# Consolidated State Plans Under Section 14302 of Title I of the Improving America's Schools Act

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URL: https://www.frixlaw.com/law-library/documents/fr%3A95-868

## Record

- **Collection:** Federal Register
- **Document type:** Notice
- **Published:** January 13, 1995
- **Citation:** 60 FR 3306

## Text

SUMMARY: The Department of Education proposes criteria for optional
State consolidated plans submitted under section 14302 of the
Elementary and Secondary Education Act of 1965 (ESEA), as recently
reauthorized by the Improving America's Schools Act, Pub. L. 103-382
(IASA). Submitting a consolidated plan will allow a State to obtain
funds under many Federal programs through a single plan, rather than
through separate and detailed program funding plans or applications.
The consolidated plan would explain how all of the resources of Federal
programs included in the plan would work together to promote the
State's educational goals for all students while effectively meeting
the needs of the programs' intended beneficiaries. To receive fiscal
year (FY) 1995 program funds, a State educational agency (SEA) would
need only to describe how it would develop its final plan over the
following year, and to submit basic information needed to ensure fiscal
accountability.

DATES: Written comments must be received on or before February 13,
1995.

ADDRESSES: All comments should be addressed to Thomas W. Payzant,
Assistant Secretary for Elementary and Secondary Education, U.S.
Department of Education, 600 Independence Avenue SW., Washington, DC
20202-6100. The Internet address for submitting comments is:
[email protected]. The fax number is (202) 205-0303.

FOR FURTHER INFORMATION CONTACT: William Wooten, Office of Elementary
and Secondary Education, U.S. Department of Education, 600 Independence
Avenue 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 Title I of the IASA, permits the Secretary to establish criteria
under which any SEA may obtain certain Federal program funds through a
single consolidated plan rather than through separate funding
applications or plans. As explained in section 14301, this consolidated
plan would enhance cross-program coordination, planning and service
delivery, and the integration of Federal program services with services
offered by States and localities as keys to increased student
achievement.
So that the development and use of consolidated plans can achieve
their maximum potential, the Secretary proposes to offer States a two-
phase process for completing their consolidated plans: (1) Submission
in the spring of 1995 of a relatively simple preliminary plan, followed
by (2) the State's development and submission the next year of a final
consolidated plan. This final plan would focus specifically on how the
Federal programs included in the plan, while still serving their
intended beneficiaries, would support State goals and education reform
strategies. In developing its consolidated plan, a State is encouraged
to consider the relationship of this plan to the State's overall reform
efforts, including efforts under the Goals 2000: Educate America Act or
the School-to-Work Opportunities Act. A State also is encouraged to
consider what waivers it may need to carry out its reforms effectively.
Finally, each State is encouraged to consider how its local educational
agencies (LEAs) and schools can tap the full potential of consolidated
plans at the local level through the authority offered to them under
section 14305 of the ESEA.
These provisions for development of consolidated State plans--
particularly when coupled with the Secretary's new waiver authority,
contained in section 14401 of the ESEA (as well as in the Goals 2000
and School-to-Work statutes) and other provisions of the IASA that
offer new opportunities for flexibility--also enable the Department to
refocus its administration of programs in ways that can better assist a
State in meeting its education goals and objectives. Indeed, the
information contained in a consolidated plan may help to clarify why an
SEA or LEA needs a waiver of certain program requirements in order to
improve student achievement. The Department will soon issue separate
guidance describing the process for obtaining waivers of programmatic
requirements under section 14401.
Development of a consolidated State plan, either in preliminary or
final form, is voluntary. It is the State's decision whether to submit
a consolidated plan, which of the eligible programs to include in it if
one is submitted, and whether to add to a final consolidated plan
programs that were not included in a preliminary plan. Moreover, an SEA
that submits a preliminary plan for FY 1995 could choose to forgo
development of the final consolidated plan during the following year,
and instead submit individual program plans or applications. Likewise,
an SEA that chooses for FY 1995 to submit individual program plans or
applications could, in any subsequent fiscal year, submit a final
consolidated plan.
Approval of a consolidated plan, whether in preliminary or final
form, permits the Secretary to award funds under the programs included
in the plan. Approval of a consolidated plan also eliminates the need
for an SEA, under those included programs, to submit separate program
applications or develop separate program planning documents that
otherwise would be required by the program statutes. Moreover, approval
of a consolidated plan establishes a different context for any
Departmental review of an SEA's administration of the included
programs.
The Secretary stresses that approval of a consolidated plan does
not alter the obligation of an SEA and its grantees to continue to
comply with all requirements of each program, including those that
would have been described in plan or application descriptions or
assurances under the statute. (See further discussion and examples
under ``Assurances'' to be submitted as part of the first-year
(preliminary) consolidated plan.) In addition, while an SEA that meets
the conditions of section 14201 of the ESEA may consolidate
administrative funds under specified programs, approval of a
consolidated State plan does not authorize commingling of program
funds. However, the Secretary is authorized to waive certain program
requirements under waiver provisions contained in the IASA, the Goals
2000: Educate America Act, and the School-to-Work Opportunities Act.
The remainder of this notice identifies the programs that might be
included in a consolidated plan, and proposed questions that a State
might address in both the preliminary and final consolidated plans.
Appendix A to this document contains the Department's preliminary
guidance on the consolidated plan; this guidance was provided to
members of the public who attended a Federal program conference
[[Page 3307]] in Baltimore, Maryland, on December 2, 1994. Subject to
review of the comments received on this proposal, the Secretary plans
to announce final criteria for consolidated State plans in February,
1995.

Programs That a State May Include in a Consolidated Plan

Section 14302 permits an SEA to include any of the following State-
administered programs in its consolidated State plan:
(1) Title I, Part A of the ESEA (LEA Program).
(2) Title I, Part B of the ESEA (Even Start Program).
(3) Title I, Part C of the ESEA (Migrant Education).
(4) Title I, Part D of the ESEA (Neglected, Delinquent, or At-Risk
Children).
(5) Title II of the ESEA (State and local programs) (Professional
Development).
(6) Title III, Part A, subpart 2 of the ESEA (Technology for
Education).
(7) Title IV, Part A (other than the Governor's Programs in section
4114) of the ESEA (Safe and Drug-Free Schools and Communities).
(8) Title VI of the ESEA (Innovative Education Program Strategies
(formerly Chapter 2)).
(9) State leadership programs under Title II of the Carl D. Perkins
Vocational and Applied Technology Education Act (Perkins Act).
(10) Programs under the Goals 2000: Educate America Act.
(11) Programs under the School-to-Work Opportunities Act.
In addition, under section 14302(a)(2)(F) of the ESEA, the
Secretary proposes to designate the following additional programs that
a State may include in a consolidated plan:
(12) Subtitle B of Title VII 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).
(13) All other State formula grant programs under the Perkins Act.
The Secretary is considering whether to designate Title VII, Part C
of the ESEA (the Emergency Immigrant Education Program) for possible
inclusion in the consolidated State plan, but is not proposing to do so
at this time in view of the significant relationship of this program to
other Federal initiatives for addressing immigration-related issues.
Certain programs that the statute specifically identifies for
possible inclusion in a consolidated State plan, such as the Technology
for Education program in Title III, Part A, subpart 2 of the ESEA, are
competitive, rather than formula, grant programs. These competitive
programs (and others that the Secretary later may designate) can
promote innovation in specific aspects of a State's reform effort, and
so can play an important role in a consolidated State plan for the
overall use of Federal program funds. On the other hand, competitive
grant programs present special challenges for consolidated plans; not
only must their applications be reviewed against competitive selection
criteria and processed on a longer time-line than is needed for formula
grant programs, but the programs often fund projects with a National
purpose. Until these competing principles can be better resolved, the
Secretary proposes that an SEA that includes a competitive grant
program in its consolidated State plan still will need to meet the
application content, selection criteria, and closing dates established
for that program.
As stated in the ``Invitation to Comment'' section of this notice,
the public is invited to suggest other grant programs, both formula and
discretionary, that should be available for inclusion in a consolidated
State plan, and how that plan can best accommodate these other
programs.

The Preliminary (First-Year) Consolidated Plan Descriptions

The preliminary consolidated plan for FY 1995 program funds would
identify the Federal programs that the plan covers, and address the
following three areas with respect to the programs included in it:

1. Goals or Objectives

What are the goals and objectives that the SEA hopes to achieve
through the development and use of a consolidated program plan, and how
do they relate to the needs of the intended beneficiaries of programs
included in the plan? In answering these questions, include:
Ways in which consolidated plans for use of Federal
program funds are already being developed and used, and the impediments
to success that are now most evident.

2. Process for Developing the Final Consolidated Plan

What process and timelines will the SEA use during the following
year to develop its final consolidated plan? Include the State's
strategies for--
Coordinating the planning for the use of Federal program
funds with the State's overall education reform efforts (including
planning under Goals 2000 and School-to-Work for participating States).
Bringing together all key individuals--Governors, State
program officials, LEA and school administrators, teachers, adult
education administrators, parents, and others who can play a key role
in coordinating and integrating each program included in the plan with
State and locally funded activities--in the development and review of
the final consolidated State plan.

3. Fiscal Accountability

To ensure fiscal accountability and the availability of information
that the Secretary needs to distribute program funds, provide for each
included program, where applicable--
The amount of funds provided under each program that will
be used to carry out State-level activities (whether or not those
activities are performed by the SEA), and a general description of how
these funds will be used.
The procedures and criteria that the SEA will use to
distribute program funds within the State where the program statute
provides no in-State funding formula. (Programs that the Secretary thus
far has identified as having no statutory in-State funding formula are
the following: Even Start, Migrant Education, Neglected, Delinquent, or
At-Risk Children (the local agency program in Part D, Subpart 2), Safe
and Drug-Free Schools and Communities, Innovative Education, McKinney
Homeless Assistance, and the Perkins Act, Title III.)
The amount of funds, if any, provided under each program
that the State would consolidate for State administration under section
14201 of the ESEA, along with a statement confirming that the SEA has
determined that a majority of its resources come from non-Federal
sources.
Assurances
In addition, an SEA also would provide in its preliminary plan a
set of assurances that include the following:
Those required by section 14306 of the ESEA, which are
repeated in Appendix B.
A general assurance that, unless and until these
requirements are waived, the SEA and its subgrantees will continue to
comply with all operational requirements of each program, including
those that the program statute may express in terms of application or
plan descriptions or assurances.
Example 1: An SEA includes the Migrant Education Program (MEP)
(Title I, Part C of the ESEA) in its preliminary
[[Page 3308]] consolidated plan. The SEA does not need to submit a
State application, or any of the descriptions described in section 1304
of Title I, Part C. It also does not need to prepare the separate
comprehensive service-delivery plan, as otherwise required for the MEP
under section 1306(a) of the ESEA; that MEP plan is not required
because it is addressed within the consolidated State plan. However,
the SEA's receipt of MEP funds under an approved, preliminary
consolidated plan still would require the SEA to develop and carry out
activities for migratory children as identified in the comprehensive
plan requirements of section 1306(a).
Example 2: An SEA includes the Safe and Drug-Free Schools and
Communities program (Title IV, Part A, of the ESEA) in its preliminary
consolidated plan. The SEA does not need to submit the State
application under section 4112 of Title IV, Part A, or any of the
application descriptions, such as the description contained in section
4112(b)(4) of how the SEA will coordinate its program activities with
the Governor's drug and violence prevention programs funded under
section 4114, and prevention efforts of other State agencies. However,
the SEA's receipt of Safe and Drug-Free Schools and Communities program
funds under an approved, preliminary consolidated plan still would
require the SEA to meet all applicable program requirements, including
coordinating its program with relevant programs and activities of the
Governor and other State agencies.
Example 3: An SEA includes the Title I, Part A (ESEA) program in
its preliminary consolidated plan. The SEA does not need to submit the
State plan, or any of the State plan descriptions described in section
1111 of Title I, Part A.
However, the SEA's receipt of Title I, Part A program funds under
an approved, preliminary consolidated plan still would require the SEA
to carry out all of the requirements contained in section 1111 with
regard to standards and assessments and other provisions to support
teaching and learning.
The Secretary is considering whether the final instructions for the
preliminary consolidated plan should include a list, program-by-
program, of all application and plan descriptions and assurances that
the SEA's general assurance would cover in the absence of a waiver.
Relationship to the Goals 2000 and School-to-Work Initiatives
The Goals 2000 statute provides States and communities with an
opportunity to strengthen and broaden their education reform efforts by
developing comprehensive plans to enable all children to learn to
challenging academic standards. The School-to-Work Opportunities
initiative may also play a significant role in a State's education
reform efforts by helping to establish transition systems for youth
that integrate challenging academic content with high quality work-
based learning experience leading to postsecondary education and
career-oriented entry into the workforce. A State's participation in
these initiatives is voluntary, as it is with all Federal programs.
States that choose to participate in Goals 2000 and School-to-Work are
encouraged to integrate their development of consolidated State plans
under section 14302 of the ESEA with their Goals 2000 and School-to-
Work plans and activities. However, since these initiatives are
designed as possible frameworks for the use of local, State and Federal
resources to support a State's overall education reform strategy, the
Secretary is not proposing that submission of a consolidated State
plan, in either preliminary or final form, would alter application or
planning requirements under Goals 2000 or School-to-Work.
The Final (Second-Year) Consolidated State Plan
The final consolidated plan will provide an opportunity for SEAs to
consider how the resources of those Federal programs included in the
plan can be used directly to support their States' overall improvement
strategies. The following proposal for the content of this final plan
reflects the Department's current thinking on what issues and questions
a State might address in a final, second-year plan. After reviewing
comment on this notice, the Department intends to continue
collaboration with the public on modifications that may be needed, as
well as on the formulation of additional examples that can better
illustrate how States might address the questions presented.
Possible Issues To Be Addressed in a Final (Second-Year) Consolidated
Plan
1. What is the SEA's vision (including specific goals) for
improving its educational system throughout the State? How do these
goals relate directly to raising student academic achievement, geared
to challenging academic standards, of all children who benefit from
Federal programs included in the consolidated plan? In answering these
questions, the State must address the following:
How the State will meet the standards and assessment
requirements of Title 1, Part A, section 1111(b) of the ESEA to ensure
the use of challenging academic content standards and high-quality
assessments aligned with the standards.
What goals and performance indicators will the State
establish to determine the effectiveness of programs included in the
plan (e.g., improved professional development based upon realigned
teacher certification requirements under the Eisenhower Professional
Development program (Title II, Part B of the ESEA), or additional
performance indicators for safe and drug-free schools under the Safe
and Drug-Free Schools and Communities program (Title IV, Part A of the
ESEA).
2. How will the Federal resources of those programs support, on the
basis of identified needs, State and local efforts to reach the State's
specific goals and enable intended program beneficiaries to reach the
challenging academic standards established in the State? (The Secretary
recognizes that, given varying SEA responsibilities for the programs
that a State might include in its consolidated plan, not all of the
issues raised by this question may be equally relevant to individual
programs.)
Example 1: If a State determines that one of its goals to improve
education is increasing the percentage of youth who complete high
school, the State might describe how Federal program funds fit into
State efforts to reach that goal.
Example 2: If the State has established overall goals for
professional development, it should describe how it will use resources
(not limited to Title II, ESEA) to reach these goals.
In answering Question 2, a State should consider addressing such
critical areas as the following:
How the needs of children served by the program are
identified.
The most significant barriers to more effective use of
Federal funds, and how the State and individual programs will work
together to overcome these barriers.
Any waivers of Federal statutes or regulations the State
may need to support its consolidated plan.
How program administrators in the State will maintain the
kind of communication and coordination needed to draw effectively on
all Federal resources as outlined in the plan.
How program administrators throughout the State will make
the strategies outlined in the consolidated plan part of their daily
work. [[Page 3309]]
If a State chooses to consolidate its use of State
administration funds (under section 14201 of the ESEA), how the
consolidation of these funds relates to the consolidated State plan
under section 14302.
Any critical timelines and benchmarks that will guide
related and ongoing activities.
3. How will the State enable interested local educational agencies,
in accordance with section 14305 of the ESEA, to develop their own
consolidated plans for the use of Federal funds, and help to develop
the capacity of LEAs and schools to use all of their funds to support
high academic achievement for all intended program beneficiaries?
4. For an individual school whose activities are supported with
Federal funds, how can the needs of its students be better met through
implementation of the consolidated plan? The answer to this question
might illustrate how a State's thinking about the usefulness of a
consolidated plan is rooted in the daily activities of schools and
students.
An SEA also would provide an update on any significant changes in
the procedures for distribution of funds, as well as in the amounts and
general uses of funds reserved for administrative and State-level
activities, from those described in the preliminary consolidated plan.
Review of Consolidated Plans
The Secretary proposes that the State's preliminary consolidated
plan be approved without peer review, but is strongly considering using
a peer review process that involves the assistance and advice of State
officials, and others with relevant expertise, for approving the final
State consolidated plan.
Public Participation Requirements
Section 14303(7) of the ESEA requires, as one of the SEA's general
assurances, that ``before the [consolidated plan] was submitted to the
Secretary, the State has afforded a reasonable opportunity for public
comment on the plan * * * and has considered such comment.'' (This
assurance applies both to consolidated State plans under section 14302
and to all individual State plans or applications submitted under
individual programs.)
Invitation to Comment
The Secretary invites comments from all interested members of the
public on this proposal for the content of the consolidated State plan.
The Secretary is particularly interested in receiving comments on
whether--
There are additional grant programs, either formula or
discretionary, that the Secretary should consider designating for
possible inclusion in a consolidated State plan, and how that plan can
best accommodate these programs.
The proposed contents of the preliminary (first-year)
consolidated plan are reasonable and whether they need to be modified
or clarified.
The issues proposed to be addressed in the final, (second-
year) consolidated plan are clearly expressed and properly formulated,
and what additional examples, if any, should be included to clarify the
kind of information that the State would need to provide.
All comments submitted in response to this notice will be available
for public inspection, during and after the comment period, in room
4000, Portals Building, 1250 Maryland Avenue SW., Washington, DC 20202.

Dated: January 6, 1995.
Thomas W. Payzant,
Assistant Secretary for Elementary and Secondary Education.

Appendix A--Department of Education Preliminary Guidance Document: The
IASA Consolidated Plan (December 1, 1994)

(Note: This document was distributed to those who attended the
Office of Elementary and Secondary Education/Office of Bilingual
Education and Minority Languages Affairs conference in Baltimore,
Maryland, on December 2, 1994. It is intended to provide useful
background information.)

A New Approach

The recently enacted Improving America's Schools Act
(IASA) stresses, in a variety of ways, the need to rethink how
Federal, State and local education programs can fit together into a
unified system that focuses on one principal goal: Enabling all
students to achieve to challenging standards. The Act reinforces the
Federal government's limited supporting role in this effort. At the
same time, it encourages the Secretary of Education to remove
barriers to State and local efforts to meet student educational
needs. Indeed, the IASA permits the Secretary to take steps to
ensure that the way in which the Department administers its programs
is itself a part of, rather than a hindrance to, educational reform.
The IASA authorizes the Secretary to waive statutes or
regulations that impede efforts to increase the quality of student
instruction or improve student academic performance. It also permits
the Secretary to eliminate the need for States to submit to the
Department a myriad of different program funding applications.
Instead, the IASA authorizes submission of a single consolidated
plan that, for the programs that it covers, focuses on cross-program
coordination, integration of services and improved service delivery
as keys to student achievement. This authority extends to State
formula grant programs in the Elementary and Secondary Education Act
(ESEA),\1\ as well as to the Goals 2000: Educate America Act, the
School-to-Work Opportunities Act, and State leadership programs
under the Perkins Vocational Education Act.

\1\The ESEA was reauthorized in Title I of the Improving
America's Schools Act.
---------------------------------------------------------------------------

To make educational reform truly comprehensive, its
reach must extend beyond challenging content standards and new
teaching methods to the very way in which we administer our many
programs. A consolidated plan can become a driving force for
thinking about how all Federal, State and local activities might
work together in a common and coherent effort. Indeed, this
consolidated plan, when used along with other means of promoting
State systemic reform under the IASA, Goals 2000 and the School-to-
Work Act, can go a long way toward helping all of us change the way
in which we do business, so that student academic achievement,
rather than individual program administration, truly is the focus of
our work.

The Department's Strategy

General Approach to Consolidated Planning. The new authority
that the IASA gives to the Secretary to approve a consolidated
program plan offers an unprecedented opportunity to tap the full
potential of Federal programs. This authority can convert the
current program-by-program application process into a process for
renewed thinking about how these programs collectively can fit
together, notwithstanding their distinct purposes and different
beneficiaries, to increase the quality of student instruction and
the level of student academic performance.\2\ A truly consolidated
application--one that is more than a repackaged compilation of even
the best individual program applications--can reflect the kind of
broad, creative planning effort that is needed to complement other
educational reform efforts and strategies.

\2\Congress expressed the purpose of consolidating existing
program applications into a single plan in section 14301 of the
ESEA: ``To improve teaching and learning by encouraging greater
cross-program coordination, planning, and service delivery under
this Act and enhanced integration of programs under this Act with
educational activities carried out with State and local funds.''
---------------------------------------------------------------------------

The Department is working hard to develop criteria for a State's
consolidated plan that can help State and local officials, teachers
and other school staff, and parents begin to take advantage of the
opportunities that a consolidated plan presents. Because the law was
only recently passed, because the issues are complex, and because
extensive collaboration with stakeholders is required, any decisions
thus far are preliminary. However, knowing the substantial interest
that the prospect of a consolidated plan has generated, and the
reality that State planning under the IASA already has begun, the
Department wants to offer whatever guidance that it currently can
provide about what a plan might contain and how it might be
developed. The Department expects to provide more information in
coming weeks.
[[Page 3310]]

Because a spring 1995 deadline for plan submission and review
would not permit full public discussion of how to achieve the
maximum potential of consolidated planning, the Department intends
to implement the IASA's consolidated plan provision in two stages.
States choosing to submit a consolidated plan as the basis for its
FY 1995 program funding will only have to prepare a first year
``preliminary'' plan. During the following year, these States would
develop and submit a final, comprehensive, consolidated plan that
will be the basis for program funding for FY 1996 and beyond. Each
State that submits a consolidated plan under this process may choose
among the programs that are eligible for inclusion under the Act.
Submitting individual program applications for FY 1995 does not
preclude a State from submitting a full comprehensive plan the
following year.
The First Year Consolidated Plan. The preliminary consolidated
plan for FY 1995 funding would describe--for programs that the State
expects the final plan to cover--how the State will develop a
specific and comprehensive plan to support the kinds of cross-
program coordination, program integration and effective modes of
service delivery that will better enable all children to achieve to
challenging standards. This preliminary plan also would address
certain program-by-program application requirements that the
Secretary determines must be reviewed before FY 1995 grant awards
are made. The Secretary intends to keep the number of these
additional requirements that must be addressed in the preliminary
plan to the minimum needed for basic accountability. The Secretary
plans to announce these minimum-content requirements by mid-
February, 1995.
State Planning Activities During the First Year. During the
first year after the preliminary plan is approved, States would have
the opportunity to continue their consolidated planning process. In
doing so, States would be able, among other things, to: (1) engage
in consolidated planning that is integrated with other broad-ranging
and systemic efforts such as those under Goals 2000 and the School-
to-Work Acts; and (2) request from the Department--as they can do at
any time--waivers of program requirements that they may need to
implement their consolidated plans effectively.
During this planning period, States also would be responsible
for implementing the requirements of their individual programs
whether or not those requirements were addressed in the preliminary
consolidated plan.
The Final Consolidated Plan. On the basis of their comprehensive
planning, States would develop and submit to the Secretary their
final, comprehensive, consolidated plans. The Department soon will
begin working with interested States and others to develop guidance
on how consolidated State planning can support an integrated,
Statewide service delivery system that promotes higher student
achievement. These plans also might need to include some minimum
program-specific information that will be determined by the
Secretary in close consultation with the field. Approval of this
comprehensive plan--along with any waivers that may be needed to
implement it--would be the basis on which funds for covered programs
would be awarded for FY 1996 and beyond.

Questions and Answers

The following information tries to address significant questions
about the Department's strategy for implementing the consolidated
plan provisions in the IASA.
Q1. What programs may a State include in its consolidated plan?

(Note: The following answer contains both a limited number of
minor clarifications to the list of programs that the statute
specifically identifies for possible inclusion in a consolidated
State plan, and those additional programs that the Secretary is
proposing to designate for possible inclusion in the plan. These
clarifications and additions, which are reflected in the foregoing
notice, were made after release of the guidance document.)

A1. ESEA programs may include: Title I, Part A (LEA Program);
Title I, Part B (Even Start); Title I, Part C (Migrant Education);
Title I, Part D (Neglected, Delinquent, or At-Risk Children); Title
II (State and local programs) (Professional Development); Title III,
Part A, subpart 2 (Technology for Education); Title IV, Part A
(other than the Governor's Programs in section 4114) (Safe and Drug-
Free Schools and Communities); and Title VI (Innovative Education
Program Strategies (formerly Chapter 2)). A State also may include
the following non-ESEA programs: State leadership programs under
Title II of the Carl D. Perkins Vocational and Applied Technology
Education Act; Programs under the Goals 2000: Educate America Act;
and Programs under the School-to-Work Opportunities Act. (See
section 14302, and the definition of ``covered program'' in section
14101 of the ESEA.)
The IASA authorizes the Secretary to designate other programs
that may be included as well. The Secretary proposes to designate
Subtitle B of Title VII 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), and all other
State formula grant programs under the Perkins Act. The Secretary
plans to provide a final list of designated programs by mid-
February.
Q2. Will States that submit a consolidated plan to the
Department have the option of choosing which among these programs to
include?
A2. Yes, selection of programs to include in a consolidated
plan, like the decision to submit a consolidated plan at all, is
entirely at the discretion of the State.
Q3. Will a State have to submit any other funding application
for programs that are included in its consolidated plan?
A3. No. For programs that a State includes in its consolidated
plan, that plan will substitute for any application requirements
that are contained in the individual program statutes.
Q4. Since the ESEA authorizes the Secretary to approve many
individual program applications for the duration of the Act, why
would review and approval of the consolidated plan be performed in
two stages?
A4. Section 14301 of the ESEA, unlike many of the application
requirements for individual programs, does not require the Secretary
to approve a consolidated plan for any particular period of time.
Rather, it gives the Secretary broad authority to ``establish
procedures and criteria'' that will govern the process for
submitting the consolidated plan. The Secretary believes that a two-
stage process, with submission of an initial plan in the spring of
calendar year 1995, followed later by submission of a more
comprehensive plan, is the best and most practical way to promote
the broad and critical thinking at all levels that is needed to
develop a strong consolidated plan.
Q5. Could funds awarded under a consolidated plan be co-mingled
and treated as if they were from one funding source?
A5. No, unless the State receives a waiver of existing
requirements that govern the way it accounts for funds--perhaps as
part of the State's overall reform strategy under Goals 2000.
Otherwise, while the Secretary's approval of a consolidated plan
permits the Department to award funds under each program that the
plan covers, it does not change the existing responsibility of
States to account for those funds separately.
Q6. Would the Secretary's approval of a consolidated plan in any
way change the basic purposes or beneficiaries of programs that the
plan covers?
A6. No.
Q7. For those programs that a State includes in its consolidated
plan, would the State be expected to address any application
requirements that are contained in individual program statutes?
A7. Yes. In order to administer programs properly, a State's
consolidated plan also would need to address certain application
requirements under individual program statutes that the Secretary
determines must be reviewed before program grant awards are made.
Q8. If program application requirements are not addressed in the
consolidated plan, do these requirements still have to be met?
A8. Yes. Unless a State receives a waiver of a requirement under
the applicable authority in the IASA, Goals 2000, or School-to-Work
Acts, the Secretary's approval of a consolidated plan eliminates the
need to provide further application information, but does not affect
the State's responsibility to meet requirements identified in
program statutes.
Q9. Can a State that already has an approved plan under Goals
2000 use the plan as the basis of its IASA consolidated plan?
A9. Yes. In fact, the Department would encourage it to do so.
Q10. Will there be discussion with the public about the specific
content and program-by-program information required to be included
in the consolidated plan?
A10. Yes. Section 14302(b) of the Act requires the Secretary to
collaborate with SEAs, and, as appropriate, with other State
agencies, LEAs, public and nonprofit organizations and institutions,
private [[Page 3311]] schools, and representatives of parents,
students and teachers in implementing consolidated plans. Many
officials, agencies and organizations at all levels are interested
in the potential benefits of developing consolidated plans, and the
Department strongly desires to include all those interested in the
discussion of what plans should contain. The Department likely will
use a range of direct and indirect means of conveying information
and soliciting reaction.
Q11. When does the Department anticipate that State and local
officials and others will receive specific instructions about what
to include in the first-year consolidated plan, and the time-line
for submission and review?
A11. The Department is aware that early and careful planning
about the content of good first-year consolidated plans will require
early notice about their expected content. The Department intends to
distribute more information on the content of consolidated plans
during January, so that States have sufficient time to (1) think
carefully about how a consolidated plan can propel new dynamic
thinking about real program coordination (2) how [sic] their
consolidated planning supports reform strategies that they may be
developing under Goals 2000, and (3) prepare a proposed plan and
solicit and review public comment on its content if they choose to
submit a consolidated plan.
The Department expects to issue final guidance on the content
and format of the preliminary consolidated plan by mid-February, as
well to announce any other programs that may be included in it.
While no schedule for submission and review of preliminary plans has
yet been developed, the Department would like that schedule to be
the same as schedules established for submission and approval of
individual FY 1995 program applications.
Q12. Does the IASA contain any requirement that a State discuss
the content of a preliminary consolidated plan with the public
before submitting it to the Secretary?
A12. Yes. The Act requires a State to offer a reasonable
opportunity for the public to comment on its consolidated plan, and
to consider that comment, before submitting the plan to the
Secretary. This requirement would apply both to the preliminary
consolidated plans and to the final consolidated plans. Public
comment on a consolidated plan does not necessarily, by itself, meet
any other individual program requirements for public comment.

Appendix B--General Assurances Applicable to Each Program Covered by
the Preliminary (First Year) Consolidated Plan

Each program will be administered in accordance with
all applicable statutes, regulations, program plans, and
applications.
The control of funds provided under each program and
title to property acquired with program funds will be in a public
agency, in a nonprofit private agency, institution, or organization,
or in an Indian tribe if the law authorizing the program provides
for assistance to these entities.
The public agency, nonprofit private agency,
institution, or organization, or Indian tribe will administer the
funds and property to the extent required by the authorizing law.
The State will adopt and use proper methods of
administering each program, including--
(A) The enforcement of any obligations imposed by law on
agencies, institutions, organizations, and other recipients
responsible for carrying out each program;
(B) The correction of deficiencies in program operations that
are identified through audits, monitoring, or evaluation; and
(C) The adoption of written procedures for the receipt and
resolution of complaints alleging violations of law in the
administration of each program.
The State will cooperate in carrying out any evaluation
of each program conducted by or for the Secretary or other Federal
officials.
The State will use fiscal control and fund
accountability procedures that will ensure proper disbursement of,
and accounting for, Federal funds paid to the State under each
program.
The State will--
(A) Make reports to the Secretary as may be necessary to enable
the Secretary to perform the Secretary's duties under each program;
and
(B) Maintain records, provide information to the Secretary, and
afford access to the records as the Secretary may find necessary to
carry out the Secretary's duties.
The State has afforded a reasonable opportunity for
public comment on the plan and has considered this comment.

[FR Doc. 95-868 Filed 1-12-95; 8:45 am]
BILLING CODE 4000-01-P

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A95-868. Public record. Not legal advice.