Handbook for Perkins III

Handbook for Perkins III

For New State Staff

- Perkins 101 -

Purpose and Overview

The purpose of this handbook is to introduce new state and program staff personnel to Perkins III. Hopefully, this will be a useful introduction that can be continually updated and adapted, and used as a basis of introduction to educators not familiar with Perkins III.

Many people need to be credited for contributions to this handbook. This document was compiled from various documents and resources collected over the past few years as a result of participation in professional development activities sponsored by NACTEI and NAPE, networking, and ongoing work with federal staff.

Please refer to List of References for sources.

After reading this handbook you will know:

The four categorical program areas supported by federal Perkins funds
The Federal Perkins responsibilities in the areas of administration and programs, accountability and program improvement, and fiscal control and compliance
The State Perkins responsibilities in the areas of administration and programs, accountability and program improvement, and fiscal control and compliance
The Subrecipient (Local) Perkins responsibilities in the areas of administration and programs, accountability and program improvement, and fiscal control and compliance
Important dates to remember
Sources of further information
Information about federal monitoring visits to states
Some information about some of the details that can help prevent you from greeting the “devil” at your door
And more….

Compiled by:

Nancy E. Warren, C.F.C.S.

Perkins Accountability and Evaluation Specilaist

Rhode Island Department of Education

255 Westminster Street

Providence, RI 02860

401.222-4600 ext. 2163

TABLE OF CONTENTS

Section I: Federal Administration of Perkins...... 5

I.Program Summary...... 5

State Basic Grant...... 5; 7-10

Tech Prep Grant...... 6; Appendix 2

National Activities...... 6-7; Appendix 3; 4; 5

ACRN...... 7; Appendix 6

II.Administration and Programs...... 8

Program objectives

Program procedures

Compliance requirements

Matching, level of effort, earmarking

III.Accountability and Program Improvement...... 9

IV.Fiscal Control and Compliance...... 9-10

V.Technical Assistance...... 10

VI.Important Dates to Remember...... 11

Section II: State Administration of Perkins ...... 12

I.Program Summary...... 12

II.Administration and Programs...... 12-14

Program objectives...... 12

Program procedures...... 12

III. Accountability and Program Improvement...... 14-22

...... Appendix: 7-24

IV.Fiscal Control and Compliance...... 22-27

V.Monitoring...... 27-34

VI. State Compliance...... 34-40

VII. Important Dates to Remember ...... 41

Section III: Local Level Administration of Perkins ...... 42

I.Program Summary...... 42

II.Administration and Programs...... 42-48

III.Accountability and Program Improvement...... 48-49

IV.Fiscal Control and Compliance...... 49-51

V.Monitoring...... 51-53

VI.Local Improvement Plan...... 53-56

VII.Important Dates to Remember...... 57

GUIDE TO PERKINS LANGUAGE...... 58-62

WEB SITE LINKS...... 63

LIST OF REFERENCES...... 64

APPENDIX

Section I:ADMINISTRATION OF PERKINS BY THE UNITED STATES DEPARTMENT OF EDUCATION

The Office of Vocational and Adult Education (OVAE) in the U.S. Department of Education is responsible for administering The Perkins Act. Through this endeavor OVAE hopes to enhance and support vocational education while promoting overall education reform. The purpose of the Perkins Act is to “develop more fully the academic, vocational, and technical skills of secondary and post-secondary students who elect to enroll in vocational and technical education programs” (Section 2, Carl D. Perkins Act of 1998). The Perkins Act defines vocational-technical education as organized educational programs offering sequences of courses directly related to preparing individuals for paid or unpaid employment in current or emerging occupations requiring other than a baccalaureate or advanced degree. Programs include competency-based applied learning that contributes to an individual’s academic knowledge, higher-order reasoning, problem solving skills, and the occupational-specific skills necessary for economic independence as a productive and contributing member of society. Together with the Workforce Investment Act of 1998, the Perkins Act of 1998 promotes the development of integrated education and workforce development systems at the State and local level.

I.Program Summary

Within the Perkins Act, the four authorized appropriations, which are described below, are:

State Basic Grant
Tech Prep Grant
National Activities
America’s Career Resource Network: Section 118k

Refer to appendix, page 1

State Basic Grant

Under the Perkins Act, federal funds are made available to help provide vocational-technical education programs and services to youth and adults. The vast majority of funds under the Perkins Act are awarded as grants to state education agencies. The State Basic Grants are allotted to states according to a formula based on states populations in certain age groups and their per capita income. When Perkins III was authorized, the total appropriation was 1.1 billion dollars, of which 1 billion dollars funded the State Basic Grants. Of this amount, 85% must go to secondary and post-secondary schools, no more than 10% should carry the State Leadership activities, and no more than %5 or $250, 000.00, whichever is greater, should go to administration of the state plan.

Each eligible agency desiring vocational and technical assistance under Perkins must submit a plan for a five-year period. A few required State leadership activities are the following: assessment of vocational and technical education programs including an assessment of how the needs of special populations are being met, improvement of the use of technology in vocational and technical education, professional development programs for academic, guidance, and administrative personnel, integration of academies with vocational and technical education, and providing preparation for nontraditional training and employment.

Tech Prep Grant

The remaining 100 million dollars is allotted to states for Tech Prep grants. Tech Prep programs contain an articulation agreement, consist of a minimum of 2 years of secondary education and at least 2 years of post-secondary education or an apprenticeship program of at least 2 years following secondary instruction. Each program should have a common core of required proficiency in math, science, reading, writing, communications, and technologies. Tech Prep should meet academic standards developed by the state and link secondary and 2-year post-secondary institutions, and if possible, 4-year post-secondary institutions. In addition, each program, where possible and appropriate, uses work-based learning, educational technology, and distance learning. Tech Prep should include in-service training for teachers and counselors and provide equal access to special populations. The funds can also be used to purchase equipment, acquire technical assistance from state and local entities with experience in Tech Prep, and establish articulation agreements with other post-secondary institutions and employers.

Refer to appendix, page 2

National Activities

The Perkins Act also allows for an appropriation of National Activities monies that the Office of Vocational and Adult Education can spend for such discretionary projects as the following: assisting states in improving their accountability systems, completing the implementation of the 16 career clusters, and supporting the National Research and Dissemination Centers (technical assistance, professional development, noticing exemplary programs).

Refer to appendix, page 3

Refer to appendix, page 4

Refer to appendix, page 5

America’s Career Resource Network: Section 118

Section 118 of the Perkins Act supports the America’s Career Resource Network (ACRN) program. ACRN aims to help states provide support for career guidance and academic counseling.

Refer to appendix, page 6

Basic Grants to States

Program Objectives

Basic Grants to States provides grants to States and outlying areas to develop the technical, vocational, and academic skills of secondary students and post-secondary students by:

Promoting the integration of vocational, academic, and technical instruction;
Developing challenging academic standards;
Increasing State and local flexibility in providing services and activities designed to develop, implement and improve vocational and technical education, including Tech Prep education.

Program Procedures

Participating States must designate or establish a State board of vocational education (referred to in Perkins III as the “sole State agency” or “eligible agency”) to administer and supervise State vocational education programs. In order to receive funds the state must have submitted a State plan for vocational education or a unified plan in the first year. For subsequent years, funds are distributed based on the approved plan together with such revisions as the sole State agency determines to be necessary.

The Department of Education (ED) allocates funds to the sole State agency based on a statutory formula. The State must allocate and use funds for the following statutorily prescribed activities or programs (referred to as the “basic programs”):

Secondary school vocational education programs, post-secondary, and adult vocational education programs (Perkins III, Title I-C);

(b) State programs and State leadership activities (Perkins III, Section 124);

( c ) State administration (Perkins III, Section 121).

The sole State agency may transfer funds to other State agencies to administer one or more of these programs. A State makes grants to subrecipients, operates programs directly, or contracts for services. Subrecipients submit plans or applications to the State in order to receive funds.

Source of Governing Requirements

This program is authorized by the Carl D. Perkins Vocational and Technical Education Act of 1998 (Perkins III), as amended, Pub. L. No. 105-332, which is codified at 20 USC 2301 et seq. Certain requirements applicable to the Perkins III grants are contained in the Workforce Investment Act of 1998 (WIA), Pub. L. No. 105-220.

The levels of responsibility for the administration of the federal Perkins program occur at the federal, state, and local level. The areas of responsibility are: Fiscal, Administration and Programs, Accountability and Program Improvement, and Local Plans.

II.Administration and Programs

118 (b) --- State Level Activities
121 (a) (1) (A) --- Coordination
121 (a) (1) (B) --- Consultation
121 (a) (1) (C)--- Convening
121 (a) (1) (D) --- Adoption of Procedures
121 (a) (2) --- Delegation of Authority
122 (a) (2) – Procedures for Revisions
122 (a J (3) --- Hearing Process
122 (b) (1) --- Consultations
122 (b) (2) --- Activities and Activities
122 (e) (3) --- Consultation with Other Agencies
124 (b) (1-8) --- Required Uses of State Leadership Funds
135 (b) (1-8) --- Required Uses of Funds
204 (a) --- Grant Program Authorized
204 (b)--- Duration
204 (c ) (1-7) --- Contents of Tech-Prep Program
205 (a) --- Application Submission
205 (c ) --- Local Plan Approval
205 (d) --- Special Considerations
205 (e) --- Equitable Distribution of Assistance

III.Accountability and Program Improvement

113 (b) (1) --- Input from Eligible Recipients
113 (b) (2) (A) --- Core Indicators
113 (b)(2) (B) --- Additional Indicators
113 (b) (3) (A) --- ALPs for Core Indicators
113 (b) (3) (B) --- ALPs for Additional Indicators
123 (a) --- State Program Improvement Plan
123 (b) --- Local Evaluation
123 (c ) (1) --- Local Improvement Plan
123 (c ) (2) --- Local Improvement Plan Consultation

IV.Fiscal Control and Compliance

112 (a) (1) --- 85% for Eligible Recipients
112( a) (2) --- 10% State Leadership
112 (a) (2) (A) --- 1% State Institutions
112 (a) (2) (B) --- $60-150,000 Non-Traditional
112 (a) (3) --- 5% State Administration
112 (b) --- Match for State Administration
112 (c )--- 10% reserve Funding
122 (c ) (10) –Assurance of Financial Audits
122 (c ) (11) --- Assurance for Acquisition of Equipment
124 (d) --- Restrictions on the Uses of Funds
131 (a) --- Distribution for FY 1999
131 (b) --- Distribution for FY 2000 & Beyond
131 (c )--- Waiver for More Equitable Distribution
131 (d) --- Minimum Allocation
131 (e) --- Limited Jurisdiction Agencies
131 (f) --- AVTEs and ESAs
131 (g) --- Consortium Requirements
131 (h) --- Special Rule
132 (a) (2) --- Allocation Formula
132 (a) (3) --- Consortium Requirements
132 (a) (4) --- Allocation Waiver
132 (b) --- Waiver for More Equitable Distribution
132 (c )--- Minimum Grant Amount
133 (a) --- Special Rule for Minimal Allocation
133 (b) --- Redistribution
133 (c )--- Construction
133 (d) --- Consistent Application
135 (d) --- Administrative Costs
311 (a)---Supplanting
311 (b)--- Maintenance of Effort
323 (a)--- Hold-Harmless
323(b) --- Exception

Local Plans

1.134 (b) (1-10)Local Plan Contents

VI.Technical Assistance

(1)TECHNICAL ASSISTANCE – If the Secretary determines that an eligible agency is not properly implementing the eligible agency’s responsibilities under section 122, or is not making substantial ‘: progress in meeting the purpose of this Act, based on the State adjusted levels of performance, the Secretary shall work with the eligible agency to implement improvement activities consistent with the requirements of this Act.

(2)FAILURE – If an eligible agency fails to meet the State adjusted levels of performance, has not implemented an improvement plan as described in paragraph (1), has shown no improvement within 1 year after implementing an improvement plan as described in paragraph (1), or has failed to meet the State adjusted levels of performance for 2 or more consecutive years, the Secretary may, after notice and opportunity for a hearing, withhold from the eligible agency all, or a portion of, the eligible agency’s allotment under this title. The Secretary may waive the sanction under this paragraph due to exceptional or uncontrollable circumstances such as a natural disaster or a precipitous and unforeseen decline in the financial resources of the State.

(3) FUNDS RESULTING FROM REDUCED ALLOTMENTS –

(a)IN GENERAL – The Secretary shall use funds withheld under paragraph (2), for a State served by an eligible agency, to provide (through alternative arrangements) services and activities within the State to meet the purpose of this Act.

(b) REDISTRIBUTION- If the Secretary cannot satisfactorily use funds withheld under paragraph (2), then the amount of funds retained by the Secretary as a result of a reduction in an allotment made under paragraph (2) shall be redistributed to other eligible agencies in accordance with section 111.

Annual FISCAL YEAR Dates to Remember

Carl D. Perkins Vocational and Technical Education Act of 1998

July 1 Issuing of Grant Award Approximately 25% of the State Basic Grant and 100% Tech Prep Grant Awards are issued
October 1 Issuing of Grant Award The remaining 75% of the State Basic Grant Awards are issued
December 31 Consolidated Annual Report (CAR) Due Date for End of Program Year Data (previous fiscal year Ending June 30) Includes program narrative enrollment, performance levels and fiscal status

Section II:Administration of Perkins by the State

I.Program Summary

This section is reflective of federal PLUS state initiatives. States are grantees.

refer to Section I, part I Program Summary, p. 5.

II.Administration and Programs

Program Objectives

Basic Grants to States provides grants to States and outlying areas to develop the technical, vocational, and academic skills of secondary students and post-secondary students by:

Promoting the integration of vocational, academic, and technical instruction;
Developing challenging academic standards;
Increasing State and local flexibility in providing services and activities designed to develop, implement and improve vocational and technical education, including tech prep education.

Program Procedures

Participating States must designate or establish a State board of vocational education (referred to in Perkins III as the “sole State agency” or “eligible agency” to administer and supervise State vocational education programs. In order to receive funds the state must have submitted a State plan for vocational education or a unified plan in the first year. For subsequent years, funds are distributed based on the approved plan together with such revisions as the sole State agency determines to be necessary.

Secondary school vocational education programs, post-secondary, and adult vocational education programs (Perkins III, Title I-C);

(b) State programs and State leadership activities (Perkins III, Section 124);

(c ) State administration (Perkins III, Section- 121).

Refer to OMB circular A-87 (secondary administrative regulations)

Refer to OMB circular A-102 (post-secondary administrative regulations)

The following sections of the legislation are included within state administration:

118 (b) --- State Level Activities
121 (a) (1) (A) --- Coordination
121 (a) (1) (B) --- Consultation
121 (a) (1) (C)--- Convening
121 (a) (1) (D) --- Adoption of Procedures
121 (a) (2) --- Delegation of Authority
122 (a) (2) – Procedures for Revisions
122 (a J (3) --- Hearing Process
122 (b) (1) --- Consultations
122 (b) (2) --- Activities and Activities
122 (e) (3) --- Consultation with Other Agencies
124 (b) (1-8) --- Required Uses of State Leadership Funds
135 (b) (1-8) --- Required Uses of Funds
204 (a) --- Grant Program Authorized
204 (b)--- Duration
204 (c ) (1-7) --- Contents of Tech-Prep Program
205 (a) --- Application Submission
205 (c ) --- Local Plan Approval
205 (d) --- Special Considerations
20S (e) --- Equitable Distribution of Assistance

Programmatic initiatives, included in the state plan may include the following as well as others:

Clusters

Career Clusters are intended to assist states, schools, educators, employers, students and other stakeholders in creating curriculum, academic and technical standards, assessments and professional materials for each of the 16 clusters. These 16 clusters represent all career possibilities and can be considered a way to organize instruction, student experience and the variety of pathways within each cluster to employment opportunities and /or further education. Crosswalks have been developed that match occupations, Classification of Instructional Programs (CIP) codes, and the clusters. In the near future these crosswalks will be matched with census and labor to assist states identify nontraditional programs. The 16 clusters include:

Agriculture and Natural Resources

Architecture and Construction

Arts, A/V Technology and Communications

Business and Administration Education and Training

Finance

Government and Public Administration

Health Science

Hospitality and Tourism

Human Services

Information Technology

Law and Public Safety

Manufacturing

Retail/Wholesale Sales and Service

Scientific Research and Engineering

Transportation, Distribution and Logistics

Tech-Prep

Tech-Prep is a program that:

Combines at least 2 years of secondary and 2 years of postsecondary education,

Integrates academic and vocational and technical instruction,

Provides technical preparation in a specific area (engineering, technology, business),

Builds student competencies in mathematics, science, and communications,

Leads to an associate degree or a certificate in a specific career field, and to high skill, high wage employment, or further education.

III.Accountability and Program Improvement

Performance Reporting

Accountability Report (Form IV) Consolidated Annual Performance, Accountability, and Financial Status Report (OMB No. 1830-0503)

Each year a grantee must file an accountability report containing data to be used in determining whether it met its adjusted performance levels for each of its core indicators of performance and any State indicators of performance. Each grantee must provide data for each sub indicator of the four core indicators: (1) attainment of academic and vocational skills; (2) attainment of diploma or credential; (3) placement and retention; and (4) participation in, preparation for, and completion of programs leading to non-traditional occupations. Each grantee's sub indicators for each program year are contained in the "Final Agreed-Upon Baseline and Adjusted Levels of Performance," which are incorporated by reference into the grantee's State plan and grant award and transmitted to the grantee with the grant award documents. Grantees that exceed their adjusted performance levels are eligible for an incentive grant (Section 113(b)(2)(A) of Perkins III (20 USC 2323(b)(2)(A)).