RFP FY2012 Entitlement/Allocation FC: 140 Title II

Title II, Part A Application User’s Guide

The ‘How To’ for completing all parts of the Title II, Part A (TIIA) and Highly Qualified application for TIIA federal funds. June 2011

Massachusetts Department of Elementary and Secondary Education 75 Pleasant Street, Malden, MA 02148-4906 Phone 781-338-3000 TTY: N.E.T. Relay 800-439-2370 www.doe.mass.edu This document was prepared by the Massachusetts Department of Elementary and Secondary Education Mitchell D. Chester, Ed.D. Commissioner

The Massachusetts Department of Elementary and Secondary Education, an affirmative action employer, is committed to ensuring that all of its programs and facilities are accessible to all members of the public. We do not discriminate on the basis of age, color, disability, national origin, race, religion, sex or sexual orientation. Inquiries regarding the Department’s compliance with Title IX and other civil rights laws may be directed to the Human Resources Director, 75 Pleasant St., Malden, MA 02148-4906. Phone: 781-338-6105.

© 2011 Massachusetts Department of Elementary and Secondary Education Permission is hereby granted to copy any or all parts of this document for non-commercial educational purposes. Please credit the “Massachusetts Department of Elementary and Secondary Education.”

This document printed on recycled paper

Massachusetts Department of Elementary and Secondary Education 75 Pleasant Street, Malden, MA 02148-4906 Phone 781-338-3000 TTY: N.E.T. Relay 800-439-2370 www.doe.mass.edu

2 Table of Contents

Introduction...... 2

Checklist...... 2

FY12 Title II, Part A (TIIA) & Highly Qualified...... 2

EPIMS Submission...... 2

Teacher Effectiveness & Quality Improvement Plan (TEQIP)...... 2

Needs Assessment...... 2

Budget Workbook...... 2 Form 3 & Form 5 - Private School Participation...... 2

2141c LEA Accountability Requirements...... 2

Amendments...... 2

Appendix...... 2

3 This page left intentionally blank Introduction

The purpose of this document is to provide a ‘one stop shop’ for LEAs when completing all the requirements related to TIIA federal funds. These requirements include the EPIMS submission of Highly Qualified teacher data; completion of the Teacher Effectiveness and Quality Improvement Plan (TEQIP); the TIIA Needs Assessment; the TIIA Budget Workbook; and, private schools participation Forms 3 and 5 (now consolidated and included in the Budget Workbook).

Each section contains the instructions for each separate piece of the application process and ‘Useful Links’ for further, more detailed information about each part of the process.

The first document in the User’s Guide is a checklist for district administrators while completing and submitting your documentation. This checklist does not need to be submitted and is for your use only.

5 This page left intentionally blank

6 Checklist

FY12 Title II, Part A (TIIA) & Highly Qualified LEA SUBMISSION DOCUMENTS

Please use the contact information below if you require assistance in the completion or submission of any documents.

For queries regarding Title IIA Grants, please send emails to: [email protected] or phone Christina Lento at 781-338-3530.

For queries regarding Highly Qualified Teachers, please email: [email protected]

A. EPIMS data, June submission, submitted and certified by August 12, 2011

B. Teacher Effectiveness and Quality Improvement Plan (TEQIP) data certified and submitted

C. Documents uploaded to the Security Portal - https://www4.doemass.org (Drop Box Central – Title IIA Grants and Amendments folder): Date uploaded:

Title II, Part A, Budget Workbook

Cover page completed with all requested contact names, email addresses and phone numbers

Narrative explanations completed for allowable line item expenditures

Form 3 (consolidated with Form 5) Equitable Participation of Students and Educators in Private Non-Profit Schools Report completed

Needs Assessment

Cover page completed with all requested contact names, email addresses and phone numbers

Completed and submitted (includes Equitable Distribution Plan questions formerly submitted with the TEQIP)

D. Two copies of cover pages with original signatures of Superintendent and mailed to: Christina Lento, Educator Policy, Preparation, and Leadership, Department of Elementary and Secondary Education, 75 Pleasant St., Malden, MA 02148

7 EPIMS Submission

The EPIMS June submission automatically populates the Teacher Effectiveness and Quality Improvement Plan (TEQIP) with the data you submit about the LEAs non-Highly Qualified (HQ) teachers. LEAs should take great care in ensuring that the data you submit about the HQ status of your teachers is accurate. Reporting of inaccurate data can lead to delays in grant approval.

In order to be designated as HQ by the district, a teacher must meet the following three requirements: a. possession of a Bachelor’s Degree; and b. possession of a valid and active MA teaching license (if teaching core content area(s) for more than 20% of teaching schedule, a teacher must possess the appropriate license(s) in the core content area(s)); and c. demonstration of subject matter competency.

The link for all instructions about the EPIMS submission is below: http://www.doe.mass.edu/infoservices/data/epims/

8 Teacher Effectiveness & Quality Improvement Plan (TEQIP)

The TEQIP requires that all public school districts reporting less than 100% Highly Qualified (HQ) teachers to the Department identify the current status of non-HQ teachers and the district plans for 100% of teachers meeting the HQ requirements.

TEQIP requirements:

1. The Teacher Effectiveness & Quality Improvement Plan teacher data chart is pre- populated with your district’s 2010-2011 certified EPIMS data. You must complete the teacher data chart by entering additional information for each non-HQ teacher listed, including their licensure, FY 2012 Title IIA funding assistance, and, if applicable, Title I funding assistance information.

2. In order to be designated as HQ by the district, a teacher must meet the following three requirements: a. possession of a Bachelor’s Degree; and b. possession of a valid and active MA teaching license (if teaching core content area(s) for more than 20% of teaching schedule, a teacher must possess the appropriate license(s) in the core content area(s)); and c. demonstration of subject matter competency (See the Options for Demonstrating Subject Matter Competency in Massachusetts).

Please visit our website for additional HQT Guidance.

For step-by-step instructions crucial to completing the TEQIP, please review the TEQIP instructions document. You can open this document by selecting “Word or PDF” hyperlink located on either the 2010-2011 TEQIP homepage or in the “Instructions” area (the upper right-hand corner) of your district’s TEQIP page. You must log into the Security Portal to access the instructions in this manner.

Use the following procedure to access the TEQIP application: . Your district’s Directory Administrator must assign the appropriate district level administrator (Superintendent, district HQT contact, etc.) a security role for the 2010-2011 Teacher Effectiveness & Quality Improvement Plan to provide him/her with access to the TEQIP application. This individual should be aware of the HQT requirements and should oversee implementation of these requirements at the district level. . You can view a list of Directory Administrators for each district at http://www.doe.mass.edu/infoservices/data/diradmin/list.asp. . You must log in to the 2010-2011 TEQIP application through the Department's Security Portal at https://www4.doemass.org/auth/Login.

Appendix G: Critical Shortage Waivers

9 Needs Assessment

The TIIA team has revised and improved the Needs Assessment which is part of the requirement for the application for TIIA grants.

The questions from the Equitable Distribution Plan (EDP), which were formerly included in the TEQIP, are now included in the Needs Assessment to help you plan more effectively. We have attempted to make explicit how student learning needs help identify teacher learning needs and the resulting professional development activity/strategy. These priorities are identified through the questions and planning process included in the Needs Assessment.

The Needs Assessment is now in an Excel workbook format, with a worksheet for each section. See tabs for each worksheet

You can only fill in the yellow sections of each worksheet. As you complete Tab 3, titled “FY12 Needs and Activities,” portions of the Priority Needs worksheets will pre-fill for you. Pre-fills into the appropriate Priority Need tabs

Best practice shows that it is most effective for districts to focus efforts on a maximum of 3-5 priority needs. Therefore, you are only provided 5 rows in which to enter your priority needs.

NOTE: The number of Priority Needs worksheets that are pre-filled depend on the number of priority needs you identify on the “FY12 Needs and Activities” worksheet. For example, if you identify 2 priority needs in rows 12 and 13, the

10 “Priority Need 1” and “Priority Need 2” worksheets will pre-fill; you will NOT need to complete the Priority Need 3, 4, or 5 worksheets.

The CSR tab contains “Yes/No” check boxes for indicating whether or not you will be using your Title IIA funds for Class Size Reduction (CSR). If you are expecting to use your Title IIA funds for CSR, the CSR worksheet also provides ample space to enter the list of teachers hired for class size reduction purposes and their HQ status. The right- hand column under question “e.” of the CSR tab contains drop down menus from which you MUST select the method by which each CSR teacher has demonstrated subject matter competency for the core content area to which s/he is assigned.

Yes/No check boxes

Drop down menu

Link to Needs Assessment: http://www.doe.mass.edu/nclb/grant/

Appendix E: MA Professional Development Plan

11 Budget Workbook

A. Budget Workbook (naming and saving, initial data input):

IMPORTANT NOTE: The budget workbook is a Microsoft Excel file which includes macros.  For Microsoft Office 2000/2003, you may need to change the security setting in Excel before opening the file. In Excel, click ‘Tools’, ‘Macro’, and then ‘Security’. When the dialog box appears, change the security setting to ‘Medium’ and then click ‘OK’. You can now open the budget file.  For Microsoft Office 2007/2010 you must save the workbook as an earlier version of Excel (.xls not .xlsx or .xlsm).

1. Saving and Naming the File: Edit the file name by replacing the words ‘LeaCode’ with your 4-digit LEA code. The file will now have the following name format: (#### denotes your LEA code) FY12_140Budget_####.

2. Begin by clicking on the grey tab at the bottom of the screen labeled ‘Cover Sheet’ (see screenshot below). In the first box (labeled A. Applicant), click on the down arrow to view the pull down menu for ORGANIZATION. Scroll down to find your district name and select it – district and address information automatically appears on all relevant pages. Then complete all yellow highlighted areas (contact information, submission date and allocation amount).

Select Organization from the drop down menu

TOTAL AMOUNT REQUESTED is password protected - an amount will appear automatically once the budget pages are completed.

Individual worksheets can be accessed by clicking on the appropriate grey tab at the bottom of the screen.

12 B. General Instructions & Guidelines:

Budget Pages:

IMPORTANT NOTE: All required information relative to line item expenditures must be completed – cells left blank will turn red.

Contact information – will auto populate when completed on the Cover Sheet. In the event that contact must be made during summer vacation, please provide a summer contact telephone number.

Comment Boxes: When you move your cursor over cells that have a red flag in the upper right hand corner, a comment box will appear. The comment boxes include reminders such as expenditure restrictions and MTRS eligibility.

Enter line item expenditures here (whole $ amounts only – no cents or formulas). Do not forget # of staff, FTE and staffing category. Select a Primary Function and add narrative for line item expenditures. If staff contribute to MTRS check the box – 9% will automatically be calculated and appear in line item 4A – Fringe Benefits. IMPORTANT NOTE: All required information relative to line item expenditures must be completed – cells left blank will turn red.

Line Item Expenditures: Enter line item expenditures on appropriate lines (whole $ amounts only – no cents or formulas). Sub-totals will calculate automatically (sub-total cells have formulas in them and are password protected).

Indirect Costs: Consult the Indirect Costs Calculator in the workbook to calculate this amount – a lower % and/or $ amount may be entered.

Primary Function: For each line item, select a primary function - each cell in the Primary Function column has a dropdown menu of options. Click on the down arrow to view the pull down menu. In addition, you may add any other information that will be helpful in clarifying this expenditure in the narrative column.

13 Narrative: To the right of the budget pages is a section for a narrative related to line item expenditures – this section must be completed. The “Enter” key will only work when “Alt” and “Enter” are pressed together.

Transferability/FLEX Money Restrictions: You are allowed to flex money into and out of Title IIA. You are allowed to flex TIIA money into Title I. You cannot flex money out of Title I. Additionally, you are not allowed to flex money into or out of Title III. Certain additional restrictions apply to districts identified for improvement or corrective action. Guidance on NCLB transferability and flexibility provisions is available on the Department’s Web site at: http://finance1.doe.mass.edu/grants/grants09/rfp/nclb.html. You may add any other information that will be helpful in clarifying the flexing of funds in the narrative column.

1. Select Flex in the Primary Function column

2. Select a use for the flexed money in the Flex Use column

3. Select the Title you are flexing money to in the Flex Into column.

Additional Worksheets:

Title IIA Form 3 and Form 5: Equitable Participation worksheet - must be completed. (See next section for additional information.)

Amendment Form: This is used for budget amendments – changes later in the year to your original approved budget. Instructions are in later on in the User’s Guide.

Indirect Cost Calculator worksheet: This worksheet provides information and assistance for calculating indirect costs if you choose to include this line item in the budget.

Schedule A: Consolidated assignment schedule – This requires an original signature and must be mailed to: Christina Lento, Educator Policy, Preparation and Leadership, Dept. of Elementary and Secondary Education, 75 Pleasant Street, Malden, MA 02148.

C. Submitting the Budget Workbook:

1. MAIL two (2) copies of the ‘Cover’ page with an original signature of the Superintendent/Executive Director or other authorized signatory to: Christina Lento, Educator Policy, Preparation and Leadership, Dept. of Elementary and Secondary Education, 75 Pleasant Street, Malden, MA 02148.

14 2. UPLOAD all of the required components electronically to the Title IIA Grants and Amendments drop-box in the Security Portal. If you have not already done so, you will need to ask your district "Directory Administrator" to assign the Title IIA drop-box to the person or persons in your district who will be responsible for submitting materials:

First Step: Login to the Security Portal. - https://www4.doemass.org

Next Steps:

. Click "continue" at the Welcome screen. . Click "DropBox Central" from the list of Applications. . Select your organization and click "Next". . Select the appropriate drop-box (TIIA) and click "Next".

 You should now be in the Title IIA drop-box, where you can upload the components of your submission package one file at a time.

 Be sure to keep the same file name as designated by the Department (with an addition of your LEA Code at the end of the file name for the budget workbooks.) Note: Files cannot be edited directly from the portal.

 The drop-box will only accept filenames with the extensions ". doc" and ".xls" (Microsoft Word and Excel, respectively). Note: For Microsoft Office 2007 you must save the workbook as an earlier version of Excel (.xls not .xlsx).

 Select “Browse” and locate the file from your computer to be submitted, click on the “upload” button. When each file is uploaded, a ‘Success!’ window informs you that your upload was successful. You will also see the file appear under "DOE Inbox" along with the date and time of transmittal. The Department will be notified via email that a file has been uploaded and is ready for review.

Final Steps:

. View all of the files in your Inbox or Outbox by clicking "Expand All". . Click "Logout" to exit the Security Portal.

The Budget Workbook can be located at: http://www.doe.mass.edu/nclb/grant/

Security Portal Link: https://www4.doemass.org/loginhelp.asp?mode=about

Further Resources Private Schools Participation: Appendix A Title IIA Non-regulatory Guidance: Appendix B MA State Plan for Professional Development: Appendix E Guidelines for Induction Programs: Appendix F 15 Form 3 & Form 5 - Private School Participation

Form 3 and Form 5 have been consolidated and now include all questions related to the Equitable Participation of Educators in Private Non-Profit Schools Report.

Complete green shaded areas

Yellow area pre- fills with amount of equitable private school participation

Complete green shaded areas

Further Resources: Appendix A Private Schools Participation

16 2141c LEA Accountability Requirements Title II, Part A (TIIA) includes the statutory provisions of section 2141 of the Elementary and Secondary Education Act (ESEA). The Massachusetts Department of Elementary and Secondary Education (ESE) will inform a district of its Title IIA District Accountability 2141(c) status.

Section 2141(c) of ESEA imposes a number of obligations on LEAs with respect to Title IIA and Title I, Part A (Title IA) funding and the Highly Qualified Teacher (HQ TEACHER) requirements listed in the bullets below. LEAs who are identified by ESE as being in 2141c accountability status must meet the obligations outlined below.

 §2141(a) Improvement Plans – LEAs that fail to meet HQ TEACHER requirements for two consecutive years are required to develop improvement plans. In Massachusetts, those plans are known as the Teacher Effectiveness and Quality Improvement Plan (TEQIP). Please note: Many LEAs have a TEQIP on file for 2006, 2007, 2008, 2009 and 2010. The deadline to complete and submit your 2011 TEQIP is August 12, 2011.

 §2141(b) Technical Assistance - During the development of the Improvement Plans described above and throughout implementation of the plan, the MA Department of Elementary and Secondary Education (Department) shall provide technical assistance to the district and (if necessary) to schools served by the district in meeting the 100% HQ TEACHER goal.

 §2141(c) Funding Agreement – This section mandates that when a district does not meet HQ TEACHER and AYP requirements for a third consecutive year, the Department must develop an agreement with the district that defines how the district will spend its Title IIA funding. In addition, §2141(c) also restricts the use of Title IA funds for hiring additional (new) paraprofessionals unless the district can demonstrate the following:

o The hiring is to fill the vacancy created by the departure of another paraprofessional funded under Title I and the new paraprofessional satisfies the HQ requirements; or o A significant influx of population has substantially increased student enrollment; or o An increased need for translators or assistance with parental involvement activities.

Please note that the above requirements are stipulated in our current US Department of Education approved Title IIA state plan, as communicated previously to you via three Commissioner’s Update memorandums posted on: November 17, 2003: (http://www.doe.mass.edu/nclb/hq/hq_memo.html); October 13, 2006: (http://www.doe.mass.edu/nclb/hq/101306memo.html); and, June 1, 2007: (http://www.doe.mass.edu/news/news.aspx?id=3479)

17 ESE determines a district’s 2141(c) status using Education Personnel Information Management System (EPIMS) for HQ teacher and Adequate Yearly Progress (AYP) data. The 2010-11 school year marked the Department’s fourth full data collection of EPIMS for all LEAs and indicated each district’s progress in meeting 100% HQ teacher. Accordingly, this is the second year the Department has been able to make determinations of compliance mandated under the statute.

Based on the 2010-11 EPIMS data and the preliminary 2011 AYP data, an LEA that has not met the HQ TEACHER goal of 100% for three consecutive years and has not met AYP for one or more student groups for three consecutive years, pursuant to ESEA, §2141(c), must enter into a formal funding agreement with the Department regarding the use of Title IA and Title IIA funds effective fiscal year 2012 (FY12).

Your TIIA grant contact will review the LEA’s grant to ascertain that the following issues have been identified both in the Needs Assessment and the subsequent strategies and activities proposed in the Budget Workbook to address each issue:  Issues that are preventing improvement in the proportion of classes taught by HQ teachers. (expanding on obstacles highlighted in your Equitable Distribution Plan).  Development (in conjunction with teachers and principals) of professional development strategies and activities based on scientifically based research that the district will use to meet the 100% HQT goal (Expanding on your TIIA Needs Assessment).  Implementation of such professional development strategies using SMART goals [Strategic, but specific; Measureable; Attainable; Realistic; Time-related].  Detailed review of Title IIA and Title IA funding.

Once the above items are discussed and reviewed, LEAs MUST:  Sign a formal agreement with the Department to come into compliance  Provide training using Title IIA funds to enable teachers to: o Obtain HQT status in all core academic classes being taught. o Improve student achievement in the classroom, particularly in areas, in which, the district is not meeting AYP. o Teach and address the needs of students with different learning styles, particularly students with disabilities, students with special learning needs (include students who are gifted and talented), and students with limited English proficiency.  Comply with the restriction on the use of Title IA funds for hiring additional (new) paraprofessionals, unless the district is eligible for one of the exceptions outlined above under §2141(c).

To ensure that the appropriate stakeholders are at the table during these reviews, we recommend you include the Human Resources Director, staff who oversee Title I and Title IIA grants, and the district level administrator responsible for implementing the HQT requirements in the discussions with the Department.

Link to Spending Assurances form: http://www.doe.mass.edu/nclb/grant/

18 Amendments

Ins tructions for c omple ting FY12 NCLB TII A Budget Ame ndments

To expedite amendments they must be submitted to the Department through the F Y 2 0 12 e l e c tr o n i c b u d g et wor k b o ok only. Districts should not use stand-alone amendment forms obtained at the Department’s Grants Management website for this process; these forms differ in format and submission guidelines and will not be accepted.

A. Accessing/O pening fil e / Sav i ng fil e:

1. The finalized budget workbook will be posted to the Security Portal once it is approved and processed by Grants Management. To begin the amendment process, download the approved budget file from the Security Portal - h t tps:/ / www4.d o e m a ss .org (Title IIA Grants and Amendments folder in Drop Box Central) - The file name will be 'FY12_140Budget_leacode_Final' – example FY12_140Budget_5678_Final).

2. As you open the file a dialog box may appear stating that ‘the workbook you are opening contains macros’. Click ‘Enable Macros’ to begin.

3. Save the file to your computer using the ‘Save As’ feature from your toolbar - b e s u r e to k e ep t he e x a ct f il e name as d e sig n ated b y t h e Dep a r t me nt . This file represents your final approved budget. Note: If you are using Microsoft Office 2007 you MUST save the file in an earlier version - .xls not .xlsx.

B. A c c e s sing w ork s h e et s :

To access each worksheet click on the appropriate grey tab at the bottom of the screen.

C. Budget Changes: To make line item changes enter the updated $ amounts on the Budget P ag e s. The budget pages and the amendment worksheet are linked by formulas; changes to the budget will automatically populate columns C and D of the ’Amendment’ form.

Make line item changes in the budget pages. The budget pages and amendment form are linked by formulas and any changes will automatically appear in columns C and D of the amendment form.

D. Amendment Form: Click on the Amendment (AM1) Form and complete the yellow highlighted areas only: Part I: J – Name of person completing this report; Part II – Justification; and Part III – Authorized signature.

19 20 IM P O R T A NT N O T E : Do not try to enter information in Part III (Columns A, B, C and D) these cells are linked to the budget pages and are password protected. If you have completed the changes to the budget page line items these changes will show up in columns C and D.

E. S u b m i t ti ng A men d ment s :

When the amendment is ready for submission, UPLOAD the entire budget workbook to Title IIA Grants and Amendments of Drop Box Central in the Security Portal. B e s u r e to main t a in t he s a m e filen a me t hat t he Depart m ent u s e d w hen f inali z ing the fil e .

Mail o ne copy of the of the Amendment (AM1) form with an original signature in Part III to:

Title IIA- Educator Policy and Preparation, 3rd Floor Massachusetts Department of Elementary and Secondary Education 75 Pleasant Street Malden, MA 02148

Do not forget to mail in an original signed copy of the Amendment form.

F. A p p ro v ed A men d m e n ts :

Once the amendment has been approved, a signed hard copy will be mailed back to the contact person listed on the Amendment (AM1) form. An updated budget workbook will be posted back into the Security Portal to Title IIA Grants and Amendments in Drop Box Central. Notification of the upload of the amended workbook will be sent, via email, to the Title Program Coordinator.

21 Appendix

A. Equitable Services for Eligible Private School Teachers, and Other Educational Personnel

B. Title II-A Guidance for Districts

C. Regulations for Educator Licensure and Preparation Program Approval

D. Recertification Guidelines for Massachusetts Educators

E. Massachusetts 2001 State Plan for Professional Development

F. Guidelines for Induction Programs

G. Critical Shortage: Waivers to Hire Retired Teachers

H. MA Policy Guidance Related to Highly Qualified Teachers and Paraprofessionals