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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 2014Report 2013 Annual Count of students to ED

July 2014

Receive FY 2014 funding and make awards for SY 2014-15

January 2015

Report on students served in SY 2013-14

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

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Annual Count Refresher

POP QUIZ!!!!!

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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 1 July 1 Aug. 1 Sept. 1

Facility 1 200 200 150 200

Facility 2 100 125 150 200

U.S. Department of Corrections

June 15 July 15 Aug. 15 Sept. 15

Facility 1 750 635 700 650

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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 1 July 1 Aug. 1 Sept. 1

Facility 1 200 200 150 200

Facility 2 100 125 150 200

U.S. Department of CorrectionsJune 15 July 15 Aug. 15 Sept. 15

Facility 1 750 635 700 650

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Local Education Agency—Subpart 2 Annual Count Quiz: Count Window

Which of the following date ranges are acceptablefor 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

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Local Education Agency—Subpart 2 Annual Count Quiz: Count Window

Which of the following date ranges are acceptablefor 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.

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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

S M T W T F S1

2 3 4 5 6 7 8

9 10 11 12 13 14 15

16 17 18 19 20 21 22

23 24 25 26 27 28 29

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October

S M T W T F S

1 2 3 4 5 6

7 8 9 10 11 12 13

14 15 16 17 18 19 20

21 22 23 24 25 26 27

28 29 30 31

November

S M T W T F S

1 2 3

4 5 6 7 8 9 10

11 12 13 14 15 16 17

18 19 20 21 22 23 24

25 26 27 28 29 30

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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.

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKelly

JoeKelly

JoeKelly

JoeKelly

JoeKelly

JoeKelly

JoeKelly

JoeKelly

JoeKelly

JoeKelly

JoeKelly

JoeKelly

Joe Joe Joe Joe Joe Joe Joe

Joe Joe

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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.

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKelly

JoeKelly

JoeKelly

JoeKelly

JoeKelly

JoeKelly

JoeKelly

JoeKelly

JoeKelly

JoeKelly

JoeKelly

JoeKelly

Joe Joe Joe Joe Joe Joe Joe

Joe Joe Child Count = 3

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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.

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKelly

Joe Joe Joe Joe Joe Joe

JoeShawn

JoeShawn

JoeShawn

JoeShawn

JoeShawn

JoeShawn

Joe

Joe Joe

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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.

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKellyShawn

JoeKelly

Joe Joe Joe Joe Joe Joe

JoeShawn

JoeShawn

JoeShawn

JoeShawn

JoeShawn

JoeShawn

Joe

Joe Joe

Child Count = 4

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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

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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

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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)

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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)

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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)

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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

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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

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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

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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”

• 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

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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

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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

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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

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Food for Thought

What are you doing to control the

quality of your State’s Annual Count?

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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

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Administering Funds

Allocating Part D Dollars

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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

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Fund Allocation Steps

1. State plans

2. Application developmenta. Needs sensing

b. Formal agreements

3. Application reviewa. “Use of funds” proposals

4. Fund allocation

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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

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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

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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

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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?

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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.

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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

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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

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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?

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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

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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.

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Training and Technical Assistance

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Strategies

• Application • Fact sheets• Discretionary or competitive subgrants• Webinars• eNewsletters• Other?

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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

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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

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Planning and Funding Resources

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Planning and Funding

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Annual Count Web Page

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Annual Count Web Page (cont.)

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Application Development and Review Web Page

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Institutionwide Projects Web Page

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State Plans Web Page

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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

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Karl’s Template