Office of Accountability

Consultation and Collaboration Requirements

 

Consolidated Application Update


Consultation and Collaboration Requirements

Title I, Part A | Title II, Part A | Title II, Part D | Title III, Part A |
Title IV, Part A |Title V, Part A | Q & A


Overview
A local educational agency (LEA) must ensure that consultation/collaboration requirements have been met for each of the ESEA grant programs. Consultation must be timely and afford constituents the opportunity to participate in meaningful discussion throughout the design and development of the application, including the Accountability Addendum. Refer to the provisions of ESEA for each of the Titles to gain a complete understanding of the requirements. Private School consultation/collaboration is not required by Charter School LEAs. A brief summary of the requirements follows. 
More information regarding equitable service requirements for private schools is available in the non-regulatory guidance published by the US Department of Education.  Guidance for Title I programs is found in “Title I Services to Eligible Private School Children” (October 2003)
http://www.ed.gov/programs/titleiparta/psguidance.doc.  Guidance for all other Title programs is found in “Equitable Services for Private Schools” (March 2009) http://www.ed.gov/policy/elsec/guid/equitableserguidance.doc .

Title I, Part A
The LEA Plan shall be developed in consultation with teachers, principals, administrators (including administrators of programs described in other parts of Title I), and other appropriate school personnel, including representatives designated by the appropriate collective bargaining units, and with parents of children in schools served under this part. Each LEA shall develop jointly with parents of participating children a written LEA Parent Involvement Policy. Focus LEAs must submit a Parent Involvement Policy with the LEA’s plan. All other LEAs must retain such policy and make it available upon request.

Participation of Children Enrolled in Private Schools
Offer equitable educational services or other benefits supported by Title I, Part A federal funds to private school students appropriately identified within the LEA.
LEAs must consult with private school officials during the design and development of its programs and before any decisions are made that affect the opportunities of eligible private school children to participate in the Title I, Part A program. Consultation must include meetings of the LEA and the appropriate official(s) and/or representative(s) of the private school. Consultation must also include a discussion of service delivery mechanisms that would provide equitable services to private school children and issues such as those included under section 1120(b)(1).
"(b) CONSULTATION.—

"(1) IN GENERAL.--To ensure timely and meaningful consultation, a local educational agency shall consult with appropriate private school officials during the design and development of such agency’s programs under this part, on issues such as—
"(A) how the children’s needs will be identified;
"(B) what services will be offered;
"(C) how, where, and by whom the services will be provided;
"(D) how the services will be academically assessed and how the results of that assessment will be used to improve those services;
"(E) the size and scope of the equitable services to be provided to the eligible private school children, and the proportion of funds that is allocated under subsection (a)(4) for such services;
"(F) the method or sources of data that are used under subsection (c) and section 1113(c)(1) to determine the number of children from low-income families in participating school attendance areas who attend private schools;
"(G) how and when the agency will make decisions about the delivery of services to such children, including a thorough consideration and analysis of the views of the private school officials on the provision of services through a contract with potential third-party providers; and
"(H) how, if the agency disagrees with the views of the private school officials on the provision of services through a contract, the local educational agency will provide in writing to such private school officials an analysis of the reasons why the local educational agency has chosen not to use a contractor. "

LEAs must maintain and provide to SED written affirmation that the required consultation has occurred. Such affirmation must be signed by officials of each private school. If such affirmation is not provided by the private school official in a reasonable time, the LEA shall forward documentation that the required consultation has taken place.
After timely and meaningful consultation with appropriate private school officials, LEAs must provide private school children on an equitable basis, special educational services or other benefits under Title I, Part A that address their needs. LEAs must also ensure that the teachers and families of these children participate on an equitable basis in parental involvement, professional development services and other appropriate activities.

Title II, Part A
The LEA’s teachers, paraprofessionals, principals, other relevant school personnel, including representatives designated by the appropriate collective bargaining units, and parents must collaborate in the planning of Title II activities and in the preparation of the application. The needs assessment required under Title II Part A must include the involvement of teachers, including teachers in schools receiving funds under Title I Part A.

Private School Participation
Private school teachers, principals and other educational personnel are eligible to participate in Title II, Part A, programs only to the extent that the LEA uses such funds to provide allowable professional development for its teachers and other appropriate staff.
If the LEA uses such funds for professional development, funds awarded to the LEA are subject to the uniform provisions of section 9501 which requires LEAs to provide private school teachers and other educational personnel with educational services on an equitable basis and in a timely manner. The requirement for equitable participation of private school teachers and other educational personnel applies only to the extent that the LEA uses these funds for the allowable professional development of its teachers and other appropriate staff.
As part of the application process, LEAs must consult with appropriate private school officials during the design and development of the professional development program and before any decisions are made that affect the opportunities of private school teachers and other educational personnel to participate in the program. Consultation must include a discussion of service delivery mechanisms that would provide equitable services to private school teachers and other educational staff and issues such as those included under section 9501(c)(1).
NOTE: An important update regarding required recalculations for the provision of Title II, Part A, equitable services to non-public/private schools can be found at: http://www.p12.nysed.gov/nclb/allocations/1112/TitleIIA_NonPub_FieldMemo_061812.pdf

Title II, Part D (Only if using Title VI B funds or REAP Flex alternative.)
Participation by Private School Children and Teachers
Children enrolled in private elementary and secondary schools (and their teachers) must be provided equitable educational services or other benefits, compared to services and benefits received by public school children and teachers.
LEAs must consult with appropriate private school officials during the design and development of the programs and before any decisions are made that affect the opportunities of eligible children, teachers and other educational personnel to participate in the program. Consultation must include a discussion of service delivery mechanisms that would provide equitable services to private school children, teachers, administrators and other staff and issues such as those included under section 9501(c)(1).
(c) Consultation

(1) In general. To ensure timely and meaningful consultation, an LEA shall consult with appropriate private school officials during the design and development of the programs under this chapter, on issues such as-
(A) how the children's needs will be identified;
(B) what services will be offered;
(C) how, where and by whom the services will be provided;
(D) how the services will be assessed and how the results of the assessment will be used to improve those services;
(E) the size and scope of the equitable services to provided to the eligible private school children, teachers, and other educational personnel and the amount of funds available for those services; and
(F) how and when the agency, consortium, or entity will make decisions about the delivery of services, including a thorough consideration and analysis of the views of the private school officials on the provision of contract services through potential third-party providers.

If the LEA disagrees with the views of the private school officials on the provision of services through a contract, the LEA must provide to the private school officials a written explanation of the reasons why the LEA has chosen not to use a contractor.

Title III, Part A
Participation by Private School LEP Students and Teachers (Title IX, Part E, Subpart 1-Private Schools, Section 9501-9506) (EDGAR, Part 76, Sections 76. 650-76.662)
The LEA must provide LEP students enrolled in private schools in their area, and the teachers of those students, on an equitable basis, with Title III, Part A programs and benefits that address their needs. The LEA must consult with appropriate private school officials during the design and development of the Title III, Part A program on issues listed under Title IX, Section 9501 (c)(1)(A-F) of ESEA. Following are some of the specific statutory/regulatory requirements. Reference should be made to sections 9501-9506 for the complete statutory requirements.
After timely and meaningful consultation with appropriate private school officials, local educational agencies (LEAs) receiving Title III, Part A funds must provide, on an equitable basis, educational services to eligible limited English proficient (LEP) children, their teachers or other educational personnel in private schools that are located in the geographic area served by the LEA.
To ensure timely and meaningful consultation, the LEA must consult with appropriate private school officials during the design and development of the Title III, Part A program on issues such as:

how the eligible LEP children's needs will be identified, including the instruments that will be used for initial identification, continued eligibility and to measure progress in English proficiency;
what services will be offered;
how, where, and by whom the services will be provided;
how the services will be assessed and how the results of the assessment will be used to improve those services;
the size and scope of the equitable services to be provided to the private school children, teachers and educational personnel;
the amount of funds available for those services;
how and when the LEA will make decisions about the delivery of services, including a thorough consideration of the views of the private school officials on the provision of contract services through potential third-party providers.

Title III, Part A services provided to children, their teachers or other educational personnel in private schools must be equitable and provided in a timely manner.

Title IV, Part A (Only if using Title VI B funds or REAP Flex alternative.)
The LEA shall develop its application through timely and meaningful consultation with State and local government representatives, representatives of schools to be served (including private schools), teachers and other staff, including representatives designated by the appropriate collective bargaining units, parents, students, community-based organizations, and others with relevant and demonstrated expertise in drug and violence prevention activities (such as medical, mental health, and law enforcement professionals). Consultation must take place during the initial stages of design and development of a program or activity and must include efforts to meet the principles of effectiveness.

Participation by Private School Children and Teachers
Children enrolled in private elementary and secondary schools (and their teachers) must be provided equitable educational services or other benefits, compared to services and benefits received by public school children and teachers.
LEAs must consult with appropriate private school officials during the design and development of the programs and before any decisions are made that affect the opportunities of eligible children, teachers and other educational personnel to participate in the program. Consultation must include a discussion of service delivery mechanisms that would provide equitable services to private school children, teachers, administrators and other staff and issues such as those included under section 9501(c)(1) as set forth below.

(c) Consultation

(1) In general. To ensure timely and meaningful consultation, an LEA shall consult with appropriate private school officials during the design and development of the programs under this chapter, on issues such as-

    (A) how the children's needs will be identified;
    (B) what services will be offered;
    (C) how, where and by whom the services will be provided;
    (D) how the services will be assessed and how the results of the assessment will be used to improve those services;
    (E) the size and scope of the equitable services to be provided to the eligible private school children, teachers, and other educational personnel and the amount of funds available for those services; and
    (F) how and when the agency, consortium, or entity will make decisions about the delivery of services, including a thorough consideration and analysis of the views of the private school officials on the provision of contract services through potential third-party providers.

If the LEA disagrees with the views of the private school officials on the provision of services through a contract, the LEA must provide to the private school officials a written explanation of the reasons why the LEA has chosen not to use a contractor.

Title V, Part A - Participation of Children Enrolled in Private Schools (Only if using Title VI B REAP Flex Alternative use of funding option for those activities.)
In the design, planning and implementation of Title V programs, an LEA must provide for systematic consultation with parents of children attending elementary and secondary schools in the area served by the LEA, with teachers and administrative personnel in such schools, including representatives designated by the appropriate collective bargaining units, and with other groups involved in implementation (such as librarians, school counselors, and other pupil services personnel) as may be considered appropriate by the LEA.
(a) Participation on equitable basis

(1) In general
To the extent consistent with the number of children in the school district of a local educational agency that is eligible to receive funds under this part, or that serves the area in which a program assisted under this part is located, who are enrolled in private nonprofit elementary schools and secondary schools, or, with respect to instructional or personnel training programs funded by the State educational agency from funds made available for State educational agency use, the local educational agency, after consultation with appropriate private school officials -
(A) shall provide, as may be necessary, for the benefit of such children in such schools -

    (i) secular, neutral and ideological services, materials, and equipment, including the participation of the teachers of such children (and other educational personnel serving such children) in training programs; and
    (ii) the repair, minor remodeling, or construction of public facilities (consistent with subsection (c) of this section); or

(B) if such services, materials, and equipment are not feasible or necessary in one or more such private schools, as determined by the local educational agency after consultation with the appropriate private school officials, shall provide such other arrangements as will assure equitable participation of such children in the purposes and benefits of this part.

Questions and Answers

Do the requirements for consultation under the 2001 reauthorization of ESEA differ from previous legislation?
Yes. The requirement for LEAs to engage in timely and meaningful consultation for Title I continues, however, other Titles must also address this requirement. LEAs must consult with a wide range of constituent groups in the design and development of the Consolidated Application. It also requires the involvement of teachers in schools receiving assistance under Title I, Part A in the performance of the required needs assessment for Title II. The 2001 reauthorization of ESEA also contains more detailed consultation requirements regarding services for private school students. (For example, a new requirement addresses the use of third party contractors for private school student’s services. Consultation must include a thorough consideration and analysis of the views of the private school officials on the provision of contracted services through potential third party providers.)

What documentation should the LEA keep in regard to consultation?
Each LEA should keep documentation on file of the consultation that has occurred in the development of the Consolidated Application. The Consultation/Collaboration Documentation Form (to be submitted to SED as part of the Consolidated Application) provides LEAs three options to document that appropriate consultation has occurred:

  1. Representatives of required constituency groups who sign the form effectively affirm that appropriate consultation has occurred. (The signature does not indicate agreement.) Supporting documentation (e.g., meeting agendas, minutes and rosters) must be maintained by the LEA.
  2. For representatives of required constituency groups who have consulted with the LEA but whose signatures are unobtainable, supporting documentation (e.g. meeting agendas, minutes and rosters) must be maintained by the LEA and a summary of such documentation must be submitted to SED with the Consolidated Application.
  3. For representatives of required constituency groups with whom the LEA attempted to consult/collaborate, but refused or were unavailable to do so, appropriate documentation/explanation must be submitted to SED with the Consolidated Application.

The "Private School Participation Form" must be included for all private schools in the LEA (including those who decline services). Documentation of the consultation that occurred in the planning and implementation of the program for private school students must be maintained. Private School consultation/collaboration is not required by Charter School LEAs.

Are representatives of constituent groups required to sign the Consolidated Application?
While ESEA does not require constituent groups to sign the Consolidated Application, these groups must have the opportunity to consult in the design and development of the Consolidated Application. Representatives of required constituency groups who enter their signature in column 1 of the Consultation/Collaboration Documentation Form do so to affirm that appropriate consultation has occurred. Such signatures do not indicate agreement, and are not required as a condition for the LEA to submit the Consolidated Application to the State Education Department.

Is there a place in the Consolidated Application where specific constituent groups are identified for each of the Title Programs?
Yes. Page 20 of the Consolidated Application indicates each of the constituency groups that must be involved in consultation and collaboration as required under ESEA for each Title. Refer to the provisions of ESEA for each of the Titles to gain a complete understanding of the requirements.

What strategies can LEAs use to ensure that timely and meaningful consultation has occurred?
LEAs can use a number of strategies to ensure that timely and meaningful consultation has occurred. Among these strategies are:

  • Convening a planning and development team comprised of the required constituent groups prior to the development of the Consolidated Application.
  • Soliciting suggestions in the design, planning, and implementation of the program and preparation of the Consolidated Application;
  • Providing, or making available, in an ongoing, timely and adequate manner to teachers, parents and other constituent groups information such as proposed and final project application; project plans; budgetary information; and evaluation data;
  • Soliciting input each year through meetings and surveys which should be completed prior to the development of the Consolidated Application;
  • Providing timely responses to recommendations;
  • Providing reasonable access to meeting space and materials;
  • Providing opportunities to view the program’s operations;
  • Issuing monthly newsletters; and
  • Providing information in an understandable format and, to the extent practicable, in a language that can be understood, as required.

Can existing groups/committees serve to meet the requirements for consultation?
Yes. It may be appropriate to use established advisory groups, such as the Shared Decision-Making Committee, for this purpose as long as they meet the minimum requirements for each Title Program. The ESEA does not require formal appointment to complete the consultation process as there are for other groups, like Shared Decision-Making committees. The LEA should allow for an open consultation process to invite interested individuals to participate and must have at least one member from each bargaining unit involved in the process, as well as representatives from recognized parent groups or Title I parent groups, if one exists.

Can one consultation group serve the needs of all the Title Programs?
Yes. One group can serve for all Titles if the group is expanded to include all referenced constituency groups as listed in the Consolidated Application.

Must consultation be face-to-face?
ESEA requires meaningful consultation. The manner in which consultation should occur is dependent upon the relationship between the LEA and the representative(s) of the various required constituency groups. Although face-to-face consultation is not required under ESEA, it is the most effective means to allow for the opportunity to consult in the design and development of the Consolidated Application. Consultation could be supplemented or expanded through teleconferencing, videoconferencing, and other methods, such as e-mail, fax and correspondence.

How frequently should consultation take occur?
ESEA does not specify the frequency of consultation. Each LEA should establish a timeline to ensure timely, ongoing and meaningful consultation through the development of the Consolidated Application.

What role do collective bargaining units play in the consultation process?
For principals/administrators, teachers and paraprofessionals, consultation must include representatives of applicable collective bargaining units. Non-unionized Charter Schools should develop and implement procedures for the selection of such representatives.

What role do parent groups play in the consultation process?
Parent consultation must minimally include the recognized parent group(s) or a Title I parent group, if one exists.

What are the objectives of consultation in preparing the Consolidated Application?

  • Consultation involving the perspectives of different constituencies results in a greater understanding of the issues (such as student achievement, professional development, school safety and effective programs) associated with the purpose(s) of the Consolidated Application.
  • Consultation fosters collective ownership in the implementation and outcomes of the Consolidated Application.
  • Ongoing consultation enables the LEA to identify needed revisions to reflect the changing needs of the district and the requirements of the ESEA; and
  • Consultation with a broad range of constituents brings together a group of individuals with knowledge of the LEA’s curriculum and programs, criteria to identify eligible children and the services to meet their needs, and the range of authorized activities that may be supported under each Title of the ESEA.
  • Consultation is a process that requires building relationships of trust and understanding. The consultation process requires that all opinions be shared openly and honestly by all involved, although agreement may not always be reached (and is not required). Relationship building and communication are central to the consultation process.

 

Last Updated: March 20, 2014