1. 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:

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

3. Objectives of the Session
Title III Fiscal and Program Guidance
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
Title III Fiscal and Program Guidance
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
U.S. Department of Education ESEA, Section 3114(c) Web page at
Language Policy and Leadership Office (Title III):
Erin Koepke, Education Programs Consultant, by phone at or by at

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
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

17. Supplement, not Supplant

18. Supplement, not Supplant
Title III Fiscal and Program Guidance
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
ED’s Supplement Not Supplant Provision of Title III of the ESEA Web page at
ED’s Part II: Final Non-Regulatory Guidance on the Title III State Formula Grant Program-Standards, Assessments and Accountability found at

21. Title III Supplement, not Supplant Requirement
Title III Fiscal and Program Guidance
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”
Title III Fiscal and Program Guidance
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”
Title III Fiscal and Program Guidance
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. Title III Fiscal and Program Guidance
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)
Title III Fiscal and Program Guidance
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
Title III Fiscal and Program Guidance
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

29. Title III Overview

30. Title III Fiscal and Program Guidance
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
Title III Fiscal and Program Guidance
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)

32. Determining Eligibility

33. Title III Fiscal and Program Guidance
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. Estimated Grant is $102.60 per student
Title III Fiscal and Program Guidance
Eligibility Determination Limited English Proficient Student Sub-grant Program
LEA
EL Students
Estimated Grant is $ per student
Application Status A 49
$4,655.00 C B
473
44,935.00 DF 3
285.00 D
2,331
221,445.00 E
685
65,075.00

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. Title III Fiscal and Program Guidance
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

37. Title III Fiscal and Program Guidance
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

38. Prior Funded Elig Start Yr Current Funded Elig Start Yr
Title III Fiscal and Program Guidance
Eligibility Determination Immigrant Education Student Sub-grant Funding Program
LEA
Prior Funded Elig Start Yr
Current Funded Elig Start Yr
2006/07
2007/08
Avg /07-08
08-09 LEA
08-09 Priv Sch
08-09 Total
Diff.
% Change
Est Grant
Status A
2007 16 13 14 6 -8
-57%
N/A B NE
2010 59 74 66 57 12 69 3 5%
$6,941 DF C
2008
513
598
556
445 53
498
-58
-10%
$50,098 D E 18 21 20 24 4
20%
$2,414 F
2006
428
403
416
470 54
13%
$47,282 G
2005
199
158
143
129 5
134 -9
-6%

39. Student National Origin Report Private Schools
Title III Fiscal and Program Guidance
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
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

43. Application Process

44. The Application Process
Title III Fiscal and Program Guidance
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

45. The Application Process: Consortia
Title III Fiscal and Program Guidance
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
Title III Fiscal and Program Guidance
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
Title III Fiscal and Program Guidance
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
Title III Fiscal and Program Guidance
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:

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.

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.

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.

53. Expenditure Reporting: Administrative and Indirect Charges
Title III Fiscal and Program Guidance
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.

54. Limited English Proficient Student Sub-grant Program Contacts
Title III Fiscal and Program Guidance
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

55. Immigrant Education Student Sub-grant Program Contacts
Title III Fiscal and Program Guidance
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

56. Title III Accountability

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

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.

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

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

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

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