment was completed as indicated on the ICRAS’ Part 2 

IC form. A confidentiality statement with a legal citation that authorizes the pledge 

of confidentiality should be provided. Requests for this information are in 

accordance with the following ED and OMB policies: Privacy Act of 1974, OMB 

Circular A-108 – Privacy Act Implementation – Guidelines and Responsibilities, 

OMB Circular A-130 Appendix I – Federal Agency Responsibilities for Maintaining 

Records About Individuals, OMB M-03-22 – OMB Guidance for Implementing the 

Privacy Provisions of the E-Government Act of 2002, OMB M-06-15 – Safeguarding 

Personally Identifiable Information, OM:6-104 – Privacy Act of 1974 (Collection, 

Use and Protection of Personally Identifiable Information). If the collection is 

subject to the Privacy Act, the Privacy Act statement is deemed sufficient with 

respect to confidentiality. If there is no expectation of confidentiality, simply state 

that the Department makes no pledge about the confidentially of the data.

There are no assurances of confidentiality.

11. 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. The justification should include the reasons why the 
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ICRAS ICR ID and OMB Number: (XXXX) 1830-0569

Revised: 04/14/2014

RIN Number: XXXX-XXXX (if applicable)

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.

12. Provide estimates of the hour burden of the collection of information. The 

statement should:

 Indicate the number of respondents by affected public type (federal government, 

individuals or households, private sector – businesses or other for-profit, private 

sector – not-for-profit institutions, farms, state, local or tribal governments), 

frequency of response, annual hour burden, and an explanation of how the 

burden was estimated, including identification of burden type: recordkeeping, 

reporting or third party disclosure. All narrative should be included in Question

12. Unless directed to do so, agencies should not conduct special surveys to 

obtain information on which to base hour burden estimates. Consultation with a 

sample (fewer than 10) of potential respondents is desirable. If the hour burden 

on respondents is expected to vary widely because of differences in activity, size, 

or complexity, show the range of estimated hour burden, and explain the reasons 

for the variance. Generally, estimates should not include burden hours for 

customary and usual business practices.

 If this request for approval covers more than one form, provide separate hour

burden estimates for each form. (The table should at minimum include 

Respondent types, Number of Respondents and Responses, Hours/Response, and 

Total Hours)

 Provide estimates of annualized cost to respondents of 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 Question 14.

With both Professional and Clerical staff completing the CAR, 

total annual burden hours for this extension are 9,570 hours. 

Program 

Year

Estimated 

Number of 

Responses

Type of Staff Estimated 

Number of 

Burden Hours 

Per Response

Total 

Estimated 

Number of 

Burden 

Hours

2013-

2014

55 Professional

Clerical

TOTAL

102

72

5,610

3,960
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ICRAS ICR ID and OMB Number: (XXXX) 1830-0569

Revised: 04/14/2014

RIN Number: XXXX-XXXX (if applicable)

Program 

Year

Estimated 

Number of 

Responses

Type of Staff Estimated 

Number of 

Burden Hours 

Per Response

Total 

Estimated 

Number of 

Burden 

Hours

ANNUAL

AVERAGE

55 174 9,570

13. Provide an estimate of the total annual cost burden to respondents or record 

keepers resulting from the collection of information. (Do not include the cost of any 

hour burden shown in Questions 12 and 14.)

 The cost estimate should be split into two components: (a) a total capital and 

start-up cost component (annualized over its expected useful life); and (b) a total 

operation and maintenance and purchase of services component. The estimates 

should take into account costs associated with generating, maintaining, and 

disclosing or providing the information. Include descriptions of methods used to 

estimate major cost factors including system and technology acquisition, 

expected useful life of capital equipment, the discount rate(s), and the time 

period over which costs will be incurred. Capital and start-up costs include, 

among other items, preparations for collecting information such as purchasing 

computers and software; monitoring, sampling, drilling and testing equipment; 

and acquiring and maintaining record storage facilities.

 If cost estimates are expected to vary widely, agencies should present ranges of 

cost burdens and explain the reasons for the variance. The cost of contracting 

out information collection services should be a part of this cost burden estimate. 

In developing cost burden estimates, agencies may consult with a sample of 

respondents (fewer than 10), utilize the 60-day pre-OMB submission public 

comment process and use existing economic or regulatory impact analysis 

associated with the rulemaking containing the information collection, as 

appropriate.

 Generally, estimates should not include purchases of equipment or services, or 

portions thereof, made: (1) prior to October 1, 1995, (2) to achieve regulatory 

compliance with requirements not associated with the information collection, (3) 

for reasons other than to provide information or keep records for the 

government or (4) as part of customary and usual business or private practices.

Also, these estimates should not include the hourly costs (i.e., the monetization of 

the hours) captured above in Question 12.

Total Annualized Capital/Startup Cost : $ .00

Total Annual Costs (O&M) : $ .00

Total Annualized Costs Requested : $ .00
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ICRAS ICR ID and OMB Number: (XXXX) 1830-0569

Revised: 04/14/2014

RIN Number: XXXX-XXXX (if applicable)

14. Provide estimates of annualized cost to the Federal government. Also, provide a 

description of the method used to estimate cost, which should include quantification 

of hours, operational expenses (such as equipment, overhead, printing, and support 

staff), and any other expense that would not have been incurred without this 

collection of information. Agencies also may aggregate cost estimates from 

Questions 12, 13, and 14 in a single table.

The annual cost to the Federal government to implement this information collection is 

estimated at $44,521. This includes contractor beta testing and web site maintenance, 

and the salaries and expenses of DATE program staff who manage the process and 

review the CAR data. The method used to estimate the annual cost is as follows:

Program Office Staff:

1 GS-12 X 220 hours = $ 7,700 

1 GS-15 X 100 hours = $ 4,821

Total Program Office Staff: = $12,521

Contractor Staff: = $32,000

ESTIMATED FEDERAL COST = $44,521

15. Explain the reasons for any program changes or adjustments. Generally, 

adjustments in burden result from re-estimating burden and/or from economic 

phenomenon outside of an agency’s control (e.g., correcting a burden estimate or an 

organic increase in the size of the reporting universe). Program changes result from 

a deliberate action that materially changes a collection of information and generally 

are result of new statute or an agency action (e.g., changing a form, revising 

regulations, redefining the respondent universe, etc.). Burden changes should be 

disaggregated by type of change (i.e., adjustment, program change due to new 

statute, and/or program change due to agency discretion), type of collection (new, 

revision, extension, reinstatement with change, reinstatement without change) and 

include totals for changes in burden hours, responses and costs (if applicable).

There is a program change reduction of -1130 burden hours, the burden hours decreased 

due to the elimination of the option to complete and submit Microsoft Excel reporting 

forms to the website and mailing a hard paper copy of the entire package to the 

Department.

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.

An annual report to Congress is prepared and published using the information collected in the 

CAR instrument. 

 
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ICRAS ICR ID and OMB Number: (XXXX) 1830-0569

Revised: 04/14/2014

RIN Number: XXXX-XXXX (if applicable)

17. Provide the time schedule for the entire project, including beginning and ending 

dates of the collection of information, completion of report, publication dates, and 

other actions.

Below is the general schedule for production:

Task Timeline

States submit CAR data December 31 (deadline for reporting each year)

DATE staff review State’s CAR submissions January 1 – March 15

States receive notification on the approval of 

their CAR submissions

March 15

DATE staff, in collaboration with contractors, 

tabulate data and prepare individual State 

profiles

March 15 – April 15

DATE staff develops draft report May 15

DATE staff submits final draft report for 

Department clearance

June 1

DATE staff submits final report for Office of 

Communications and Outreach for final editing 

and printing

June 30

DATE staff submits final report to Congress July 15

18. 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 approval.

19. Explain each exception to the certification statement identified in the Certification 

of Paperwork Reduction Act.

This request is in compliance with 5 CFR 1320.9.