CALIFORNIA DEPARTMENT OF EDUCATION Jack 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: Erin Koepke, Education Programs Consultant:

JACK O’CONNELL State Superintendent of Public Instruction 2 Purpose To provide guidance to Title III directors and fiscal personnel who manage Title III programs and funding

JACK O’CONNELL State Superintendent of Public Instruction 3 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

CALIFORNIA DEPARTMENT OF EDUCATION Jack O’Connell, State Superintendent of Public Instruction Budgetary Oversight

JACK O’CONNELL State Superintendent of Public Instruction 5 Identification of Expenditure Patterns Consolidated Application (ConApp) I –Proposed Expenditure Report ConApp II –Actual Expenditure Report End of Year (EOY) Expenditure Report

JACK O’CONNELL State Superintendent of Public Instruction 6 Cash Management 80 percent cash management threshold –ConApp I –ConApp II –EOY Expenditure Report Payment model: 40/40/20

CALIFORNIA DEPARTMENT OF EDUCATION Jack O’Connell, State Superintendent of Public Instruction Reallocation Process

JACK O’CONNELL State Superintendent of Public Instruction 8 Reallocation of Funds Purposes: ESEA, Title III, Part A, federal review Identify, reallocate, and distribute excess Title III funds beginning in 2010–11

JACK O’CONNELL State Superintendent of Public Instruction 9 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)

JACK O’CONNELL State Superintendent of Public Instruction 10 Sustainability and Capacity Building LEAs meeting all Annual Measurable Achievement Objectives (AMAOs) for English learner (EL) population Facilitate sustainability Build capacity

JACK O’CONNELL State Superintendent of Public Instruction 11 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, but must be expended within same budget period as original award

JACK O’CONNELL State Superintendent of Public Instruction 12 Online Resources and Contacts CDE Title III FAQs Web page at U.S. Department of Education ESEA, Section 3114(c) Web page at 41.html#sec html#sec3114 Language Policy and Leadership Office (Title III): Erin Koepke, Education Programs Consultant, by phone at or by at

CALIFORNIA DEPARTMENT OF EDUCATION Jack O’Connell, State Superintendent of Public Instruction Funding for Translation of Documents

JACK O’CONNELL State Superintendent of Public Instruction 14 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

JACK O’CONNELL State Superintendent of Public Instruction 15 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

JACK O’CONNELL State Superintendent of Public Instruction 16 Online Resources and Contacts U.S. Department of Education Web page titled Supplement not Supplant Provision of Title III of the ESEA at U.S. Department of Education, ESEA, Section 1111(h)(6)(c) and 1112(g)(2) Web page at CDE Web page titled Clearinghouse for Multilingual Documents (CMD) at Specialized Media and Translations Unit: Rod Atkinson, Education Programs Consultant, by phone at or by at Language Policy and Leadership Office (Title III): Carlos Rivera, Education Administrator I, by phone at or by at

CALIFORNIA DEPARTMENT OF EDUCATION Jack O’Connell, State Superintendent of Public Instruction Supplement, not Supplant

JACK O’CONNELL State Superintendent of Public Instruction 18 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.

JACK O’CONNELL State Superintendent of Public Instruction 19 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

JACK O’CONNELL State Superintendent of Public Instruction 20 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 –ED’s Supplement Not Supplant Provision of Title III of the ESEA Web page at 2.pdf 2.pdf –ED’s Part II: Final Non-Regulatory Guidance on the Title III State Formula Grant Program-Standards, Assessments and Accountability found at c c

JACK O’CONNELL State Superintendent of Public Instruction 21 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.

JACK O’CONNELL State Superintendent of Public Instruction 22 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

JACK O’CONNELL State Superintendent of Public Instruction 23 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

JACK O’CONNELL State Superintendent of Public Instruction 24 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?

JACK O’CONNELL State Superintendent of Public Instruction 25 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?

JACK O’CONNELL State Superintendent of Public Instruction 26 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

JACK O’CONNELL State Superintendent of Public Instruction 27 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.

JACK O’CONNELL State Superintendent of Public Instruction 28 Online Resources and Contacts U.S. Department of Education Elementary and Secondary Education Web page at U.S. Department of Education English Language Acquisition State Grants Web page at U.S. Department of Education Supplement, not Supplant Provision of Title III of the ESEA at Language Policy and Leadership Office (Title III): Carlos Rivera, Education Administrator I, by phone at or by at

CALIFORNIA DEPARTMENT OF EDUCATION Jack O’Connell, State Superintendent of Public Instruction Title III Overview

JACK O’CONNELL State Superintendent of Public Instruction 30 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)

JACK O’CONNELL State Superintendent of Public Instruction 31 Title III, Part A Legal References Purposes of Sub-grants- LEP/Immigrant ESEA Section 3115(a) Title III Required Activities-LEP ESEA Sections 3115(c)(1) and (2) Title III Authorized Activities-LEP ESEA Sections 3115(d)(1) through (8) Immigrant Activities ESEA Sections 3115(e)(1) and (2)

CALIFORNIA DEPARTMENT OF EDUCATION Jack O’Connell, State Superintendent of Public Instruction Determining Eligibility

JACK O’CONNELL State Superintendent of Public Instruction 33 Eligibility Determination Limited English Proficient Student 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: ConApp (Direct Funded) if LEA generates $10,000 or more based on per pupil amountConApp (Direct Funded) if LEA generates $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

JACK O’CONNELL State Superintendent of Public Instruction 34 Eligibility Determination Limited English Proficient Student Sub-grant Program LEA EL Students Estimated Grant is $ per student Application Status A 49$4,655.00C B ,935.00DF C C D 2, ,445.00DF E ,075.00DF

JACK O’CONNELL State Superintendent of Public Instruction 35 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.

JACK O’CONNELL State Superintendent of Public Instruction 36 Eligibility Determination Immigrant Education Student Sub-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

JACK O’CONNELL State Superintendent of Public Instruction 37 Eligibility Determination Immigrant Education Student Sub-grant Funding Program 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

JACK O’CONNELL State Superintendent of Public Instruction 38 Eligibility Determination Immigrant Education Student Sub-grant Funding Program LEA Prior Funded Elig Start Yr Current Funded Elig Start Yr 2006 / /08 Avg / LEA Priv Sch Total Diff. % Change Est Grant Status A %N/A BNE %$6,941DF C %$50,098DF DNE N/A E %$2,414C F %$47,282DF G %N/A

JACK O’CONNELL State Superintendent of Public Instruction 39 Student National Origin Report Private Schools Fall Census Day: October 6, 2010 Spring Census Day: March 1, 2011 Private school SNOR submission instructions letter: –February, 2010 o CDE between March 1 andSubmit SNOR to CDE between March 1 and March 31, 2011 Non-submission of zero immigrant student count may affect funding for up to three yearsNon-submission of zero immigrant student count may affect funding for up to three years Private school non-submission and effects on LEAsPrivate school non-submission and effects on LEAs

JACK O’CONNELL State Superintendent of Public Instruction 40 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.

JACK O’CONNELL State Superintendent of Public Instruction 41 Immigrant Student Definition As of July 1, 2009, the definition of immigrant students has been updated Section 3301(1) and (6) of the ESEA define immigrant children and youth as individuals who: 1) Are aged 3 through 21 2) 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

JACK O’CONNELL State Superintendent of Public Instruction 42 Online Resources and Contacts CDE’s Request for Applications Title III-LEP Student Sub- grant Program Web page at CDE’s Request for Applications Title III Immigrant Education Student Sub-grant Program Web page at CDE’s CALPADS Web page at CALPADS Operations Office by phone at or by at

CALIFORNIA DEPARTMENT OF EDUCATION Jack O’Connell, State Superintendent of Public Instruction Application Process

JACK O’CONNELL State Superintendent of Public Instruction 44 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 for Applications Web page at LEP: Less than $10,000 Immigrant: Less than $5,000

JACK O’CONNELL State Superintendent of Public Instruction 45 Consortia The Application Process: Consortia Memorandum of Understanding (MOU) One for the entire consortiumOne for the entire consortium Lead LEA facilitates development of MOU with its membersLead LEA facilitates development of MOU with its members Completed by October of each funding yearCompleted by October of each funding year The lead LEA controls the funds; this is not a pass-through grantThe lead LEA controls the funds; this is not a pass-through grant °The member LEAs do not have spending authority °Members receive program, products, and/or services from the lead LEA

JACK O’CONNELL State Superintendent of Public Instruction 46 Consortia The Application Process: Consortia Lead LEA acts as fiscal and program agent For entire 27 month period per award yearFor entire 27 month period per award year °Expenditure reports °Cash management requirements (80 percent threshold) (80 percent threshold) MOU must be adhered toMOU must be adhered to Both LEP and immigrant rules for forming consortia are the sameBoth LEP and immigrant rules for forming consortia are the same

JACK O’CONNELL State Superintendent of Public Instruction 47 Overall Funding Cycle Award is for 15 months For Fiscal Year (FY) 2010–11: July 1, 2010 through September 30, 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

CALIFORNIA DEPARTMENT OF EDUCATION Jack O’Connell, State Superintendent of Public Instruction Expenditure Reporting

JACK O’CONNELL State Superintendent of Public Instruction 49 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: Immigrant:

JACK O’CONNELL State Superintendent of Public Instruction 50 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.

JACK O’CONNELL State Superintendent of Public Instruction 51 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 (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.

JACK O’CONNELL State Superintendent of Public Instruction 52 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.

JACK O’CONNELL State Superintendent of Public Instruction 53 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 The new grant plus carryover can be used to calculate the two percent set aside for administration.

JACK O’CONNELL State Superintendent of Public Instruction 54 Limited English Proficient Student Sub-grant Program Contacts Fiscal Questions: Please contact Patty Stevens, Associate Government Program Analyst, by phone at or by at Programmatic questions:Please contact Michele Anberg-Espinosa, Bilingual/Migrant Education Programs Consultant at or by at

JACK O’CONNELL State Superintendent of Public Instruction 55 Immigrant Education Student Sub-grant Program Contacts Fiscal Questions: Please contact Clifton Davis, Jr., Associate Government Program Analyst, at or by at Programmatic Questions: Please contact Erin Koepke, Education Programs Consultant at or by at

CALIFORNIA DEPARTMENT OF EDUCATION Jack O’Connell, State Superintendent of Public Instruction Title III Accountability

JACK O’CONNELL State Superintendent of Public Instruction 57 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

JACK O’CONNELL State Superintendent of Public Instruction 58 Consequences of not Meeting Annual Measurable Achievement Objectives If 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.

JACK O’CONNELL State Superintendent of Public Instruction 59 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 Title III Accountability Report released September 2010

JACK O’CONNELL State Superintendent of Public Instruction 60 Title III Year 4 LEAs in Improvement Status Pursuant to requirements of the ESEA, Section 3122 (b)(4), and approved 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

JACK O’CONNELL State Superintendent of Public Instruction 61 Title I, II, and III Coordinated Technical 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 requirements.htmhttp:// requirements.htm (Outside Source) The CDE and the County Office of Education (COE) Regional Leads, in partnership with the CACC at WestEd.

JACK O’CONNELL State Superintendent of Public Instruction 62 Online Resources and Contacts Title III Accountability Requirements Web page at Language Policy and Leadership Office (Title III): Lilia G. Sánchez, Education Programs Consultant, by phone at or by at