1 Planning and Funding Basics Lauren Amos and Liann Seiter, NDTAC Chandra Martin, Arkansas Department of Education

2 Your Roles and Responsibilities You are a guardian and a catalyst: 1.Allocating funds 2.Administering funds 3.Training and technical assistance

3 Allocating vs. Administering Funds Different eligibility requirements. Different reporting requirements and timeframes: –Annual Child Count –Consolidated State Performance Report (CSPR) The youth themselves are different. January 2014 Report 2013 Annual Count of students to ED July 2014 R eceive FY 2014 funding and make awards for SY January 2015 Report on students served in SY via CSPR to ED

4 Allocating Funds Getting Part D Dollars

5 Why Get the Count Right? To ensure your State’s full share of Part D (and Part A, neglect) funds –The pie has been baked, but they haven’t cut your slice yet. To increase your knowledge of populations and their needs: –Take note of large or unusual increases or decreases. –Track where (locality) numbers are increasing or decreasing. –Note changes in program (neglected, delinquent, or at-risk) populations. To pass Federal audit

6 Annual Count Refresher POP QUIZ!!!!!

7 State Agency—Subpart 1: Annual Count Quiz What is(are) the optimal day(s) to choose for the count? U.S. Department of Human Services June 1July 1Aug. 1Sept. 1 Facility Facility U.S. Department of Corrections June 15July 15Aug. 15Sept. 15 Facility

8 State Agency—Subpart 1: Annual Count Quiz (cont. 1) Each facility under a State Agency (SA) must use the same day for its Subpart 1 count. However, different SAs can use different days. September 1 and June 15 maximize the counts for the Dept. of Human Services and Dept. of Corrections, respectively, and for the State overall. U.S. Department of Human Services June 1July 1Aug. 1Sept. 1 Facility Facility U.S. Department of Corrections June 15July 15Aug. 15Sept. 15 Facility

9 Local Education Agency—Subpart 2 Annual Count Quiz: Count Window Which of the following date ranges are acceptable for the Subpart 2 Annual Count? A. Oct. 1–30 B. Sept. 20–Oct. 10, Oct. 20–Nov. 10 C. Oct. 31–Nov. 29 D. Sept. 1–30 E. Sept. 1–Oct. 1

10 Local Education Agency—Subpart 2 Annual Count Quiz: Count Window Which of the following date ranges are acceptable for the Subpart 2 Annual Count? A. Oct. 1–30 B. Sept. 20–Oct. 10, Oct. 20–Nov. 10 C. Oct. 31–Nov. 29 D. Sept. 1–30 E. Sept. 1–Oct. 1 A and C are both acceptable. B is not because the count window is not consecutive. D is not because one of the days in the count window does not fall in October. E is not because the count window is more than 30 days.

11 Local Education Agency—Subpart 2 Annual Count: Count Window A local education agency’s (LEA’s) Subpart 2 count window can start as early as September 2 or as late as October 31. The window must be 30 consecutive days, and at least one day of that window must be in October. The State education agency may set the window for all LEAs, or it may allow LEAs and facilities to choose their windows independently. September SMTWTFS October SMTWTFS November SMTWTFS

12 Local Education Agency—Subpart 2 Annual Count Quiz: Counting How many students who reside in a facility that is designated as a neglect institution should be counted? Joe and Kelly are considered neglected, and Shawn is considered delinquent. Sun.Mon.Tue.Wed.Thu.Fri.Sat. Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Joe Kelly Joe Kelly Joe Kelly Joe Kelly Joe Kelly Joe Kelly Joe Kelly Joe Kelly Joe Kelly Joe Kelly Joe Kelly Joe

13 Local Education Agency—Subpart 2 Annual Count Quiz: Counting (cont. 1) How many students who reside in a facility that is designated as a neglect institution should be counted? Joe and Kelly are considered neglected, and Shawn is considered delinquent. Sun.Mon.Tue.Wed.Thu.Fri.Sat. Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Joe Kelly Joe Kelly Joe Kelly Joe Kelly Joe Kelly Joe Kelly Joe Kelly Joe Kelly Joe Kelly Joe Kelly Joe Kelly Joe Child Count = 3

14 Local Education Agency—Subpart 2 Annual Count Quiz: Counting (cont. 2) How many students who reside in a facility that is designated as a neglect institution should be counted? Joe and Kelly are considered neglected, and Shawn is considered delinquent. Sun.Mon.Tue.Wed.Thu.Fri.Sat. Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Joe Shawn Joe Shawn Joe Shawn Joe Shawn Joe Shawn Joe Shawn Joe

15 Local Education Agency—Subpart 2 Annual Count Quiz: Counting (cont. 3) How many students who reside in a facility that is designated as a neglect institution should be counted? Joe and Kelly are considered neglected, and Shawn is considered delinquent. Sun.Mon.Tue.Wed.Thu.Fri.Sat. Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Shawn Joe Kelly Joe Shawn Joe Shawn Joe Shawn Joe Shawn Joe Shawn Joe Shawn Joe Child Count = 4

16 Local Education Agency—Subpart 2 Annual Count Quiz: Counting (cont. 4) How many students who reside in a facility that is designated as a neglect institution should an LEA count? Neglect Institution 1 Neglect Institution 2 Delinquent Institution 1 Delinquent Institution 2 10 students who are neglected 10 students who are delinquent 20 students who are neglected 40 students who are delinquent 10 students who are neglected 20 students who are delinquent

17 Local Education Agency—Subpart 2 Annual Count Quiz: Counting (cont. 5) How many students who reside in a facility that is designated as a neglect institution should an LEA count? Neglect Institution 1 Neglect Institution 2 Delinquent Institution 1 Delinquent Institution 2 10 students who are neglected 10 students who are delinquent 20 students who are neglected 40 students who are delinquent 10 students who are neglected 20 students who are delinquent Neglect Institution Child Count = 40

18 State Agency—Subpart 1: Annual Count Quiz (cont. 2) Which of the following are eligible for a SA count? A.Facilities that have an average length of stay of at least 30 days B.Students who are 21 years of age or younger C.Community day program D.Students who are enrolled in State-funded regular programs of instruction for at least 20 hours/week (in an adult facility) or 15 hours/week (in a juvenile facility or community day program)

19 State Agency — Subpart 1: Annual Count Quiz (cont. 3) Which of the following are eligible for a SA count? A.Facilities that have an average length of stay of at least 30 days B.Students who are 21 years of age or younger C.Community day program D.Students who are enrolled in State-funded regular programs of instruction for at least 20 hours/week (in an adult facility) or 15 hours/week (in a juvenile facility or community day program)

20 State Agency—Subpart 1: Annual Count Eligibility State Agency Eligibility SAs responsible for providing free public education to children and youth who are in N or D institutions, community day programs, or adult correctional institutions Facility Eligibility Facilities that serve neglected or delinquent children and youth Facilities that have an average length of stay of at least 30 days Student Eligibility Students who are 20 years of age or younger Students who are enrolled in State-funded regular programs of instruction for at least 15 hours/week (in an adult facility) or 20 hours/week (in a juvenile facility or community day program)

21 Local Education Agency — Subpart 2 Annual Count Quiz: Counting (cont. 6) Which of the following are ineligible for an LEA count? A.Private residential institution B.Students counted by an SA C.Students that attend a community day program D.Students with an average length of stay of less than 30 days

22 Local Education Agency — Subpart 2 Annual Count Quiz: Counting (cont.) Which of the following are ineligible for an LEA count? A.Private residential institution B.Students counted by an SA C.Students that attend a community day program D.Students with an average length of stay of less than 30 days

23 Local Education Agency—Subpart 2 Annual Count Eligibility LEA Eligibility LEAs with children and youth in locally operated correctional facilities, including public or private institutions and community day programs Facility Eligibility Locally operated facilities that meet the definition of an institution for children and youth who are neglected, an institution for children and youth who are delinquent, or an adult correctional institution Facilities need not have a 30 day average length of stay Eligibility Based on Count Window Children and youth who are residents of a live ‑ in institution or facility for at least 1 day within the 30 ‑ day count window (one day of which must be in October) Student Eligibility Students 5–17 years of age Students not counted in the SA/Subpart 1 Annual Count

24 Annual Count Processes: How Are State Agency and Local Education Agency Counts Different? SA Count In a program for youth who are N or D, including juvenile and adult correctional facilities and community day programs Enrolled in a State-funded “regular program of instruction”regular program of instruction Enrolled in a program that has an average length of stay of at least 30 days on day of count during the calendar year 20 years of age or younger LEA Count Living in local institutions for children and youth who are N or D or adult correctional institutions Living in the institution for at least 1 day during the 30 day count period 5–17 years of age

25 State Agency—Subpart 1 Program: Students Counted vs. Students Served Students Counted (Annual Count) In a program for youth who are N or D, including juvenile and adult correctional facilities and community day programs Enrolled in a State-funded “regular program of instruction” Enrolled in a program that has an average length of stay of at least 30 days on day of count during the calendar year 20 years of age or younger Students Served In a program for youth who are N or D, including juvenile and adult correctional facilities and community day programs Enrolled in a State-funded “regular program of instruction” Enrolled in a program that meets the length of stay requirements for the given program type (requirements vary) 21 years of age or younger

26 Local Education Agency—Subpart 2 Program: Students Counted vs. Students Served Students Counted (Annual Count) Living in local institutions for children and youth who are N or D or adult correctional institutions Living in the institution for at least 1 day during the 30 day count period 5 through 17 years of age Students Served Living in local institutions for children and youth who are delinquent or in adult correctional institutions; eligible for services under Title I, Parts A and C; or identified as “at risk” (e.g., migrants, immigrants, gang members, pregnant or parenting youth) 21 years of age or younger

27 Annual Count vs. the CSPR Students in the Annual Count Purpose: To determine formula counts for allocating funds Instructions differ per subpart A subset of “eligible” students enrolled during a specific time period within the calendar year Adjustments are made to calculations to estimate the student population (SA, Subpart 1) Multiple enrollments within a facility can be counted (LEA, Subpart 2) Students in the CSPR Unduplicated Count Purpose: To track student achievement Instructions do not differ per subpart Adult corrections = Subpart 1 At-risk programs = Subpart 2 ALL students that benefitted from Part D funding during the school year Unduplicated counts are not adjusted, so they are actual counts of the total population served Students are counted once per facility, regardless of multiple enrollments

28 Food for Thought What are you doing to control the quality of your State’s Annual Count?

29 Quality Control 1.Prepare for the count: –Understand the purpose of the count and its process –Plan for the process –Develop or update your materials (e.g., survey forms) 2.Provide training or technical assistance as appropriate: –Plan what training or technical assistance you will offer (e.g., training, phone calls, conference calls) –Revise training or technical assistance materials based on data/experience –Be prepared to address common issues (e.g., facility and student eligibility questions) 3.Verify and submit counts: –Review counts before submitting –Submit counts with additional information if necessary

30 Administering Funds Allocating Part D Dollars

31 Why Plan Your Funding? To be more effective: –Foster better outcomes for youth –Meet Federal, State, and local requirements –Meet program, agency, and facility goals and mandates –Ensure future Federal program funding To be more efficient: –Do more with less in times of financial struggle –Effectively administer Part D along with other responsibilities

32 Fund Allocation Steps 1.State plans 2.Application development a.Needs sensing b.Formal agreements 3.Application review a.“Use of funds” proposals 4.Fund allocation

33 Step 1: Know Your State Plan Read your State plan! It is… –The foundation of your Part D program –An agreement with the U.S. Department of Education Know when to change it, when these occur: –New understandings of Part D –Changes in populations and needs

34 Step 2: Use the Application as a Tool The Part D application is like an RFP. The application provides the chance to shape State and local programs through: –Meeting Federal requirements –Providing additional guidelines and regulations –Setting funding or serving priorities –Requiring specific details in program narratives and budgets to encourage more effective programming

35 Step 2a: Focus Applications on Needs Needs sensing and/or assessments: Can be conducted at the State, agency, and facility/program levels Can focus on a single interest area or a whole system or program Can be completed by: 1.Defining the purpose and scope 2.Establishing a planning team 3.Developing an agency/facility/program profile 4.Identifying desired data, availability, usability, and collection methods 5.Analyzing data, identifying needs, and setting priorities

36 What a Needs Assessment Tells You Educational offerings within facilities and programs Additional available services and supports Students’ demographics and their unique needs Academic and vocational outcomes Transitional or postrelease outcomes Professional development offerings and needs Relationships and their quality Where we are now? Where we need or want to be? How we can get there?

37 Step 2b: Create Meaningful Formal Agreements A formal agreement is: A contract between the funder and provider –Keeps expectations clear and creates lines of accountability for services Required for LEAs and facilities—a good idea for SAs and facilities.

38 Step 2b: Create Meaningful Formal Agreements (cont. 1) As the State Education Agency, consider specifying formal agreement components in the application instructions: How the grantee will use funds—meeting all requirements and the needs of students and staff What students will be served What staff (if any) will be funded and their qualifications What materials and equipment will be used and their costs Any potential for blended or braided funding What types of data will be collected and how often How data will be used for program improvement

39 Step 2b: Create Meaningful Formal Agreements (cont. 2) Formal agreements inform recipients about … Purpose of the funds Application requirements Award amount Period of agreement and reapplying timelines Use of fund requirements and restrictions Data collection and reporting requirements Monitoring expectations Consequences for not complying with agreement

40 Step 3: Review Applications Thoroughly Did I receive what I asked for? Does what I received make sense? –At the facility, agency, and State levels –How does one program affect the others? Is the application focused on improvement? –Does it take into account past outcomes? –Does it address current needs?

41 Step 3a: Evaluate “Use of Funds” Proposals Decide on allowable and appropriate uses –Use detailed decision rules –Prioritize “musts,” then work through to “shoulds” Remember Federal, State, and agency or program priorities and goals Be strategic Feel comfortable with the process and confident in your decisions

42 Step 4: Allocations and Technical Assistance Funding can be formulaic or competitive or discretionary. –Generating does not have to mean receiving. –Hybrid funding models can be used. The State Agencies and State and local education agencies are more than just “pass throughs.” These agencies: –Facilitate coordination and build relationships –Maintain ongoing knowledge of programs –Make course corrections along the way –Provide ongoing technical assistance to foster better monitoring outcomes.

43 Training and Technical Assistance

44 Strategies Application Fact sheets Discretionary or competitive subgrants Webinars eNewsletters Other?

45 Institutionwide Projects An SA can use Title I, Part D funds to help upgrade the entire education and transition efforts of its facility or program through an Institutionwide Project (IWP) The steps to implementing IWPs include: Conduct a comprehensive needs assessment Write a comprehensive IWP plan Implement the IWP according to plan

46 Institutionwide Projects (cont.) IWPs allow an SA to upgrade the entire education and transition efforts of its facility or program by enabling it to: Focus on adopting strategies that aim to improve the overall educational program of the facility, rather than providing add-on services for individual students Combine Title I, Part D, Subpart 1 funds with other State and Federal funds for education programs to support comprehensive approaches that meet the educational needs of all children and youth in N or D facilities Conduct a more targeted evaluation of a facility’s needs in terms of educating and supporting its students and staff Provide the opportunity for focused and sustained professional development for all facility staff Use Title I, Part D, Subpart 1 funds more flexibly

47 Planning and Funding Resources

48 Planning and Funding

49 Annual Count Web Page

50 Annual Count Web Page (cont.)

51 Application Development and Review Web Page

52 Institutionwide Projects Web Page

53 State Plans Web Page

54 Tips from Karl Koenig Understand the count process Know who is responsible for the Title I, Part A allocations in your state Know how your state is allocating funds (formula, discretionary, or a combination) Understand what’s a good formal agreement

55 Karl’s Template