Notes and Working Papers Concerning the Administration of Programs

(Name of State
hereby submits its State plan for guidance and
educational agency)
counseling, and testing pursuant to the provisions of secs. 501-505, in-
clusive, of title V, pt. A, of Public Law 85-864, as amended, and the
regulations issued with respect thereto.

1.0. Administration of the State plan program:

1.1. Name of agency: The name of the State educational agency
is
and this agency is the sole agency
-responsible for the administration of the State plan and
for dealing with the Commissioner with respect to the
plan. This agency's qualification as the State educational
agency is based on

1.2. Administration:

1.21. The official title of the officer authorized by the
State educational agency to submit State plan
materials is

This paragraph is necessary to comply with the regulations and identifies the agency having administrative responsibility with respect to the State plan and which will represent the State in its dealings with the Federal Government. The legal authority for the agency's qualification must be cited.

1.22. The title and official address of the officer who has It is anticipated that in most States the officer will be the State treasurer. legal authority to receive and to have custody

of Federal funds is

1.23. The official title of the officer who on the State
level will have authority to authorize expendi-
tures under the State plan is

1.24. The official title of the officer and administrative
unit within the State educational agency which
will administer the plan is

1.25. The organization of the State staff for the adminis-
tration of guidance and counseling, and testing
program is

1.3. The State agency's authority:
1.31. The following cited statutes, regulations, legal
opinions, and court decisions contain authority
of the State educational agency to submit a State
plan under secs. 501-505 of Public Law 85-864, as
amended, and to administer the plan

1.32. The arrangements made by the State agency to administer programs of guidance and counseling, and testing, in public junior colleges and tech

This paragraph should clearly set forth the authority of the State educational agency under State law to submit the State plan and to administer the grams set forth therein, including a description of the supervisory relationships between the State agency and local educational agencies. Citations to, or copies of all directly pertinent statutes and interpretations of laws by appropriate State officials, whether by regulation, policy statement, opinions of the Attorney General, or court decisions must be certified as correct by the appropriate official. Where State rules, regulations, or statutes set forth the authority of the State agency over the administration of programs in public junior colleges and technical institutes cite such authority and include a copy of rules, regula

Regulation reference

The State of

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 unnecesssry 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.

143.17.

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),

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 pro-
grams 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 formu-
late an opinion regarding correctness of the amounts claimed by local
agencies.

(b) Title V-A exceptions or questions raised by local auditors will be rou-
a tinely brought to attention of the State officials responsible for ad-
ministration 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
agency.
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 pro-
grams. 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 qualifica-
positions.

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

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