Office of Accountability

Q & A from 2012-13 Consolidated Application and Use of Set-Asides Webinar



Q-1:    When will the next webinar take place?
A-1:    The webinar schedule for the Office of Accountability is available at:  

Q-2:    Where will this webinar be posted?

Q-3:    Can you send us the link where this presentation is located?


Q-4:    How is the Title I allocation determined?
A-4:    Allocations for Title I, Parts A and D, are based on child count data used by the U.S. Department of Education to apportion Title I monies between states, then amongst local educational agencies.  The child count dataset used for the 2012-2013 Title I allocations is composed of the number of children ages 5-17 in poverty (U.S. Census, updated annually); the number of children residing in institutions for the neglected (State Education Department annual survey); the number of children in foster care (NYS Office of Temporary and Disability Assistance); and the number of children receiving Temporary Assistance for Needy Families (NYS Office of Temporary and Disability Assistance). If you have questions or need additional information, please contact the Title I office at CONAPPTA@MAIL.NYSED.GOV or call (518) 473-0295. 

Q-5:    Why did my Title I allocation go down when my poverty rate went up? Is there a way for me to get it adjusted?
A-5:    An LEA’s Title I allocation depends on several factors. The main driver is the Bureau of the Census’ Poverty Count, available on our web site. Make sure you are looking at the Census numbers when doing your comparisons. None of the data used to determine the Title I allocations comes from or is under the control of the LEA. Another factor is the size of the overall State allocation; in the past few years, NYS has seen a decline of over $100M. So, even if your poverty data has increased, you could theoretically see a decrease in your Title I allocation.

Q-6:    Will current preliminary Title I allocations posted on the SED website be updated for the districts that have had a significant Child Count Poverty % increase?
A-6:    Yes, they will be updated.  In fact, a recent update was just posted to the Title I-A allocation SED website.  All allocations posted are preliminary until we post a Final Allocations list.  Final allocations are usually posted in January or February.

Q-7:    When will Title III allocations be released?
A-7:    The Title III allocations are posted at:

Q-8:    Could you review the Homeless set-aside and how to determine the “portion?”
A-8:    A link for determining the Homeless set-aside: 

Q-9:    If you have a Title I-D school with an allocation provided in your district, do you have to calculate a Per Pupil amount from Title I-A for them also, or do they not receive equitable PPA's from Title I-A?
A-9:    Delinquent facilities (i.e. correctional facilities) that receive Title I-D funds do not receive Title I-A funds.  However, students that are housed in Delinquent facilities are eligible to receive Title I-A-funded services from their LEA of residence.

Q-10:  If a facility for neglected students is not eligible to receive funds, do they have to complete the participation of facilities form?
A-10:  The Neglected or Delinquent Facility Form is not required if the facility has no eligible students, but district must verify that the neglected facility is not eligible for funds.  They should obtain a written statement from the facility that there are no eligible students at the facility and include that confirmation with the Consolidated Application submission.

Q-11:  If a juvenile detention center does not utilize all of the Title I-D money, what becomes of the balance of the funds?
A-11:  There is no carryover limitation for Title I-D.  100% of Title I, Part D funds, that are not utilized, can be carried over into the next year’s budget for the facility to use.  However, under section 421(b) of the General Education Provisions Act (GEPA), the LEA must obligate all funds made available in a given fiscal year within 27 months. 

Q-12:  If we have remaining allocated funds from the 20% set-aside SES in 2011-12, but now have the choice to not have SES for 2012-13, do we need to complete a waiver for the 20% set aside unused funds from 2011-12? Or will those unused funds automatically rollover and be able to be spent on other allowable Title I activities?
A-12:  No waiver is required for unused SES funds; however, districts must complete all the required activities and document those activities as outlined in the July 2011 SES waiver memo.  They must keep the documentation on file for future monitoring by SED.   Districts are then free to expend the remaining funds on other allowable Title I expenses for the remainder of the 2011-12 school year (ending August 31, 2012).  They may also roll over those unexpended funds to 2012-13 for allowable Title I purposes. Excess funds used for required activities in Priority and/or Focus schools do not have to be shared with local private schools.  Title I funds not tied directly to such activities revert back to the “general pot” of Title I-A funds, and they must be shared equitably with local private schools.  

Q-13:  You said that we do not need to apply for a waiver if we have not spent all of our SES funds, but is this also true if by not spending this full amount we are over the 15% carryover limit for our Title I as a whole?
A-13: No, if your carryover exceeds 15% of your Title I-A allocation, you will need to request a carryover waiver (different from the SES waiver) or the excess carryover will be lost.  To request a Title I carryover waiver, send a letter to:  Roberto Reyes, Title I Director, Title I School & Community Services Office, Room 365 EBA, 89 Washington Avenue, Albany, New York 12234. 

Q-14: So set-asides are not based solely on Title I allocations but will now be based on Titles I, II & III added together?
A-14: No. Title I set-asides for Parental Involvement and Homeless Reserves have not changed.  These are based solely on Title I-A allocations and must be included in the Title I budget.  The set-asides for Highly Qualified Teachers and District Improvement PD have been eliminated.  For Focus LEAs the set asides for Choice and SES have been replaced with an Improvement set-aside of 5-15% based on their Title I-A and II-A allocations, and Title III if identified for LEP/ELL performance.  All Focus LEAs were informed about the required set-asides by the Office of Accountability.  Focus LEAs must also set-aside 1% of their Title I-A funds for Parent Engagement activities. 

Q-15:  What percentage of Title II-A is transferable into Title I?
A-15:  The use (no funds are actually transferred) of up to 100% of Title II-A may be “transferred” for Title I-A purposes with the exception of any LEA that has one or more private schools in its geographic region.  A minimum amount of Title II-A funds must be equitably shared with private schools through the calculation of the hold harmless amount.  After the hold harmless in Title II-A is reserved, the remainder may be transferred for the purposes of Title I-A.

Q-16:  Is the transferability of Title II-A funds the sole decision of the LEA?
A-16: If the required needs assessment indicates that this is the best use of Title II-A funds, the LEA may decide to use the transferability option.  NOTE: once transferred, the equitable portion available to private schools follows the rules of Title I-A.  

Q-17:  We currently transfer funds out of Title II-A into Title I. Would those transfer funds be included in the calculation for this year?
A-17: Title II-A funds used for Title I purposes follow the Title I-A rules (including equitable services for private schools). NOTE: LEAs with private schools must first meet the Title II-A equitable services provision before using transferability. A minimum reserve for professional development is required and is calculated using the template provided at .
NOTE:  LEAs with private schools must meet the Title II-A hold harmless requirement before using transferability.

Q-18:  Will we have to fill out a Transferability Form if we are going to use this option?
A-18:  No, the online form has been eliminated.  However, remember to check the Transferability box in the Checklist on page 4 of the Base Application and indicate in the Title II-A FS-10 & Budget Narrative the amount being transferred for Title I-A purposes.

Q-19:  If you use Transferability to Title I from Title II, where do you note that on the application? Is it noted in the supplement too, and if so, where?
A-19:  See above.  The Supplement Form does not ask for Transferability amounts, but certain restrictions and additional requirements relating to Equitable Participation under Title II, Part A may apply to LEAs with Private Schools:


Q-20:  Where is the Application located?
A-20:  The website is:

Q-21:  What is the Project Code for Title I-A?
A-21:  The Project Code is a unique sequence number that is specific to your LEA. For example, Title I, Part A & D Project Code is 0021-13-XXXX (0021 is the funding code, 13 is the funding year, and XXXX is the unique four digit code for your LEA).  LEA codes can be found on the Grants Status Report website:  Select your county, then select your district name and then select “Federal and State Grant Status Report” to find your unique four digit Project Code.

Q-22:  Where do I mail the Application?
A-22: Mail the Application (1 original, 2 CDs) and the Budgets (1 Original, 3 copies) and 1 Budget Narrative per Title to:

LEAs & Charter Schools outside NYC:
Grants Management
New York State Education Department
89 Washington Avenue, Room 464 EBA
Albany, NY 12234
NYC & Charter Schools in NYC:
John Miller, Supervisor
Title I School & Community Services
New York State Education Department
55 Hanson Place, Suite 578
Brooklyn, NY 11217

Q-23:  Do NYC LEAs submit 2 CDs? In the past, we've had to submit additional copies, along with the original application. Also, what is the address to submit for NYC LEAs?
A-23:  Yes.  NYC LEAs (including Charter Schools in NYC) must submit an original application, two CDs (or flash drives if necessary), a Budget Narrative and an original FS-10 with (3) copies for each Title program to: John Miller, Supervisor; Title I School & Community Services;  New York State Education Department; 55 Hanson Place, Suite 578; Brooklyn, NY 11217.

Q-24:  I read somewhere that the application is to be submitted with 2 CDs. Our LEA is large and the CDs do not hold enough memory. Is it OK to use a flash-drive?
A-24:  Yes, you may send in the 2 required flash-drives labeled with your LEA name and BEDS Code. As usual, a hard copy of the Application with the blue ink signature is required along with the flash-drives.

Q-25:  My LEA just updated the Parent Involvement Policy in preparation of this new Consolidated Application. What do we do with it?
A-25:  The policy should be available to parents through annual distribution and/or by posting it to the district website.  It should also be available at Title I meetings and will be requested for any USDE and/or NYSED compliance monitoring.

Q-26:  Where is the Scientifically Based Research (SBR) Form? I do not see it as a requirement in the “Base” Application.
A-26:  The SBR form has been eliminated from this year’s application.  All ESEA plans include the SBR requirements so a separate form is no longer needed.

Q-27:  In June of this year I used last year's Consultation/Collaboration form so that I could be sure to get signatures while staff were in the building, and I changed the school year to 2012-13. Is this acceptable?
A-27:  LEAs may change the date and use the basic Consultation Form and the N&D Consultation Form from the 2011-12 Consolidated Application at their own risk.   If there are no substantial changes to these forms in the final 2012-13 Consolidated Application, these documents will be accepted for their 2012-13 Consolidated Application; however, if substantial changes are made, the forms will need to be replaced. 
IMPORTANT NOTE: The 2012-13 Private School Participation Form contains significant changes from the 2011-12 form.  LEAs should use the draft form to conduct their private school consultations and collect required signatures when the final Private School Participation Forms are available.

Q-28:  My LEA is still in Good Standing. What part of this Application do we complete?
A-28:  LEAs in Good Standing only need to complete the “Base” Application and any required online forms (Title I Supplement, etc.). 

Q-29: Can you provide clarity regarding eligible Title I students? How do districts determine eligibility for Title I services? What can we provide to students with academic needs to those schools that are not considered targeted assistance programs?
A-29: There are multiple questions here, so we advise you to contact the Title I Office directly for appropriate information.  You may call (518) 473-0295 or email  These questions reference Title I eligibility for services, but you may also need information about determining Title I school status or allocations.  Title I is a funding source for Academic Intervention Services which may include Response to Intervention.  All students in a Title I building who meet the criteria described in the LEA plan for AIS/RtI are eligible for Title I funded programs.  The specific services vary based on each student’s academic need and are based on the LEA plan.  LEAs must provide the same AIS for all eligible students in Non-Title I buildings with other funds.  

Q-30:  Could you please clarify the coordination of services between Title I and Special Education services. Is it correct that regular education students are serviced first?
A-30: Title I services are assigned based on academic need regardless of a student’s designation as SWD, LEP/ELL, Homeless, etc.  Funds are generated by poverty but services are provided based on academic need.  Title I cannot be used for any services in a student’s IEP or mandated LEP/ELL services.  All SWD and LEP/ELL students are eligible to participate in Title I programs in addition to their IEP or mandated LEP/ELL services.

Q-31:  Is there a list of allowable PD activities available for Title II-A?
A-31:  Title II-A Allowable activities:

Q-32: Can II-A funds for private schools be used for their teachers to attend a one-shot             conference?
A-32: Single day PD sessions are not allowable unless the staff attending will provide substantial turnkey training to other staff upon completion of the PD.  By definition professional development activities must be “high quality, sustained, intensive, and classroom-focused in order to have a positive and lasting impact on classroom instruction and the teacher's performance in the classroom and are not 1-day or short-term workshops or conferences.” The full definition is found at:

Q-33: Our district does not have 100% HQT this year. There does not seem to be a Teacher Quality Plan (TQP) in the Application. Is it still required?
A-33:  The TQP requirement has been waived under the USDE approved ESEA Flexibility Waiver.  The HQT 5% set-aside requirement has been eliminated.

For additional information refer to the following USDE Non-Regulatory Guidance:
Title I Equitable Services -
Other Titles -

Q-34:  Are there instructions available for completing the private school forms?
A-34: There are no separate instructions; they are included with each item in the form.  Additional guidance regarding program requirements may be found in the non-regulatory guidance listed at the beginning of this section.   You may also contact the Title I Office for assistance at (518) 473-0295.

Q-35: Do private schools also include Catholic schools?
A-35:  Yes.

Q-36:  Given the academic need component of the private schools, what documentation should a private school submit to me in addition to the poverty documentation to indicate eligibility for Title I funds from the district?
A-36: In consultation with private school officials, an LEA must establish multiple, educationally related, objective criteria to determine which private school children are eligible for Title I services, and, within the eligible group, which children will be served.  The criteria may include achievement tests, teacher referrals and recommendations based on objective, educationally related criteria and grades.

Q-37:  We have a private school in our district that has not been open or operating for several years but has not "closed,” do we still need to obtain a refusal of funds form from them?
A-37: Yes.  When a private school has closed or moved without reporting the change to NYSED, the district should complete the cover page of the Private School Participation Form (PSPF) and attach any supporting documentation.

Q-38:  What if you have a non-public school that will not sign the Private School Participation Form?
A-38: Document all efforts to obtain a signature, fill out as much of the PSPF as possible and submit your contact effort documentation with the PSPF. 

Q-39:  If a child attends a non-public school and the school indicates the child qualifies for Title I-A funds but the child would have not attended a Title I school in the district, do they still receive the funding for the child?
A-39: No, if a child does not live in a Title I attendance area they do not generate funds for services.

Q-40:  If the students attending a private school would not be attending a Title I school if in district, must funds be allocated to that private school?
A-40:  As mentioned above, those students generate no funds for services.

Q-41:  If the district offers a summer program in a Title I building, but the program is not being paid for with Title I funds, do we need to include the non-public school students?
A-41: No.

Q-42:  Are private special education placements/schools eligible for Title I-A funds?
A-42:  The private school may qualify for equitable Title I services (never funds) if the school has low income students from Title I schools in the LEA to generate a sub-allocation, and there are students from the LEA at the private school who are eligible to participate in Title I programs.  Title I cannot be used for any service or activity included in a student’s IEP because an IEP is the core educational program for SWD.  Title I cannot be used to fund core programs.

Q-43: In regards to Title II-A, you say it is about services, not money. Does this mean that when working with non-public schools you must invite them to all the PD in the district?  Does it mean giving money for them to do their own PD?
A-43: No to both questions.  It is most important that the LEA and the non-public school(s) collaborate to meet the PD needs of the non-public school(s).  If district PD meets the private school need, the district may determine a participant cost for that PD and may invite private school instructional staff to attend at that pro-rated cost which would then be deducted from the equitable services portion of Title II-A.  Services external to district PD (e.g. conference attendance, consultant services) must be contracted by the district. No funds may be paid to a private school. 

Q-44:  If a district transfers monies from Title II-A to Title I, is the private school calculation then calculated on the balance in II-A?
A-44: If a district transfers a portion of Title II-A funds, the district must still apply the equitable services formula to the balance in II-A.  The formula determines a per pupil amount based on the larger of two criteria: current year PD expenditures or 2001 hold harmless.  Title II-A funds transferred for I-A purposes and not used for required school improvement activities in Priority or Focus schools would have to be shared equitably (for I-A fund purposes) with private schools. 
NOTE: Transferability is a transfer of the USE of funds, but the funds remain in the Title II-A budget with a notation showing the Title I-A use of funds. 

Q-45: If the private school does not request any money, can the district use the Title II-A funds?
A-45: The district may only use a private’s school’s equitable share of II-A (or even I-A) funds if they provide a signed statement indicating that they are declining the funds (See last signature page of the Application Private School Participation Form (PSPF).  In 2012-13, it is very important that collaboration be documented for Title II-A purposes regardless of how many past years the private school declined services.  The five-year recalculation for services may entitle private schools to a level of service that they may now choose to accept. 

Q-46:  How do I know which non-public schools are eligible to collaborate for Title II-A funds?
A-46:  All non-profit private schools located within the geographic region of the LEA are eligible to participate in equitable services under Title II, Part A. 

Q-47:  Title II-A funds need to be negotiated with the Private School. Are there guidelines for the negotiations or is there a formula similar to the Title I Supplement that would be completed?
A-47: Title II-A, funds must be reserved for the LEA to provide equitable professional development services to the private schools. LEAs are required to calculate the amount for services according to guidelines found in the June 21, 2012 Field Memo #1 at:   In the Field Memo, under the heading "Consultation and Collaboration, "there is a link to the guidance from Title IX that describes requirements of a consultation process:

Q-48:  Can you discuss the allocation calculation for Title II-A for a private school? Where is that new calculation found?
A-48: See Q-47.

Q-49:  Where may I find more information on the Title II-A recalculation?
A-49:  Website: ESEA Title IIA Requirement to Recalculate Equitable Services Portion for Non-Public or Private Schools Q & A - December 2011
and Field Memo #1 at Both are needed in order to recalculate.

Q-50:  I have re-read the recalculation of the Title II-A funds for the private school in my district several times. I am still confused. Is there a way to further clarify?
A-50:  If the template provided by USDE and the accompanying guidance memo and posted non-public Q & A do not fully explain the calculation, please contact our office at: or call (518) 473-0295.

Q-51:  What about private school students who are not residents of our district but are students in other school districts? Do we reach out to these districts for their II-A funds for this amount especially when the majority of students are from other school districts? Are the funds found in recalculating Title IIA from 2007-08 to 2011-12 for private schools able to be charged to the student districts of residence or do those funds solely come from the district where the private school is located?
A-51:  Title II, Part A, is calculated based on total enrollment of students in the private school, regardless of the district of origin for those students. No other district can be charged for equitable services. The only time consultation with another district may be required is if a non-public/private school moved from one district to another within the five years required for recalculation. Guidance for this unique circumstance can be found in the June 21, 2012 Field Memo.

Q-52:  Do these funds need to be used in one year or can they be spread over a number of years?
A-52:  From 2012-13 into the future, services must be provided within each fiscal year; however, the unique circumstances of a 5-year recalculation dating back to FY 2007-08 has resulted in a decision that the district, in collaboration with the private school(s), may prorate the provision of those past equitable services over the next five years, ending in the FY 2016-17. Guidance for this process can be found in the June 21, 2012 Field Memo.

Q-53:  Will schools be notified if they are in an accountability status and required to complete more than the Base application?
A-53:  As noted in the webinar, all LEAs were notified of their accountability status in July.  Districts that are unsure of their status can access the accountability reports for their district and schools through the Information Reporting Portal.

Q-54:  I am writing to ask if the deadline has passed for a charter school to appeal its Focus preliminary designation. On the letter, it appears the deadline was July 20, 2012.
A-54:  Yes, the deadline was July 20, 2012.  

Q-55:  We are a brand new charter school.  What constitutes being a "Focus school?"
A-55: Focus Schools are identified based on data from 2009-10 and 2010-11 “in a two-stage process under which the Commissioner would first identify the districts with the lowest-performing subgroups as Focus Districts and those districts would in turn, with the Commissioner's approval, identify a specified minimum number of Focus Schools within the district.  Districts with Priority schools automatically become Focus Districts." (p 104 of the ESEA Flexibility Waiver approved application).   For more information on the identification methodology, see the amendment to Section 100.18 (g) (2) of the Regulations of the Commissioner of Education effective July 1, 2012:

Q-56:  Are charter schools in Good Standing required to do a CEP?
A-56: No.

Q-57: Are Focus charter schools required to implement set-asides for improvement?
A-57:  Yes.

Q-58:  If you were a SINI school and now are in Good Standing, do you only complete the Base application but not the Accountability Addendum?
A-58:  Yes.  As mentioned in the webinar, the previous list of identified schools has been completely replaced by the Priority School and Focus District identifications.  If for 2012-13, the LEA was notified that they were in Good Standing (no Priority or Focus Schools), only the Base Application and applicable online forms are required.

Q-59:  We took over a failed charter school last year. In 2011-12, the school was identified as in need of improvement. Is the school still in need of improvement in 2012-13? 
A-59: The previous list of identified schools has been replaced by the 2012-13 Priority School and Focus District identifications.  Check the accountability notification that was sent to the school in July.  For further information about Focus Districts, Focus Schools and Priority Schools please email:

Q-60: We used local monies to fund our SES requirements for school year 2011-12, starting in May and continuing through summer. When the summer SES program is completed, does the district have any other responsibility to SES?
A-60: After August 31, 2012 the district has no other SES responsibilities to implement SES in 2012-13 but has the option to continue SES for a Priority/Focus School if it chooses.

Q-61:  We are a district in Good Standing, but do not see a reference to the Highest Achieving Schools RFP in our notification. Can you please advise as to where to find the application?
A-61:  LEAs were notified of their eligibility for the Commissioner’s Schools Dissemination Grant by NYSED.  The application period for this grant has ended, but the documents (including list of eligible schools) are found at:

Q-62:  Please explain the Plan that districts who are in Good Standing, but have had the same under-performing sub group for three consecutive years, are required to fill out.  Also where do we find it?
A-62:  If your district is in Good Standing for 2012-13 (no Priority or Focus schools) the only portion of the application you fill out (other than applicable online forms) is the “Base” Application.  Schools with sub-groups identified as under-performing for three years will be identified by NYSED prior to the start of 2013-14.  These schools, with district assistance, will be required to develop a Local Assistance Plan (LAP) in 2013-14 and implement the plan in 2014-15.

Q-63:  Is there a LAP form?
A-63: No, There is no Local Assistance Plan available for the 2012-13 school year. The LAP is not required until 2013-14.

Q-64:  May the set-asides for activities related to improvement be included in our FS-10 as a budgeted amount or must activities be specified at this point, prior to the DCIP and CEP being developed? Also, are budget narratives still required?
A-64:  Information about the Accountability Addendum requirements will be covered in upcoming Accountability Addendum/DCIP webinar tentatively scheduled for August 13.  For planning purposes, Focus LEAs should calculate the required amounts based on the information they received from the Accountability Office and review the allowable activities described in the ESEA waiver (pages 109-112). 

Budget narratives are required for all Consolidated Application budgets.  Budget Narratives should be used to provide details for activities being funded, and budgets should be used to show expenditures with calculation information. 

Q-65:  What is the exact percentage for set asides, 5% or 15%?
A-65: Focus LEAs have received this information from the Accountability Office.  The amounts range from 5-15% based on the percentage of identified schools.

Q-66:  When will we find out the percentage for set-asides for Improvement?
A-66: Focus LEAs have received this information from the Accountability Office.  More information about the 5-15% set-aside amounts will be provided during the Accountability Addendum webinar.

Q-67:  On slide 9 of the PowerPoint, it's mentioned for set-asides for improvement that NYSED sets the LEA % rate. Is this the parent engagement set-aside, or are there more? Will this be discussed in the Focus districts webinar coming up?
A-67: The LEA rate mentioned is the required 5-15% set-aside which is separate from the additional 1% set-aside required for Parent Engagement activities. Required set-asides will be addressed during the Accountability Addendum webinar.

Q-68:  In regard to including the Title III amount in the set-aside calculation, if a Focus LEA is a partner in a Title III-A consortium but does not have its own contract, and it is not the lead agency, then does the LEA still need to add its Title III amount in the calculation of the set-aside amount?
A-68: Yes.  ONLY Focus LEAs identified for LEP performance are required to include their Title III-A allocation in the set-aside calculation.  Please contact the Title III Office at (518) 474-8775 for more information.

Q-69:  When will the addendum portion of the application be due?
A-69: This will be covered in the Accountability Addendum webinar tentatively scheduled for August 13.  There are several requirements included in the addendum with varying timelines for completion. 

Q-70:  When will the application be finalized?
A-70: The Accountability Addendum is currently under final review.  We do not anticipate substantial changes for the Base Application and anticipate that all sections of the 2012-13 Consolidated Application will be finalized within the next two weeks.



Last Updated: March 20, 2014