Title III Fiscal and Program Guidance

1. Accountability Leadership Institute for English Learner and Immigrant Students December 6–7, 2010 Burlingame, California Carlos Rivera, Education Administrator I: crivera@cde.ca.gov Erin Koepke, Education Programs Consultant: ekoepke@cde.ca.gov Title III Fiscal and Program Guidance

2. Purpose To provide guidance to Title III directors and fiscal personnel who manage Title III programs and funding

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

4. Budgetary Oversight

5. Identification of Expenditure Patterns • Consolidated Application (ConApp) I • Proposed Expenditure Report • ConApp II • Actual Expenditure Report • End of Year (EOY) Expenditure Report

6. Cash Management • 80 percent cash management threshold • ConApp I • ConApp II • EOY Expenditure Report • Payment model: 40/40/20

7. Reallocation Process

8. Reallocation of Funds Purposes: • ESEA, Title III, Part A, federal review • Identify, reallocate, and distribute excess Title III funds beginning in 2010–11

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)

10. Sustainability and Capacity Building • LEAs meeting all Annual Measurable Achievement Objectives (AMAOs) for English learner (EL) population • Facilitate sustainability • Build capacity

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

12. 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 ekoepke@cde.ca.gov

13. Funding for Translation of Documents

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

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

16. Online Resources and Contacts • 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 at 916-445-6109 or by e-mail at cmd@cde.ca.gov • Language Policy and Leadership Office (Title III): Carlos Rivera, Education Administrator I, by phone at 916-319-0247 or by e-mail at crivera@cde.ca.gov

17. Supplement, not Supplant

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.

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

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 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

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.

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

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

24. How Can Title III Funds be Used Without Violating the Supplement, not Supplant Requirement?Questions to Ask: • Is the proposed cost allowable under Title III, Part A program rules (ESEA, Sections 3001–3304)? • Is the proposed cost consistent with Title III, Part A fiscal rules (Supplement, not Supplant)? • What are the instructional program/services provided to all students? • What services is the LEA required by other Federal, State, and local laws or regulations to provide? • Was the program/service previously provided with State, local, or Federal funds?

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?

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

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.

28. Online Resources and Contacts • 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 crivera@cde.ca.gov

29. Title III Overview

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)

31. Title III, Part A Legal References Purposes of Sub-grants-LEP/ImmigrantESEA Section 3115(a)Title III Required Activities-LEPESEA Sections 3115(c)(1) and (2)Title III Authorized Activities-LEPESEA Sections 3115(d)(1) through (8)Immigrant ActivitiesESEA Sections 3115(e)(1) and (2)

32. Determining Eligibility

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

34. Eligibility DeterminationLimited English Proficient Student Sub-grant Program

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.

36. Eligibility DeterminationImmigrant 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 athttp://www.cde.ca.gov/sp/el/t3/snoronline08.asp

37. Eligibility DeterminationImmigrant 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

38. Eligibility DeterminationImmigrant Education Student Sub-grant Funding Program

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 • Submit SNOR to CDE between March 1 and March 31, 2011 • Non-submission of zero immigrant student count may affect funding for up to three years • Private school non-submission and effects on LEAs

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.

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

42. Online Resources and Contacts • 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 calpads@cde.ca.gov

43. Application Process

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 onCDE’s Request for Applications Web page at http://www.cde.ca.gov/fg/fo/r22/imm10rfa.asp • LEP: Less than $10,000 • Immigrant: Less than $5,000

45. The Application Process: Consortia Memorandum of Understanding (MOU) • One for the entire consortium • Lead LEA facilitates development of MOU with its members • Completed by October of each funding year • The 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

46. The Application Process: Consortia Lead LEA acts as fiscal and program agent • For entire 27 month period per award year • Expenditure reports • Cash management requirements (80 percent threshold) • MOU must be adhered to • Both LEP and immigrant rules for forming consortia are the same

47. 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

48. Expenditure Reporting

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

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.