[Federal Register Volume 60, Number 115 (Thursday, June 15, 1995)]
[Notices]
[Pages 31596-31599]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-14610]
[[Page 31595]]
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Part III
Department of Education
_______________________________________________________________________
Office of Elementary and Secondary Education; Preliminary Consolidated
State Plans Under Section 14302 of the Elementary and Secondary
Education Act; Notice
Federal Register / Vol. 60, No. 115 / Thursday, June 15, 1995 /
Notices
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[[Page 31596]]
DEPARTMENT OF EDUCATION
Office of Elementary and Secondary Education; Preliminary
Consolidated State Plans Under Section 14302 of the Elementary and
Secondary Education Act
AGENCY: Department of Education.
ACTION: Responses to public comments on proposed guidance for
preliminary consolidated State plans.
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SUMMARY: The Department of Education provides responses to public
comments submitted on proposed guidance for the submission of optional
preliminary consolidated State plans under section 14302 of the
Elementary and Secondary Education Act.
FOR FURTHER INFORMATION CONTACT: William Wooten, Office of Elementary
and Secondary Education, U.S. Department of Education, 600 Independence
Ave, SW., Washington, DC 20202-6100. Telephone (202) 260-1922. The
Internet address is [email protected]. The fax number is 202-
205-0303. Individuals who use a telecommunications device for the deaf
(TDD) may call the Federal Information Relay Service (FIRS) at 1-800-
877-8339 between 8 a.m. and 8 p.m. Eastern time, Monday through Friday.
SUPPLEMENTARY INFORMATION: Section 14302 of the ESEA, as reauthorized
by the Improving America's Schools Act, provides for the establishment
of criteria under which any SEA may obtain Federal funds under certain
programs through a single consolidated plan rather than through
separate funding applications or plans. As explained in section 14301
of the ESEA, this consolidated plan option is intended to enhance
cross-program coordination, planning and service delivery, as well as
the integration of Federal program services with services offered by
States and localities as keys to increased student achievement.
On January 13, 1995, the Department published proposed guidance and
criteria for optional consolidated State plans under section 14302 (60
FR 3306). After considering public comment on these criteria, the
Department issued forms and instructions, together with a supplementary
guidance document, to State educational agencies (SEAs) on April 20,
1995. Appendix A to this notice contains the relevant portions of this
guidance document. Except as provided in the guidance document, the
instructions that SEAs received reflect the criteria published in the
January 13 notice. The Department is treating these criteria as
nonbinding. Appendix B to this notice contains the Department's
response to substantive comment received on its proposals for
submission of consolidated State plans.
Dated: June 9, 1995.
Thomas W. Payzant,
Assistant Secretary for Elementary and Secondary Education.
Appendix A--Consolidated State Plans Supplementary Information
April 20,1995.
On January 13, 1995, the Department published in the Federal
Register proposed criteria to govern submission of consolidated
State plans under section 14302 of the Elementary and Secondary
Education Act (ESEA), as amended by the Improving America's Schools
Act (IASA). The Department received comments from State educational
agencies (SEAs), nonprofit private organizations, and other
interested persons. These constructive and thoughtful comments were
part of a process of collaboration with the public about the content
of consolidated State plans that began with the Department's
distribution of preliminary guidance at the December, 1994 IASA
conference in Baltimore, Maryland.
These comments are addressed throughout this package [. . ..]
I. Preliminary Consolidated Plans
1. Overall Approach. The January 13 notice continues to provide
the basic framework for the submission of both preliminary
consolidated State plans in May of this year, and final consolidated
plans in the spring of 1996. Except for the need to address
equitable participation in State-level programs, as is now required
by section 427 of the General Education Provisions Act, instructions
for the preliminary consolidated plan contain only relatively minor
adjustments to those proposed in the January 13 Federal Register
notice. As suggested in comments on the proposal, these changes
include the need for States to include pupil services personnel
among the key individuals who will participate in development of the
final consolidated State plan.
A few SEAs have indicated a desire to submit consolidated State
plans in one stage rather than two. Those SEAs should review the
information on final consolidated State plans contained in the
January 13 notice and Part II of this guidance, which provides a
framework for submission of their plans. However, because
collaboration with the public on the criteria for the final plan is
still continuing and the final criteria may differ from the criteria
provided in this guidance, an SEA submitting a final plan in the
next few months could be asked to provide additional information
that the Department decides is needed in final plans.
2. Inclusion of Additional Programs. Section 14302 authorizes
the Secretary to designate programs in addition to those specified
in the statute as programs that a State may include in its
consolidated plan. In the January 13 notice, the Secretary specified
several such additional programs. Commenters on the January 13
notice suggested that the Secretary should designate a number of
other programs (not listed in the January 13 notice) for possible
inclusion in consolidated State plans. Among the programs suggested
for designation were the Individuals with Disabilities Education Act
(IDEA), the Adult Education Act (AEA), and the Bilingual Education
Act.
The Department has determined that none of these programs should
be designated at this time for inclusion in consolidated plans. Both
the IDEA and the AEA will be subject to reauthorization during the
coming year. (While the Perkins Act is also subject to
reauthorization, Congress, in section 14302, specifically designated
the Part A Perkins Act program for optional inclusion in a
consolidated State plan.) A State's funding level under the State-
level Bilingual Education program authorized in section 7134 of the
ESEA is dependent upon the receipt of competitive grant awards by
LEAs in the State. The Emergency Immigrant Education Program has a
distinctive relationship to other Federal initiatives for addressing
immigrant-related issues. Therefore, these programs are not
appropriate for inclusion.
Accordingly, at this time an SEA may choose to include in a
consolidated State plan the thirteen programs proposed in the
January 13 notice for purposes of obtaining FY 1995 funds.
The Secretary's designation of programs affects only a State's
ability to receive program funding on the basis of a consolidated
plan. However, the scope of a State's consolidated planning is in no
way limited to those included programs. States are encouraged to
focus their consolidated plans on how funds provided under all
Federal programs can be used in conjunction with State and local
resources to enhance the academic achievement of all students.
3. Coverage of the Carl D. Perkins Vocational and Applied
Technology Education Act. A State may include the following Perkins
Act programs in a preliminary consolidated State plan: programs
under Title II, Parts A-C and Title III, Parts A, B, and E. For
funds that become available on July 1, 1995, the current State plans
under the Perkins Act are in effect. Accordingly, to receive these
funds under that Act, a State need not submit additional plan
descriptions or information unless program changes warrant the
submission of amendments pursuant to section 113(c) of the Perkins
Act.
Nevertheless, a State may wish to include one or more of the
Perkins Act programs in its consolidated State plan for the period
beginning July 1, 1995, in order to encourage and facilitate
coordination of these programs with ESEA and other programs included
in the plan. In this case, a State is encouraged to include in its
description of the processes for developing the final plan the
involvement of the State agency designated as the State board of
vocational education under section 111(a)(1) of the Perkins Act,
even though the SEA submits the preliminary consolidated plan.
The Secretary has transmitted the Administration's legislative
proposal for restructuring the Perkins Act for the grant
[[Page 31597]] cycle beginning on July 1, 1996, and subsequent
fiscal years. This proposal contemplates close coordination between
the Perkins Act and other Federal assistance programs. Inclusion of
Perkins Act programs in a preliminary consolidated State plan can
constitute a significant first step toward these goals. See Part II,
Final Consolidated Plans.
4. Certifications. Commenters requested the consolidation of the
standard certifications regarding matters such as construction,
Drug-Free Workplace Act, and lobbying. In response, the forms and
instructions for the preliminary consolidated State plan include a
consolidated certification format.
5. The General Assurances that Accompany a Consolidated Plan.
Consistent with section 14303 of the ESEA, the application for
consolidated plans will include an assurance that the State agrees
to ``the assurances contained in section 14303(a) of the [ESEA].''
Under section 14303(a)(1), these assurances include the SEA's
agreement that ``each program will be administered in accordance
with all applicable statutes, regulations, program plans, and
applications.''
While submission of a satisfactory consolidated plan permits the
Secretary to award funds under programs that the plan covers,
requirements governing the operation of programs are not affected.
Absent a waiver, the assurance contained in section 14303(a)(1) does
not eliminate any of a program's underlying operational
requirements, including those that the program statute may express
as application or plan descriptions or assurances (although it does
eliminate a requirement to prepare a program application or plan).
The January 13 Federal Register notice gives several examples of the
effect of the general assurance on requirements expressed as program
plan or application requirements. Therefore, for each program that a
State includes in its preliminary consolidated plan, the
requirements underlying statutory application or plan provisions
mentioned in the following sections of the authorizing statute
continue to apply to the State's use of program funds:
(1) Title I, Part A, of the ESEA (Improving Basic Programs
Operated by Local Educational Agencies).
--Section 1111(b) and (c) of the ESEA.
(2) Title I, Part B, of the ESEA (Even Start).
--None; no statutory application or plan requirements.
(3) Title I, Part C, of the ESEA (Migrant Education).
--Sections 1304(b) and (c); 1306(a).
(4) Title I, Part D, of the ESEA (Neglected, Delinquent or At-
Risk Children).
--Section 1414(a) of the ESEA.
(5) Title II of the ESEA (State and Local Programs)
(Professional Development).
--Section 2205 of the ESEA.
(6) Title IV, Part A, Subpart l (other than the Governor's
Programs in section 4114), of the ESEA (Safe and Drug-Free Schools
and Communities).
--Section 4112(a) and (b) of the ESEA.
(7) Title VI of the ESEA (Innovative Education Program
Strategies).
--Section 6202(a) of the ESEA.
(8) Title VII, Subtitle B of the Stewart B. McKinney Homeless
Assistance Act (the Education for Homeless Children and Youth
program) enacted in Title III, Part B of the IASA.
--Section 722(g) of the McKinney Act.
While the Goals 2000, School-to-Work, and the Title III, ESEA
Technology programs may be included in the preliminary consolidated
plan, submission of a consolidated State plan, in either preliminary
or final form, does not alter planning or application requirements
under these programs. As indicated above, many Perkins Act programs
also may be included in the consolidated plan, but a State's grant
from funds that become available on July 1, 1995, already is
authorized under its previously approved plan. States review the
content of the approved plans that have been submitted under these
programs in determining their obligations under the general
assurance in section 14303(a)(1).
6. Public Participation; Peer Review. Section 14303(a)(7) of the
ESEA provides that, before a consolidated State plan is submitted to
the Secretary, the State must afford a reasonable opportunity for
public comment on the plan and consider the comment. Commenters on
the January 13 notice requested guidance on the manner in which this
requirement could be satisfied.
States have wide latitude in determining how best to involve the
public in a meaningful process of commenting on the proposed content
of a preliminary (or final) consolidated State plan. Among the
procedures that SEAs might use are (1) public comment sessions in
regional workshops; (2) regional hearings; (3) dissemination of
proposals through Statewide publications or similar widely-
disseminated documents; and (4) any methods that, under State
procedures, must be used to obtain comment on comparable State
actions. In selecting the most appropriate methods, States may want
to consider both the expected public interest in how the
consolidated plan will be prepared, and any expected public reaction
to development of a consolidated plan rather than individual program
plans and applications.
The Department interprets section 14303(a)(7) as permitting an
SEA to request and consider comment on the substance, rather than
the precise text, of a consolidated State plan.
Furthermore, if an SEA believes that it has insufficient time to
meet the public participation requirement before the due date for
submission of preliminary consolidated plans, it may submit to the
Department a draft preliminary consolidated plan before completing
the public comment process. In this case, prior to the Secretary's
approval of the plan, and the issuance of a grant award, the SEA
would be expected to submit any revisions to the draft plan that are
needed in view of public comment.
As proposed in the January 13 notice, the Department will
approve preliminary consolidated State plans without peer review.
II. Final Consolidated Plans
1. Inclusion of Information on Standards and Assessments Under
Section 1111(b) of the ESEA. The January 13 Federal Register notice
proposed criteria for inclusion in a consolidated State plan of
information regarding standards and assessment under Title I of the
ESEA. Some clarification regarding these criteria may be helpful.
The Department intends to ask SEAs to include information regarding
(l) content and performance standards, (2) assessments, and (3)
adequate yearly progress, called for in section 1111(b) of the ESEA,
that the SEA would submit if it prepared an individual State plan
under Title I, Part A.
Section 1111(b) of the ESEA requires that a State plan under the
Title I, Part A program must include certain specified information
on developing State content and performance standards, assessments,
ways of measuring adequate yearly progress and other matters.
Under the Department's approach, if a State is participating in
Title III of the Goals 2000: Educate America Act, and has an
approved State Goals 2000 plan, which adequately addresses the
elements contained in section 1111(b) of the ESEA, a State's final
consolidated plan would not need to contain any supplemental
information relating to this section. On the other hand, if the
State is not participating in Goals 2000, its Goals 2000 plan has
not been approved, or its Goals 2000 plan does not address these
elements sufficiently, the Department would request further
information relevant to section 1111(b). These information requests
would, of course, take into account the process of transition to
standards, assessments and other section 1111(b) factors that States
are undertaking.
2. Perkins Act. The authorization for the Perkins Act programs
expires on September 30, 1996. As indicated above, the Secretary has
transmitted a reauthorization proposal, the Career Preparation
Education Reform Act of 1995. The information or descriptions that a
State would be asked to include in a final consolidated plan with
respect to the Perkins programs will depend upon the content of the
reauthorized legislation.
4. Peer Review. Some commenters expressed concern that the
Department's proposed use of peer review to evaluate a State's final
consolidated plan could unnecessarily burden the approval process
with activities that duplicate the peer review process under Goals
2000.
For final consolidated plans, the Department is developing
procedures for peer review in collaboration with SEAs and others.
However, if an SEA has had its Goals 2000 State improvement plan
approved through peer review, and the Goals 2000 plan encompasses
the content needed for final consolidated State plans, the
Department does not believe that a further peer review process
should be necessary. If Goals 2000 is included in the consolidated
plan, a single peer review should be conducted.
5. Other Considerations. As with the preliminary consolidated
State plans, final plans will need to address efforts to promote
[[Page 31598]] equitable participation in State-level programs, as
required by section 427 of the General Education Provisions Act. In
addition, as with the preliminary plans, the final plans will need
to be developed through a public participation process that comports
with section 14303(a)(7) of the ESEA.
In all other respects, the criteria proposed in the January 13
notice continue to reflect the framework and content that the
Department is considering for final consolidated State plans.
III. Other Issues
1. Consolidated Local Plans. Commenters on the Department's
January 13 proposal requested further information on submission of
consolidated local plans under section 14305 of the ESEA. The
Department issued and distributed such guidance under a March 24,
1995 letter from the Assistant Secretary [* * *.]
2. Consolidation of State Administrative Funds. Commenters
requested clarification on the consolidation of State administrative
funds under section 14201 of the ESEA. Under this provision, an SEA
may consolidate funds available under certain programs for State
administration without regard to whether the State submits a
consolidated State plan under section 14302. To take advantage of
this flexibility, the SEA must be able to demonstrate that a
majority of its resources comes from non-Federal sources.
3. Participation by Private School Children. SEAs that submit
consolidated State plans are encouraged to review the requirements
in the ESEA regarding participation of children in private schools,
including those contained in sections 1120 and 14503 of the ESEA. An
SEA that submits a preliminary or final consolidated State plan is
subject to these requirements for the programs covered in the plan
to the same extent that it would be if it were submitting separate
State plans or applications.
4. Goals 2000; School-to-Work. A State that includes the Goals
2000 or School-to-Work programs in its final consolidated plan may
be asked to describe how activities conducted as part of planning,
developing, and implementing these programs may be integrated into
or coordinated with other activities conducted under the
consolidated State plan.
5. Duration. Subject to any change in the law, the Department
intends that approval of a State's final consolidated plan would be
the basis for providing a grant to the State for all remaining years
of each program authority under which the State requests funding in
its plan.
Appendix B--Response to Public Comment on Proposed Guidance
This appendix contains the Department's response to major
substantive comments on the proposed guidance published on January
13, 1995, on the submission of consolidated State plans under
section 14302 of the ESEA, as amended by the IASA.
1. General. Comments from State educational agencies were
generally strongly favorable to the Secretary's proposed criteria
for consolidated State plans. These commenters affirmed that the
flexibility afforded SEAs was consistent with the intent of section
14302, and constituted an important and appropriate means of
encouraging SEAs to carry out cross-program coordination and
integration. A number of SEAs further indicated that the overall
approach reflected in the proposed guidance would result in improved
program administration and a greater focus on higher student
achievement.
For example, one State superintendent observed: ``Your proposal
to provide a two-stage approach for states to follow in their
planning is `right on target' with the approach our workgroup has
been following. We have found the proposed criteria quite workable
and easy to follow* * *. [T]he criteria proposed will facilitate the
linkages and coordination needed between IASA and [Goals 2000 and
School-to-Work.]'' Another State superintendent commented: ``[W]e
believe consolidated planning will serve as a catalyst for closer
linkages between federal and state educational programs.'' On behalf
of another SEA, a commenter observed: ``[The SEA] is very supportive
of the concept of a consolidated state plan as it will facilitate
the delivery of programs and services designed to improve student
achievement. A consolidated plan offers new opportunities for state
and local educators to develop and implement a vision of seamless
service delivery.'' Yet another SEA representative commented, with
respect to the guidance, ``We do not believe that flexibility is
granted at the expense of accountability, but rather refocuses the
accountability on school districts to produce students that are
capable of succeeding at future endeavors.''
The Department agrees with these comments. The guidance for the
submission of preliminary consolidated State plans retains the
thrust, flexibility, and basic content of the criteria proposed in
the January 13 notice. In response to various requests to clarify
limited aspects of the proposed criteria, the Department has made
relatively minor changes in the guidance to ensure accountability
and adherence to core provisions in the ESEA. These changes include
an SEA's inclusion of pupil services personnel among the key
individuals with whom it will consult on the State's final
consolidated plan, and identification of programs under the Perkins
Vocational and Applied Technology Act that may be included in a
consolidated State plan.
2. Scope of plan; reduction of descriptions. One commenter
observed that, in failing to require all substantive descriptions
contained in program-specific plans or applications under individual
program statutes, proposed criteria for the consolidated State plan
were not consistent with, or supported by, section 14302. The
commenter stated that the approach taken in the proposed criteria
would impair program accountability. The commenter urged that the
criteria retain the specific content of individual program plans and
applications, while eliminating unnecessary duplication among common
plan and application elements.
The Department believes that the guidance for submission of
preliminary consolidated State plans is consistent with section
14302 and carries out its intent. Section 14302(a) provides the
Secretary with broad authority to tailor the criteria and procedures
to govern a consolidated State plan so as to reduce burden and to
encourage the meaningful cross-program coordination, integration of
services, and overall focus on increased student achievement that
section 14301 anticipates. Indeed, section 14302(b)(3) specifically
provides that ``[t]he Secretary shall require only descriptions,
information, assurances, and other materials that are absolutely
necessary for the consideration of the consolidated State plan * *
*'' (emphasis added).
The Department has observed this direction in providing guidance
regarding criteria for the optional, preliminary consolidated State
plan. These criteria acknowledge that States would have insufficient
time to submit well-considered final consolidated plans this year,
and so focus on the most essential elements that the Department
believes should guide State thinking. The criteria therefore
contemplate preparation, during the coming year and with the active
involvement of all interested stakeholders, of a final consolidated
State plan that will focus all of the resources of Federal programs
included in the plan on a thorough, coordinated and integrated
effort to provide the intended beneficiaries of those programs with
services in ways that will contribute to an increased level of
student achievement. Moreover, the Department believes that the
results that Congress wanted to encourage by its enactment of
sections 14301-07 are more likely to be achieved through the
decreased burdens offered by the Department's approach than through
continued use of the individual program-specific plan and
application provisions that the commenter would prefer.
The Department emphasizes that, absent a waiver, submission of a
consolidated State plan neither relieves a State nor any of its
grantees of the obligation to comply with all requirements governing
the use of funds provided for programs included in the plan.
Moreover, these requirements extend to those that the individual
program statute include as elements of program-specific plans or
applications. Preparation and submission of a consolidated plan
merely permits the State, as a condition of receiving funds for the
Federal programs that the plan includes, to prepare a plan that
addresses cross-program coordination, service integration and
student achievement rather than the various elements in the program-
specific applications and plans. Rather than use program-specific
applications to secure information on how these programs might be
implemented, the Department intends to focus on pertinent aspects of
program implementation through other means, including integrated
program monitoring and State-by-State collaboration.
3. Section 1111(a). Some commenters suggested that criteria for
the final consolidated State plan include information, particularly
with regard to standards and assessments, specified in section
1111(b) of the Title I, ESEA, statute. The commenters urged that
this information was a core aspect of the statutory requirements,
applicable [[Page 31599]] across-the-board to all programs, and thus
should be an integral part of the process of developing a
consolidated State plan. In response, the guidance on final
consolidated plans provided to SEAs on April 20, 1995 (Appendix A to
this document) clarifies the Department's intent that final
consolidated plans contain adequate information, consistent with
section 1111(b), about content and performance standards,
assessments, and adequate yearly progress. The Department will
provide further information on this issue when it provides
additional guidance on the content of final consolidated State
plans.
4. Other comments. The Department's response to other
substantive comments or requests for clarification is contained in
the April 20 guidance document (Appendix A to this notice).
[FR Doc. 95-14610 Filed 6-14-95; 8:45 am]
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