[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





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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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