Committee Prints

1.4. Reports: The..

(Name of State educational agency)
will participate in periodic consultations with the Com-
missioner and his staff and will make such reports to the
Commissioner as he may consider reasonably necessary to
carry out his responsibilities under secs. 501-505 and
1004(a) of Public Law 85-864, as amended. It also will com-
ply with such provisions as the Commissioner may find
necessary to assure the correctness and verification of such
reports.

2.0. Fiscal management, accounting, and auditing procedures:
2.1. State laws and regulations;
2.11. The...

(Name of State education agency)

is governed by the following cited State laws and
executive regulations with respect to the hiring
of personnel and the purchase of and accounting
for supplies, materials, and equipment.

2.12. These laws and regulations have been interpreted
by pertinent legal opinions and court decisions,
still in effect, the citations to which are.

tions, or statutes in the plan appendix. In the event the State agency does not
have authority to administer programs in public junior colleges and technical
institutes include herein reference to agreements between the State agency
and participating junior colleges and technical institutes which set forth the
arrangements made to insure State agency administration of such programs.
If the State educational agency is prohibited from expending State funds to test
students in any private or public school or junior college or technidal institute,
state the legal basis for the conclusion and indicate each type or class of school
to which the conclusion applies. In such case, the State should be aware of
sec. 504(b) of title V which requires the Commissioner to arrange for testing of
students in private schools. The cost of such testing will be deducted from the
State's allotment.

This paragraph should be copied verbatim in the State plan. In effect, it states
that regulation 143.9 will be observed.

What is desired is the general legal authority of the State agency to conduct its
business. It will be unnecessary to develop any obscure points with reference
to the agency authority.

In the preparation of this subsection, it will be necessary to consult with the
chief fiscal officer of the State. If there have been any such opinions or inter-
pretations which materially affect the meaning of the cited laws or regulations,
cite them here. If they have not been published in a form readily available to
the Office of Education, copies of them should be provided in an appendix and
a reference given to the appendix.

This subsection should be prepared with the assistance of the appropriate fiscal
officer of the State. This paragraph should specify for State and local level
expenditures the accounting basis to be used in determining and reporting
expenditures made during a fiscal year, July 1, and ending the following June
30. If an accounting basis other than a cash accounting basis is used, this para-
graph should indicate the period during which obligations will be liquidated.
In the absence of State law or regulation governing expenditures or liquidation
of obligations, the State should set forth the rule or rules which it will follow
for reporting and documenting expenditures claimed under the State plan for
Federal financial participation.

The plan shall indicate the State's intention to transfer funds to local agencies
either as an advance or as reimbursement pursuant to regulation 143.17.
The method of establishing the amount of Federal and State payment to
local agencies shall be indicated and a statement given as to whether such
payment will be uniform or will vary among participating agencies. If the
ratio of reimbursement is variable, the basis of variation should be stated.

Plan guide

2.2. Fiscal records and auditing, State level:

2.21. The official accounts and documents showing re-
ceipts and expenditures of funds by the State
agency under the approved State plan will be
maintained by the following agency:

Instructions

Give name and location of agency. It is recognized that basic fiscal documents, such as purchase orders, requisitions, travel authorizations, vouchers, etc., required for an accurate and expeditious audit of State accounts, may be retained at places other than those where the official State accounts are maintained. Unless these source documents are kept at the same place as the accounts, sufficient additional information should be given to adequately establish the place or places where kept, including if appropriate, the name and location of agency which will have custody of official documents. (See regulation 143.6.) Attention is directed to regulation 143.18 which specifies a certain time for maintenance of records. If State policy is not in harmony with these regulations, provisions should be made for meeting Federal requirements.

143.6(b).

or agency making audit)

(Frequency of audit) Reports of such audits will be available in the office of the

2.3. Fiscal records and auditing, local level:
2.31. The official accounts and documents showing
receipts and expenditures of funds by local
agencies for programs approved under the State
plan will be maintained by the following agency:

Give name or type of agency only. It is recognized that basic fiscal documents,
such as purchased orders, requisitions, travel authorizations, vouchers, etc.,
required for an accurate and expeditious audit of local accounts, may be
retained at places other than the places where official local accounts are main-
tained. Unless these source documents are kept at the same place as the
accounts, sufficient additional information should be given to identify the
offices or agencies (whether State, county, or local) which will have custody
of official documents.

Attention is directed to regulation 143.18 (a) of the regulations which specifies
a certain time for maintenance of records. If local policy is not in harmony
with these regulations, provisions should be made for at least meeting Federal
requirements.
The plan should state the frequency of audits. If the reports of the audit are
available in some other agency, so specify.

This subsection should also contain information concerning how the State agency will secure information to assure proper use of funds expended if the audit is to be carried out at the local level.

Describe according to State laws or regulations the requirements for local school district audits, stressing the nature of the audit, the authority of the State for prescribing such auditis (including citation to existing State law or regulation),

143.6.

2.4. Identifying and prorating expenses.

3.0. Program for State supervisory and related Services. 3.1. Objectives of State supervisory program. 3.11. General objectives.

3.12. Public elementary school program objectives.
3.13. Public secondary school program objectives.

3.2. Objectives of consultative services in public junior colleges
and technical institutes.

3.3. Description of State plan supervisory and related services program.

where the audits are prepared and by whom. If State law or regulation does not prescribe such audits, the State should set forth in this section how the State agency will assure the audits of local school districts participating in plan programs will be performed, by whom, the nature of such audits, and under what conditions. Such description should indicate how the State will insure such local audit standards as

(a) Auditors are sufficiently familiar with the title V-A program to formulate an opinion regarding correctness of the amounts claimed by local agencies.

(b) Title V-A exceptions or questions raised by local auditors will be routinely brought to attention of the State officials responsible for administration of the program.

(c) Amounts expended locally for the title V-A program and amounts re-
imbursed by the State agency, as shown in the local audit reports, will
be compared with corresponding amounts in the records of the State
The following paragraph is an example of what a State might provide in the
plan with respect to one type of expenditure, where appropriate. The State
may propose a different method of proration provided it is consistent with
State law. The intent of this paragraph is to define the method of identifying
the expenditures and determining the portion properly chargeable to the
program.
"It is anticipated that some personnel will be working on programs under
this plan and on other programs in the State department. Where the same
individual is performing other functions these will appear in the position
description together with the proportion of the individual's time which will
normally be devoted to each activity. The salary of such individual will be
prorated in accordance with periodic reports or statements signed by the
individual or his supervisor. Travel expense will be charged in proportion to
the actual time spent on each program. If other personnel, supplies, or equip-
ment, are used in part for work not under a plan program, similar provisions
will be made."

This paragraph must set forth the objectives intended to be accomplished by the plan program of State supervisory and related services in connection with guidance and counseling and testing programs.

This paragraph should deal with the State agency's supervisory and related services under the plan. It would be desirable if the description of the proposed program used such categories as are appropriate in regulation 143.25(a), 143.26, and 143.27. This section should describe the specific ways in which the State agency will seek to establish local programs of guidance and counseling, and testing in eligible schools under the plan to improve existing programs, render professional supervisory and related services to such programs and otherwise serve to strengthen the total State program of guidance and counseling, and testing in public elementary and secondary schools. This subsection should provide for utilizing other agencies or for cooperative arrangements if such are planned in accordance with regulation 143.28. Emphasis should be given to activities planned and State staff to be assigned such responsibilities. The testing program or the local guidance and counseling programs should be described only to the extent that such discussion clarifies the State's programs. Later paragraphs in the outline will call for descriptions of these other programs. Regulations 143.2(a) and 143.8 are pertinent.

Regulation reference

Plan guide

143.8.

3.4. Program review.

Instructions

This paragraph should provide that the State will review and evaluate at least annually (a) the programs of State supervisory and related services; (b) the testing program; and (c) the local programs of guidance and counseling in public elementary and secondary schools, or when applicable, junior colleges and technical institutes. A report of such reviews should be included as a part of the State's annual narrative report.

3.5. Duties and qualifications of State personnel in professional This paragraph should give the titles and duties of positions and the qualificapositions.

3.6. State advisory committee on guidance and counseling, and testing.

tions required for positions on the State professional staff assigned to the plan
programs of guidance and counseling and testing described in paragraph 3.3.
If any of the positions described in this paragraph are established by State laws
or regulations which provide the above information, citations to them may be
included in this section in lieu of details regarding duties or qualifications.
The appropriate laws or regulations should be included in an appendix to the
plan and it would be helpful if copies of cited State laws were also included.
This paragraph should describe the general composition and method of estab-
lishment of the committee and its duties, if one is established. It should be
noted that regulation 143.7(b) does not require that a State establish an ad-
visory committee.
This paragraph should set forth the objectives intended to be accomplished.
Such objectives should be consistent with the purposes of testing outlined in
regulation 143.29 and compatible with the activities set forth in regulation
143.8.

If it is planned to provide a testing program which includes testing at more than
one level-i.e., elementary and secondary-the State may desire to differenti-
ate the objectives of such testing for each of the educational levels.
It is the intent of the act that all students attending public and other elementary
and secondary schools or junior colleges and technical institutes be tested at
some time during their attendance in order that the test results may be used
in identifying students with outstanding ability and in counseling all students
with respect to the objectives set forth in regulation 143.32. To further achieve
these objectives Federal participation is made available for counseling and
guidance programs described in regulation 143.33 and 143.35 for students in
public elementary and secondary schools or junior colleges and technical
institutes.
Regulation 143.29 requires a testing program which includes at least 1 test not
above grade 12. However, the overall programs of the State should be adequate
to fulfill the purpose of the testing program as stated in regulation 143.29.
Federal financial participation in the cost of grade-wide testing programs,
including the purchase of tests, test scoring, and reporting services, is limited
to the testing program described iu this section.

The State should indicate the type of tests to be utilized to assess aptitudes and
abilities and the grade level of the students to be tested. States should consult
regulation 143.30 for definition of tests in which there may be Federal partici-
pation. The testing of students enrolled in junior colleges or technical insti-
tutes should be provided for in this section if it is planned to include such
students in the plan testing program. (See subsec. 1.32.)

This section should describe the procedures to be established by the State agency in the selection, administration, scoring, and utilization of tests under

5.0. Guidance and counseling programs:

143.35

5.3.

143.35(a)(2)

the plan program. Regulations 143.31 and 143.32 should serve as a reference
for developing this section. Conditions established which would be other than
reasonable or which would restrict schools from participating in the State
testing programs would be contrary to the intent of the act and would serve
to prevent such testing programs from being available to all students on a fair
and equitable basis.

5.1. Scope, objectives, and activities of plan programs at local The content desired f
level.

5.2. Reimbursable categories of expenditure..

he content desired in this paragraph is more fully described in regulation sec.
143.33. The State must commit itself to a program designed to accomplish the
objectives set forth in the opening sentence of that section in elementary and
secondary schools or public junior colleges and technical institutions. It may
be that the State will wish to incorporate regulation 143.33 as the State's
program under this heading. The regulation pertaining to this paragraph was
amended to provide greater flexibility for the State to develop elementary
school programs and to (1) point up the use of related resources in carrying
out the programs under the plan (143.33 (c) (5)); (2) to extend the placement
function to include employment placement in accordance with sec. 502(2)(b)
(143.33(d)); (3) to place more emphasis upon orientation with respect to the
offerings, services, and requirements of the school program (143.33(e) (1));
(4) to emphasize the importance of planning and implementing curricular and
instructional programs and services in terms of individual needs (143.33(1)).
Regulation 143.34 gives the categories of expenditures in which there may be
Federal participation. That list may be incorporated verbatim in the State
plan, if it expresses the State's intention. Changes in the regulation include
(1) the addition of public elementary schools, junior colleges and technical
institutes; (2) emphasis upon salaries for clerical personnel who directly assist
local guidance personnel (143.34(b)); and (3) emphasis upon purchase and
maintenance of office equipment specifically for use in carrying out the pro-
fessional aspects of guidance and counseling activities under the plan (143.34
(c)). The State agency should exercise caution in preparing this section so as
to insure that the reimbursable categories of expenditures are consistent with
the programs described elsewhere in the State plan.

bursement.
Standards and procedures for approval of local programs for reim- Regulation 143.35 which pertains to this paragraph has been amended to include

5.31. Minimum standards.

5.32. Recommended standards.

public elementary as well as secondary schools, junior colleges, and technical
institutes. This regulation should serve as the guide in the preparation of 5.3-
5.6, inclusive of the plan. This regulation requires that the plan shall set forth
a program for guidance and counseling in public elementary and secondary
schools, and may provide for such a program in public junior colleges and
technical institutes. (Refer to par. 1.32 of this guide). Such a program or pro-
grams shall include the items enumerated in regulation 143.35(a) which may be
differentiated where appropriate, and when in keeping with the State's ap-
proach for implementing programs at the various levels, with respect to types
of school or institution; i.e., elementary secondary, junior colleges, and tech-
nical institutes. For example, the State may wish to initiate guidance and
counseling programs in elementary schools by use of the pilot program ap-
proach. Also the State may find it desirable to establish a more extensive ele-
mentary school guidance program. In either case, the State may specify stand-
ards which vary from those established for the approval of guidance and coun-
seling programs for secondary schools.
Minimum and recommended professional standards for the guidance and
counseling program at authorized levels (elementary, secondary, junior
college, technical institute) are to be set forth in accordance with the 5 cate-
gories of standards enumerated in regulation 143.35(a) (2).

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