Office of Accountability

Memo to the Field from Roberto Reyes, State Title I Director, School Improvement & Community Services-NYC


District Superintendents
Superintendents of Public Schools
Charter Schools Administrators

From: Roberto Reyes, State Title I Director
Date: April 14, 2010

In response to the USDE’s request for states to submit waiver requests to assist Local Education Agencies with the expenditure of funds made available through the American Recovery and Reinvestment Act (ARRA), the NYSED requested USDE approval of the following waivers:

B – Waive Prohibition as SES Provider
C – Allow LEAs to Offer SES
D – Exclude Title I ARRA
E – Exclude Title I ARRA Professional Development
F – Ex Title I ARRA 10 School Improvement
G – Exclude Title I Per Pupil Amount SES
H – Carryover Limitations

The waiver requests have been approved and are available for your review at:

Requests: (55 KB) (56 KB) (61 KB) (61 KB) (61 KB) (58 KB) (58 KB)

Approval Letter from USDE: (978 KB)

The following guidance provides information on the waiver approvals received and how you may apply for them: 

  1. Approving schools and LEAs identified for improvement, corrective action or restructuring as supplemental education services (SES) providers: A waiver of 34 C.F.R. sub-section 200.47(b) (1) (iv) (A) and (B) permits New York to approve a school or LEA identified for improvement, corrective action, or restructuring to serve as an SES provider for the 2009-10 school year.  NYSED is currently in consultation with USDE about extension of this waiver through the 2010-11 school year. All LEAs/schools in Improvement status requesting to implement this waiver in 2010-11 must complete an SES Application.  The Application and Instructions are available at: .

The application must describe how your  SES program will be evaluated for its effectiveness.

Any LEA/school approved as an SES provider must agree to allow equal access to its facilities to other SES providers that would normally serve your LEA. The LEA may charge a nominal fee to other SES providers for the use of the LEA’s facilities in order to deliver services to recipients.

  1. Offering SES in addition to public school choice in the first year of improvement and counting the costs of both toward an LEA’s 20 percent obligation:  Because of NY’s approved Differentiated Accountability plan, this waiver applies only to schools/LEAs that were designated as in need of improvement for both the 2008-09 and the 2009-10 years.     
  2. Calculation of “set-asides” for Title I, Part A funds:  The required percentage set-asides for LEAs/schools in improvement status apply ONLY to the regular Title I, Part A allocation.  Any set-asides in addition to those amounts can immediately be released; an FS-10-A amendment may be required (see amendment rules regarding threshold levels) for other allowable purposes.  Reminder:  for the first time this year, any leftover funds remaining from the 20 percent Choice/SES set-aside require NYSED approval before being released for other allowable purposes.  The approval process will be released shortly.
  3. Calculation of per-pupil amount for SES:  The table with these amounts for 2009-10 is posted on our web site at:
  4. Information Regarding Title I Carryover into 2010-11/Ability to grant LEAs a waiver of the carryover limitation.

SED advises LEAs receiving ARRA Title I funds to follow certain procedures to determine carryover from 2009-10 to 2010-11 and have full access to Title I funds in 2010-11.

Ordinarily, Title I allows for no more than 15 percent of an LEA's allocation to carryover into the next year.  Because the availability of 2009-10 Title I funds through ARRA was unanticipated and LEAs receiving ARRA Title I allocations may not have had sufficient time to plan activities that would expend 85 percent of the funds in 2009-10, the U.S. Department of Education is allowing states/SED to carry over 100 percent of those LEAs’ regular Title I allocations (project 0021-10) and ARRA allocations (project 5021-10) into 2010-11.  This applies to any LEA receiving ARRA Title I funds, even those that received waivers from the 15 carryover limit for 2007-08 or 2008-09.  Regular carryover rules and normal procedures for requesting a waiver of the carryover limit still apply to LEAs that did not receive an ARRA Title I allocation. 

To assist you in processing this waiver, SED recommends that those responsible for Title I programs in LEAs begin work now with their business office colleagues to estimate expenditures of regular and ARRA Title I funds in 2009-10, then compute potential carryover into 2010-11 so that they can begin to plan use of the remaining funds in 2010-11.  Carryover is calculated by subtracting the 2009-10 estimated expenditures from total funds available in 2009-10.  (Total funds available is the sum of carryover from 2008-09 plus the 2009-10 allocation and is available on each LEA’s Grants Finance allocation reports).  Please remember that the amount that can be carried over into 2010-11 can be no more than the equivalent of 100 percent of your LEA’s 2009-10 allocation.

Since potential carryover is only an estimate until 2009-10 regular and ARRA Title I grants are closed, we suggest that LEAs monitor expenditures and recalculate carryover periodically until final expenditure reports are reviewed in Grants Finance.  At some point during the 2010-11grant period, staff in SED’s Title I School & Community Services office or Regional School Services team may also be contacting LEAs with significant amounts of carryover to review the LEA’s carryover and waiver status and provide technical assistance.

LEAs may find themselves in one of three situations:

Situation A:  The LEA does not have a Title I ARRA allocation.  Section 1127(b) still applies to the regular Title I allocation and you must submit a waiver for the use of any carryover in excess of 15%;

Situation B:  The LEA has a Title I ARRA allocation and the total carryover for both projects (0021-10 and 5021-10) is less than the Title I ARRA allocation. The full carryover will automatically be available in 2010-11, up to 100 percent of the original ARRA allocation; and a waiver request is not required.

Situation C:  The LEA has a Title I ARRA allocation but the total carryover for both projects (0021-10 and 5021-10) exceeds the Title I ARRA allocation.  To retain  access to the full ARRA carryover,  a waiver request will be required.

This carryover limitation applies ONLY to an LEA’s Title I, Part A allocation.  If an LEA’s Part D allocation carryover is the reason for an excess to occur, that LEA should contact our office to insure that we have allowed for this exception.

Please note:  Any LEA that does not expend all of its budgeted 2009-10 ARRA funds will not be able to access those budgeted but unexpended funds in 2010-11 until the 2009-10 FS-10-F has been submitted and approved.  Be sure to get your FS-10-F in as soon as possible, especially if you have monies budgeted in 2009-10 that you did not expend.  The Title I ARRA funds must be obligated by 9/30/11, which is the closing date for the second Title I ARRA project period.

Should you have any additional questions or concerns please email to:

c: Ira Schwartz
Sandra Norfleet

Last Updated: September 3, 2010