title iii fiscal and program guidance

CALIFORNIA DEPARTMENT OF EDUCATIONJack O’Connell, State Superintendent of Public Instruction

Title III Fiscal and Program Guidance

Accountability Leadership Institute for English Learner and

Immigrant Students

December 6–7, 2010

Burlingame, California

Carlos Rivera, Education Administrator I: [email protected]

Erin Koepke, Education Programs Consultant: [email protected]

JACK O’CONNELLState Superintendent of Public Instruction

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Purpose

To provide guidance to Title III

directors and fiscal personnel who

manage Title III programs and

funding


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Objectives of the Session

To provide an overview of Title III Program and Funding

• Budgetary Oversight• Reallocation Process• Funding of Translation Costs• Supplement, not Supplant Requirements• Title III Overview• Determining Eligibility• Application Process• End of Year Expenditure Reporting• Accountability Requirements


Budgetary Oversight


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Identification of Expenditure Patterns

• Consolidated Application (ConApp) I– Proposed Expenditure Report

• ConApp II– Actual Expenditure Report

• End of Year (EOY) Expenditure Report


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Cash Management

• 80 percent cash management threshold– ConApp I– ConApp II– EOY Expenditure Report

• Payment model: 40/40/20


Reallocation Process


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Reallocation of Funds

Purposes:

• ESEA, Title III, Part A, federal review

• Identify, reallocate, and distribute excess Title III funds beginning in 2010–11


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Sources for Reallocation

• Carryover from state educational agency

• Additional federal Title III allocations based on non-participation by other states in the Title III grant program

• Excess, unexpended funds voluntarily relinquished to the CDE by local education agencies (LEAs)


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Sustainability and Capacity Building

• LEAs meeting all Annual Measurable Achievement Objectives (AMAOs) for English learner (EL) population

• Facilitate sustainability

• Build capacity


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Procedure for Identifying Excess Funds

Identify unexpended funds:• ConApp• ConApp II• EOY Expenditure Report

Steps:• Contact LEAs• Process supplemental award notification

Disseminated later than original sub-grant award, butmust be expended within same budget period asoriginal award


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Online Resources and Contacts

• CDE Title III FAQs Web page at http://www.cde.ca.gov/sp/el/t3/title3faq.asp

• U.S. Department of Education ESEA, Section 3114(c) Web page at http://www2.ed.gov/policy/elsec/leg/esea02/pg41.html#sec3114

• Language Policy and Leadership Office (Title III):Erin Koepke, Education Programs Consultant, by phone at 916-323-5467 or by e-mail at [email protected]


Funding for Translation of Documents


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Funding for Translation of Documents

• ESEA, Title III, Part A, federal review

• Letter to the field July 9, 2010– Translations required by both federal

and state law– Subject to federal supplement, not

supplant, requirement


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How to Fund the Translation of Documents

• Local general funds

• Pursuant to the ESEA, Title I, sections 1111(h)(6)(c) and 1112(g)(2), Title I funds for the purpose of translating parental notifications


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• U.S. Department of Education Web page titled Supplement not Supplant Provision of Title III of the ESEA at http://www2.ed.gov/programs/sfgp/supplefinalattach2.pdf

• U.S. Department of Education, ESEA, Section 1111(h)(6)(c) and 1112(g)(2) Web page at http://www2.ed.gov/policy/elsec/leg/esea02/pg2.html#sec1111

• CDE Web page titled Clearinghouse for Multilingual Documents (CMD) at http://www.cde.ca.gov/ls/pf/cm/

• Specialized Media and Translations Unit:Rod Atkinson, Education Programs Consultant, by phone at916-445-6109 or by e-mail at [email protected]

• Language Policy and Leadership Office (Title III):Carlos Rivera, Education Administrator I, by phone at916-319-0247 or by e-mail at [email protected]


Supplement, not Supplant


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Supplement, not Supplant

According to ESEA, Title III, Section

3115(g), Title III funds must be used

to supplement educational programs

and services for limited English

proficient (LEP) and immigrant

children and do not replace, or supplant,

services that students would otherwise

receive.


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How to Determine if a Cost is Allowable

Legal Authority• Statutes

– Title III statutes (ESEA Sections 3001–3304)

• Code of Federal Regulations– Title III Regulations


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How to Determine if a Cost is Allowable (cont.)

Non-legal Guidance• Non-regulatory Guidance documents:

– U.S. Department of Education’s (ED’s) Implementing RTI Using Title I, Title III, and CEIS Funds: Key Issues for Decision-makers Web page at http://www2.ed.gov/programs/titleiparta/rti.html

– ED’s Supplement Not Supplant Provision of Title III of the ESEA Web page at http://www2.ed.gov/programs/sfgp/supplefinalattach2.pdf

– ED’s Part II: Final Non-Regulatory Guidance on the Title III State Formula Grant Program-Standards, Assessments and Accountability found at http://www2.ed.gov/programs/nfdp/NRG1.2.25.03.doc


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Title III Supplement, not Supplant Requirement

Title III funds must be used to supplement the level of Federal, State, and local funds that, in the absence of Title III funds, would have been expended for programs for LEP and immigrant children and youth.


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The First Test of Supplanting: “Required by Law”

An LEA uses Title III funds to provide services that the LEA is required to make available under State or local laws, or other Federal laws


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The Second Test of Supplanting: “Prior Year”

An LEA uses Title III funds to

provide services that it provided in

the prior year with State, local, or

other Federal funds


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How Can Title III Funds be Used Without Violating the

Supplement, not Supplant Requirement?

Questions to Ask: 1. Is the proposed cost allowable under Title III, Part A program rules (ESEA,

Sections 3001–3304)?

2. Is the proposed cost consistent with Title III, Part A fiscal rules (Supplement, not Supplant)?

3. What are the instructional program/services provided to all students?

4. What services is the LEA required by other Federal, State, and local laws or regulations to provide?

5. Was the program/service previously provided with State, local, or Federal funds?


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Questions to Ask: (continued)

Based on the answers to the previous questions, would the proposed funds be used to provide an instructional program/service that is in addition to, or supplemental to, an instructional program/service that would otherwise be provided to LEP and/or immigrant students in the absence of a Title III grant?


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Exceptions to the Rule

• If the state education agency or LEA demonstrates it would not have provided services if the federal funds were not available

• NO non-federal resources available this year


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Complexity of the Requirement

Though the legal authority and

guidance regarding Title III allowable

costs is clear, the supplement, not

supplant, requirement is fact

dependent and can require complex

answers dependent on specific

criteria and circumstances.


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• U.S. Department of Education Elementary and Secondary Education Web page at http://www2.ed.gov/policy/elsec/leg/esea02/pg41.html#sec3115

• U.S. Department of Education English Language Acquisition State Grants Web page at http://www2.ed.gov/programs/sfgp/legislation.html

• U.S. Department of Education Supplement, not Supplant Provision of Title III of the ESEA at http://www2.ed.gov/programs/sfgp/supplefinalattach1.doc

• Language Policy and Leadership Office (Title III):

Carlos Rivera, Education Administrator I, by phone at

916-319-0247 or by e-mail at [email protected]


Title III Overview


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What is Title III, Part A?

• English Language Acquisition, Language Enhancement, and Academic Achievement– Language Instruction for Limited English

Proficient and Immigrant Students

Funded as:• ESEA, Title III, Part A, LEP Student Sub-grant

Program; Standardized Account Code Structure ([SACS] 4203)

• ESEA, Title III, Part A, Immigrant Education Student Sub-grant Program; (SACS 4201)


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Title III, Part A Legal Title III, Part A Legal References References

Purposes of Purposes of Sub-grants-LEP/ImmigrantSub-grants-LEP/ImmigrantESEA Section 3115(a)ESEA Section 3115(a)

Title III Required Activities-LEPTitle III Required Activities-LEPESEA Sections 3115(c)(1) and (2)ESEA Sections 3115(c)(1) and (2)

Title III Authorized Activities-LEPTitle III Authorized Activities-LEPESEA Sections 3115(d)(1) through (8)ESEA Sections 3115(d)(1) through (8)

Immigrant ActivitiesImmigrant ActivitiesESEA Sections 3115(e)(1) and (2)ESEA Sections 3115(e)(1) and (2)


Determining Eligibility


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Eligibility DeterminationEligibility Determination Limited English Proficient Limited English Proficient Student Sub-grant ProgramStudent Sub-grant Program

• 2010–11 funding based on R-30 Language Census in March 2009

• Future years funding based on numbers reported via California Longitudinal Pupil Achievement Data Systems (CALPADS)

How to apply:• ConAppConApp (Direct Funded) if LEA generates (Direct Funded) if LEA generates

$10,000 or more based on per pupil amount$10,000 or more based on per pupil amount

• Consortia Online Application (COA) if LEA generates less than $10,000 based on per pupil amount


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Eligibility DeterminationEligibility DeterminationLimited English Proficient Limited English Proficient Student Sub-grant ProgramStudent Sub-grant Program

LEA EL Students

Estimated Grant is $102.60

per student

Application Status

A

49 $4,655.00 C

B

473 44,935.00 DF

C

3 285.00 C

D

2,331

221,445

.00 DF

E

685

65,075.

00 DF


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Awards

The final per pupil amount reflects

the number of private school ELs

served by the LEA in the previous

year and reported on the ConApp.


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Eligibility DeterminationEligibility DeterminationImmigrant Education Student Immigrant Education Student Sub-grant Funding ProgramSub-grant Funding Program

• 2010–11 funding based on spring 2009 Student National Origin Report (SNOR) for public and private schools

• School districts, county offices of education, and direct-funded charter schools submit electronically via CALPADS

• Private schools submit on the CDE’s SNOR Online Reporting Web page at http://www.cde.ca.gov/sp/el/t3/snoronline08.asp


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• Direct funded $5,000 or more

• Less than $5,000 the LEA must form or join a consortium

• Establishing Eligibility– Must submit SNOR annually– One or more immigrant students– 2% growth

• Three year funding cycle


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LEA

Prior Funded

Elig Start Yr

Current Funded

Elig Start Yr

2006/07

2007/08

Avg 06-

07/07-08

08-09 LEA

08-09 Priv Sch

08-09 Total

Diff.%

ChangeEst

GrantStatus

A 2007 2007 16 13 14 6 0 6 -8 -57% N/A N/A

B NE 2010 59 74 66 57 12 69 3 5% $6,941 DF

C 2007 2008 513 598 556 445 53 498 -58 -10% $50,098 DF

D NE NE 0 13 6 16 N/A N/A

E 2008 2010 18 21 20 21 3 24 4 20% $2,414 C

F 2006 2008 428 403 416 470 470 54 13% $47,282 DF

G 2005 2005 199 158 143 129 5 134 -9 -6% N/A N/A


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Student National Origin Student National Origin Report Report

Private SchoolsPrivate SchoolsFall Census Day: October 6, 2010Spring Census Day: March 1, 2011

• Private school SNOR submission instructions letter:– February, 2010

• Submit SNOR to CDE between March 1 ando CDE between March 1 andMarch 31, 2011March 31, 2011

• Non-submission of zero immigrant student count may Non-submission of zero immigrant student count may affect funding for up to three yearsaffect funding for up to three years

• Private school non-submission and effects on LEAsPrivate school non-submission and effects on LEAs


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Awards

The final per pupil amount for an

LEA reflects the number of public

and private school immigrant

students as reported on the SNOR

for the data year used for

calculations.


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Immigrant Student Definition

As of July 1, 2009, the definition of immigrant students hasbeen updated

• Section 3301(1) and (6) of the ESEA define immigrant children and youth as individuals who:1) Are aged 3 through 212) Were not born in any state 3) Have not been attending one or more schools

in any one or more states for more than 3 full

academic years

• Section 3301(14) of the ESEA defines State as each of the 50 states, the District of Columbia, and the Commonwealth of Puerto Rico


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• CDE’s Request for Applications Title III-LEP Student Sub-grant Program Web page at http://www.cde.ca.gov/fg/fo/r22/lep10rfa.asp

• CDE’s Request for Applications Title III Immigrant Education Student Sub-grant Program Web page at http://www.cde.ca.gov/fg/fo/r22/imm10rfa.asp

• CDE’s CALPADS Web page at http://www.cde.ca.gov/ds/sp/cl/index.asp

• CALPADS Operations Office by phone at 916-324-6738 or by e-mail at [email protected]


Application Process


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The Application Process

You must apply to receive funds!

Apply via ConApp I, page 2

• LEP: $10,000 or more• Immigrant: $5,000 or more

Apply via COA on CDE’s Request forApplications Web page athttp://www.cde.ca.gov/fg/fo/r22/imm10rfa.asp

• LEP: Less than $10,000• Immigrant: Less than $5,000


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The Application Process: ConsortiaConsortia

Memorandum of Understanding (MOU)Memorandum of Understanding (MOU)• One for the entire consortiumOne for the entire consortium

• Lead LEA facilitates development of MOU Lead LEA facilitates development of MOU with its memberswith its members

• Completed by October of each funding yearCompleted by October of each funding year

• The lead LEA controls the funds; this is not The lead LEA controls the funds; this is not a pass-through granta pass-through grant

° The member LEAs do not have spending The member LEAs do not have spending authorityauthority

° Members receive program, products, and/or Members receive program, products, and/or services from the lead LEAservices from the lead LEA


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The Application Process: ConsortiaConsortia

Lead LEA acts as fiscal and program agentLead LEA acts as fiscal and program agent• For entire 27 month period per award yearFor entire 27 month period per award year

° Expenditure reportsExpenditure reports° Cash management requirementsCash management requirements

(80 percent threshold)(80 percent threshold)

• MOU must be adhered toMOU must be adhered to

• Both LEP and immigrant rules for forming Both LEP and immigrant rules for forming consortia are the sameconsortia are the same


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Overall Funding Cycle

• Award is for 15 months

For Fiscal Year (FY) 2010–11:

July 1, 2010 through September 30, 2011

• 12 months is allowed for carryover

For FY 2010–11: October 1, 2011 through September 30, 2012

• After 27 months authority to spend ceases

For FY 2010–11: September 30, 2012


Expenditure Reporting


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Expenditure Reporting• ConApp I, June 30

• ConApp II, January 31

• EOY Expenditure Report on the CDE’s Title III LEP and Immigrant Program Expenditure Web pages by end of October each year

LEP: http://www.cde.ca.gov/sp/el/t3/t3eoylep.aspImmigrant: http://www.cde.ca.gov/sp/el/t3/t3eoyimm.asp


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What Should be Reported?

• Report obligations by FY of allocation, not current FY. Although you may not have received apportionments for your FY 2009–10 award until FY 2010–11, report as FY 2009–10 obligations.


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Legal Obligations

• According to the California State Accounting Manual, “Legal obligations are commitments made by an LEA to purchase goods or services immediately or in a future period.”

• To determine whether a financial commitment should be reported as an obligation, please refer to Title 34, Part 76, Section 707 from the Code of Federal Regulations: Retrieve by CFR Citation Web page found at http://www.gpoaccess.gov/cfr/retrieve.html (Outside Source).

• All obligations must be liquidated no later than 90 days after the funding period ends. For the FY 2008–09 sub-grant, all obligations need to be liquidated by December 30, 2010.


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Expenditure Reporting: Consortia

• Only direct funded and consortia leads report obligations on the EOY.

• During each reporting period, the lead should report for two FY’s

• An LEA should only report for the year(s) in which it was the lead.


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Expenditure Reporting: Administrative and Indirect

Charges• LEP: Administrative AND Indirect costs are limited to

two percent of the total student sub-grant.

• Immigrant: The LEA is authorized to assess its approved indirect cost rate for FY 2010–11 on the remaining portion of the grant after the administration costs have been assessed. A list of approved indirect cost rates is available at the CDE’s Indirect Cost Rates Web page at http://www.cde.ca.gov/fg/ac/ic/index.asp.

• The new grant plus carryover can be used to calculate the two percent set aside for administration.


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Limited English Proficient Student Sub-grant Program

Contacts

• Fiscal Questions: Please contact Patty Stevens, Associate Government Program Analyst, by phone at 916-323-5838 or by e-mail at [email protected]

• Programmatic questions:Please contact Michele Anberg-Espinosa, Bilingual/Migrant Education Programs Consultant at 916-323-4872 or by e-mail at [email protected]


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Immigrant Education Student Sub-grant Program Contacts

• Fiscal Questions: Please contact Clifton Davis, Jr., Associate Government Program Analyst, at 916-323-5808 or by e-mail at [email protected]

• Programmatic Questions: Please contact Erin Koepke, Education Programs Consultant at 916-323-5467 or by e-mail at [email protected]


Title III Accountability


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Accountability Overview• The Elementary and Secondary Education Act (ESEA),Title

III, requires states to hold LEAs and Consortia accountable for meeting Annual Measurable Achievement Objectives (AMAOs) as a condition of funding.

• LEAs are accountable for meeting the following three AMAO targets:

AMAO 1: Annual progress in learning English

AMAO 2: Progress in attaining English-language proficiency

AMAO 3: Meeting Adequate Yearly Progress (AYP) requirements for the English learner (EL) subgroup at the LEA or Consortia level


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Consequences of not Meeting Annual Measurable

Achievement ObjectivesIf a Title III LEA or consortia does not meet any one or more of the three AMAOs in any year, it must:

• Inform parents of all ELs in the LEA, or the consortia as a whole, that the AMAOs have not been met.

• Notification should be provided within 30 days of the public release of the Title III Accountability reports.


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Title III Year 2 LEAs in Improvement Status

Pursuant to requirements of ESEA, Section 3122(b)(2)(3):

• LEAs and Consortia that fail to meet one or more AMAOs for two consecutive years (2008–09, and 2009–10)

• Must develop an Improvement Plan Addendum (IPA)

• IPA shall specifically address the factors that prevented the LEA or consortia from achieving the AMAOs

• 79 LEAs (6 pending) identified as not having met one or more AMAOs for two consecutive years

• Data source: 2010 AYP Report and 2009-10 Title III Accountability Report released September 2010


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Title III Year 4 LEAs in Improvement Status

Pursuant to requirements of the ESEA, Section 3122 (b)(4), andapproved by the State Board of Education (SBE):

• LEAs and Consortia failing to meet one or more AMAOs for four consecutive years (2006–07, 2007–08, 2008–09, and 2009–10)

• Required to modify their curriculum, program, and method of instruction

• 56 LEAs (1 pending) were identified as not having met one or more AMAOs for four consecutive years.

• Data source: 2010 AYP Report and 2009–10 Title III Accountability Report released September 2010


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Title I, II, and III CoordinatedTechnical Assistance

• Common notice letter to all LEAs in September notifying them of their improvement status under ESEA, Title I, II, and III, including action that needs to be taken.

• Posting the revised school and district program self-assessment tools, including:

– Academic Program Survey (APS)– District Assistance Survey (DAS)– English Learner Subgroup Self-Assessment (ELSSA) and – Inventory of Services and Support (ISS) for Students with Disabilities

• 2009–10 technical assistance presentations are available on the California Comprehensive Center (CACC) at WestEd’s Web page at http://www.cacompcenter.org/cs/cacc/print/htdocs/cacc/esea-requirements.htm (Outside Source)

• The CDE and the County Office of Education (COE) Regional Leads, in partnership with the CACC at WestEd.


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• Title III Accountability Requirements Web page athttp://www.cde.ca.gov/sp/el/t3/t3amaotargets.asp

• Language Policy and Leadership Office (Title III):Lilia G. Sánchez, Education Programs Consultant, by phone at 916-319-0265 or by e-mail at [email protected]