Federal Programs Updates Business & Finance Symposium August 9, 2012 Presenter: Maricela Valdez...

Federal ProgramsUpdates

Business & Finance Symposium

August 9, 2012

Presenter: Maricela Valdez

Federal Programs Director

Purpose and Intent: StateCompensatory Education (SCE)

• The goal of the SCE program is to reduce any disparity in performance on (a) state assessments and in (b) rates of high school completion between students at risk of dropping out of school and all other district students.

• Expenses must directly impact students, and cannot be used for parent involvement expenses.

Purpose and Intent: Title I, Part A• Fund 211• To ensure that all children have a fair, equal, and significant

opportunity to obtain a high-quality education and reach, at a minimum, proficiency on challenging State academic achievement standards (TEKS) and state academic assessments (STAAR).

• Targeted Assistance – is eligible for Title I funding, but does not meet 40% threshold or chooses not to operate a schoolwide program [PIC 24]

• Schoolwide – 40% or more students meet the poverty threshold [PIC 30]

Purpose and Intent: Title II, Part A

• Fund 255• PIC 24• Teacher and Principal Training and Recruiting (TPTR) Fund

provides supplemental funding to improve student achievement. The funds are used to elevate teacher and principal quality through recruitment, hiring and retention strategies and to increase the number of highly qualified teachers in the classroom and highly qualified principals and assistant principals in schools. The program uses scientifically based professional development interventions and holds districts and schools accountable for improvements in student academic performance.

Purpose and Intent: Title III

• Fund 263• PIC 25• To ensure that English language learners (ELL) immigrant

students attain English language proficiency and meet the same challenging State academic content and student academic achievement standards as all children are expected to meet.

• The use of Title III funds must be supplemental to all other funds.

Understanding CodingFunds• 199 – Local (State Comp Ed)• 211 – Title I, Part A• 212 – Title I, Part C• 255 – Title II, Part A• 263 – Title III, Part A

Program Intent Codes (PIC)• 24 – Accelerated Instr. (e.g., Title I, Part C; Title II, Part A; SCE &

Title I – non-schoolwide• 25 – Bilingual Educ/Special Language (Title III)• 26 – SCE – Non-Disciplinary Alt. Education – Basic• 28 – SCE – Disciplinary Alt. Education – Basic• 29 – SCE – Disciplinary Alt. Education – Supplemental• 30 – SCE/Title I, Part A Schoolwide Programs

Understanding CodingOBJECTS• 61XXs – Payroll (e.g., salaries and extra-duty pay)• 62XXs – Contracted Services• 63XXs – Supplies and Materials• 64XXs – Other operating expenses (e.g., food, travel)• 66XXs – Capital Outlay

FUNCTIONS• 11 – Instruction• 13 – Teacher training and curriculum writing• 23 – School Leadership• 34 – Student Transportation (e.g., extended day bus)• 61 – Parental Involvement

Regulations: Auditor GuidanceAll funded strategies must be:

• Supported by analyzed data (needs assessment data, survey data) and

• Included in the Campus/District Improvement Plan (including the fund source and the allocated amount).

Regulations: Auditor Guidance

• If an expense is not in your comprehensive needs assessment, it cannot be in the campus/district improvement plan.

• If an expense is not in your campus/district improvement plan, it cannot be in your budget plan or application.

• If an expense is not budgeted for and included in your approved application, you cannot purchase the item or pay for the service.

Supplement/Supplant

Supplement/Supplant:• Supplement: add to; enhance; expand• Supplant: take the place of; replace

Supplemental funds cannot be used for:• Implementing the regular mandated foundation

program;• Implementing an activity required by state law, SBOE

rule, or local board policy.

Allowable/Unallowable

Unallowable uses of funds:1. Is not reasonable and necessary.

• Snacks for after-school tutoring when the district provides after-school snacks through the Child Nutrition Department.

• Replacing computer monitors (that work) with flat screen monitors.

Allowable/Unallowable

Unallowable uses of funds:2. Does not meet the purpose and intent of the fund source.

• Parent involvement activities cannot be funded with SCE funds.

• Parent involvement expenses not specifically related to increased student achievement and assessment should not be funded with Title I, Part A funds.

Allowable/UnallowableUnallowable uses of funds:3. Awards/banquet ceremonies (food, awards, etc.).4. Betterments to the building (e.g., mechanical overhead

screens).5. Entertainment6. Field trips for non-instructional purposes7. Fines, penalties (late fees)

Allowable/Unallowable

Unallowable uses of funds:8. Gifts or items that appear to be gifts (toys, balls, yo-yos)9. Logo imprinted items (pencils, erasers)10.Promotional Items (t-shirts, key chains)11. Door prizes12.Non-scientifically research-based programs, activities,

strategies

Allowable/Unallowable

Potentially questionable uses of funds:1. Items purchased in excess (duplicating paper, folders)

o (200 cases x 10 reams x 500 sheets = 1,000,000 sheets of paper)

2. Stock piling of items at the end of the year.o Purchase items in the fall, so they can benefit the

students during the current year.

Allowable/Unallowable

Potentially questionable uses of funds:3. Mobile computer labs, educational software, Elmos, Smartboards (rationale must be in the Campus Improvement Plan).

Allowable/Unallowable

Potentially questionable uses of funds:4. Snack trays for parent involvement meetings (must address student instruction/assessment, must maintain agenda/ sign-in sheets)5. Field trip (must provide lesson plan with clear evidence of link to instructional goal, supplementary nature of field trip must be listed in the Campus Improvement Plan

Allowable/Unallowable

Potentially questionable uses of funds:6. Sole Source Items (must maintain evidence that the item is research based, based on needs assessment, and must maintain evidence that you compared the item with similar products)7. Conferences (must address purpose and intent of the fund source, must be in the Campus Improvement Plan)

o If you didn’t have the fund source would you go anyway?o Must specifically address the purpose and intent of the

fund source.

Allowable/Unallowable• The further away the expense is from the classroom, the

more likely it will be questioned by the auditors.• Must maintain: sign-in sheets, agendas, minutes of

budget planning and stakeholder input.• Purchases must be aligned with the Campus

Improvement Plano How did the trip to the zoo improve achievement?o Why do you want to buy novels, when your math

scores are low and the reading scores are high?o How did buying computers in April help students pass

TAKS/STAAR in the spring?

Scientifically-Based ResearchA) means research that involves the application of rigorous,

systematic, and objective procedures to obtain reliable and valid knowledge relevant to education activities and programs; and

B) includes research that –i. employs systematic, empirical methods that draw on

observation or experiment;ii. involves rigorous data analyses that are adequate to test

the stated hypotheses and justify the general conclusions drawn;

iii. relies on measurements or observational methods that provide reliable and valid data across evaluators and observers, across multiple measurements and observations, and across studies by the same or different investigators;

Scientifically-Based ResearchB) includes research that –

iv. is evaluated using experimental or quasi-experimental designs in which individuals, entities, programs, or activities are assigned to different conditions and with appropriate controls to evaluate the effects of the condition of interest, with a preference for random-assignment experiments, or other designs to the extent that those designs contain within-condition or across-condition controls;

v. ensures that experimental studies are presented in sufficient detail and clarity to allow for replication or, at a minimum, offer the opportunity to build systematically on their findings; and

vi. has been accepted by a peer-reviewed journal or approved by a panel of independent experts through a comparably rigorous, objective, and scientific review.

Campus Improvement PlanCampus Improvement Plans:• Must describe how fund sources will be used (should

coordinate with the program budgets).• Must include complete thoughts/sentences.• Must contain measurable goals/objectives.• Expenditures must be in the Campus Improvement Plan,

BEFORE the purchases can be made.• Must include 10 required elements….

Campus Improvement Plan

Campus Improvement Plans (10 elements):1. Comprehensive needs assessment2. School-wide reform strategies to improve instruction for all

students3. Employ and retain highly qualified teachers4. High-quality, ongoing professional development for

teachers, administrators and paraprofessionals5. Describe how you recruit high-quality highly qualified

teachers at high-needs schools.6. Strategies to increase meaningful parent involvement that

lead to improved student achievement.

Campus Improvement PlanCampus Improvement Plans (10 elements):7. Transition from early childhood programs (e.g., Head Start).8. Include teachers in decisions regarding the use of academic assessments.9. Activities to provide effective, timely additional assistance to ensure students’ difficulties, are identified and addressed in a timely basis.10. Coordination and integration of fund sources (address how fund sources will support the schoolwide effort; document in CNA & SBDM team planning minutes)

STEP 2: Evaluate Current Programs

• Review evaluative data for current year programs.o Were programs effective?o Were reasonable gains achieved based on the

cost? (Costs must be reasonable and necessary.)• Identify which programs will be continued and which

will be eliminated.

STEP 3: Prioritize Needs• Grade level teams or departments examine needs

assessment data and submit their needs to the budget planning team. Keep on File: Needs Assessment documentation (raw data and analyzed data)

• Budget planning team aggregates data and shares prioritized needs with the whole school. Keep on File: agenda and sign-in sheets for each budget planning session

• Teams begin investigation of activities/programs to address prioritized needs.

Needs Assessment

• Use the needs assessment data checklist to capture data to be analyzed. (See handout)• Data include: student achievement, discipline, dropout,

language, ethnicity, mobility, survey data, teacher certification/degrees, instructional dollars, special funding, technology available, class-size, parent participation, resources for training, poverty level, professional development, school governance/succession planning, etc.

• http://portal.esc20.net/portal/page/portal/NCLB/CNA/NCLB_CNA_Manual.pdf

STEP 4: Goals and Objectives

• Review goals and objectives• Align identified needs with goals and fund sources

STEP 5: Research New Activities

• Review suggested activities/programs to meet identified needs.• Speak with peers from schools/districts that are

performing well.• Speak with vendors to see what they have to offer that

match your needs (request demo, compare products, get feedback from end-users)

• Funded activities must be scientifically research based.

STEP 6: Select and Fund

Activities• Identify which activities will be funded to meet the

identified needs.• Input the activities/programs/staff in your budget plan.

• Committee signs off on the budget plan.• Input the activities/programs in the Campus Improvement

Plan (include the fund source and allocation).• Share plan with staff.

• Keep on file: Agenda, Minutes and Sign-In sheet

STEP 7: Monitor & Adjust• Monitor progress and adjust budget and Campus

Improvement Plan during the year.• When you amend your budgets, amend your CIPs/DIP.• Involve staff in budget plan adjustments.

Policies & Procedures

Policies & Procedures:Why do you have them?

o Best Practiceo Helps document what you doo Protects the district and youo Keeps things going even if there is a change in

leadershipo Auditors will ask for them

ReviewMay SCE funds (the 55%) be used to fund or supplement the following?

o Banquets, ceremonies, celebrations, door prizes, proms, pep rallies or food?o Drug dogs, drug testing, drug treatment, red ribbons, PA systems, security mirrors,

cameras, or defibrillators?o Furniture, door mats, murals, banners, display cases, clinic/nurse supplies, rock

climbing walls, bike racks, or custom or outdoor signs?o Laminating machines, library equipment, library supplies or yearly campus library

budget?o Entertainment, recreation, social events or proms?o Gifts, promotional items, memorabilia, or souvenirs (such as T-shirts, caps, tote bags,

key chains, imprinted pens)?o Athletics, PE teachers, PE aides, PE or gym equipment, sport uniforms or

megaphones?o “Supplemental” positions or duties not associated to intensive instruction of the

foundation curriculum?o Student handbooks, year books, school newspaper or campus marquee?o Trips to amusement parks, swimming pools or theater?o UIL, music, cheerleading or athletic events?o Day Care? School Nurses or supplies for the clinic? Additional counselors or

principals?No. The services must be part of delivery of academic instructional supplemental to the regular program and be reflected in the comprehensive needs assessment. In contrast, programs such as after school tutoring for students at risk of dropping out of school would qualify. NOTE: all costs MUST be reasonable and necessary.

ReviewUnallowable Costs?

o Field Trips – dependso Professional development – dependso Flat screens for all principals &

administratorso Smart boards – dependso Door prizeso Animals, feeding of or breeding of drug

dogso Duplicating papero Filing Cabinets, Furnitureo Audio visual equipment for school

board roomo School marqueeo Electrical rewiring of buildingo Athletic expenseso Mealso Trophies and plaqueso All State Choir or Band costs

o Prom Dresses, Prom “lock-ins”o Hall Passes, Student IDso Washers and Dryerso Break room furniture and equipmento Walkie Talkieso Monitoring the district’s attendance rateo Trophies/plaques used for “student of

the month”, A/B honor roll, “A” honor roll and all end of year events

o Water coolers, Ice Machineso Indoor/Outdoor Painto Moonwalks, Clowns, Parade Floatso Defibrillators, Drug Testing or Treatmento Lawn equipment, landscapingo Allowance of personnel’s children in

LEA’s PK programso Roller skates, skateboards, bicycles

How can the following expenditures be used to help at-risk students pass the state assessment? Does the LEA maintain documentation?

ReviewUnallowable Costs?

o Special dietary expenses for special education studentso Floral arrangementso Staff development for administrative staff’s certification

requirementso Costs associated to “Play Off” gameso Cultural Eventso Fish Fry for Communityo Clothing voucherso Coffee and pastries for teacher’s loungeo Religious Event-speakerso Updating Local Policy and Attendance Codeo Maintenance of computer hardware for the district o Laminating machineso Costs for Pare Involvement Conferences and/or meals o Custodial uniforms

ReviewUnallowable Costs

Expense is not considered reasonable.

ReviewUnallowable Costs

Approved Travel Request was for May 15, 16 & 17. Receipt is dated May 14, 2012, prior to approved date and is not reimbursable.

ReviewUnallowable Costs

Both items are not considered meals… therefore, not reimbursable.

ReviewUnallowable Costs

Reasonable: Minimal in cost

Not considered minimal in cost

ReviewUnallowable Costs

Items are not considered reimbursable.