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New York State Education Department

Charter Schools Office

FY13-14 Federal Charter Schools Program (CSP)

Continuation Orientation

July 18, 2013

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Webinar Logistics

Blackboard is an integrated webinar software that provides both visual and audio through your computer. If you are having technical difficulties, please contact Susan DuFour at 518-474-9408 or kgearhar@mail.nysed.gov for assistance.

Please use the chat function to ask questions. We will pause to answer questions frequently.

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Today’s Audience

Representatives from schools that are completing the planning phase of the CSP grant and want to understand the implementation phase (also referred to as continuation phase).

Consultants assisting charter schools with completing documents to access CSP implementation grant funds.

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Purpose of Webinar

The NYSED Charter School Office is offering this webinar to all eligible applicants who will be receiving federal CSP implementation funds. During this webinar we hope to:

Forms

Explain the required application forms for implementation grants and the forms to close out your prior grant year.

Provide a timeline showing you how long it takes to complete the documents and get your initial 20% payment

Enrollment Preferences

Allowability and Grant Management

Monitoring

Independent Auditor Agreed-Upon-Procedure Report

Answer your questions

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What is the CSP Grant?

The New York State Education Department received a five year Federal Charter Schools Program (CSP) grant that runs from 2011-2016. Funding is under Title V, Part B of the No Child Left Behind Act

of 2001 (NCLB) The primary purpose of the grant is to award sub-grants for

charter school planning, program design and initial implementation

Student achievement is also evaluated and reported to USDOE on an annual basis

This grant program also supports the dissemination of charter school best practices

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Amount of CSP Funds NYS Allocation Amounts:

$500,000 base amount, max amount of $750,000 Meeting Program Authorizer Design Priority will

increase award to $750,000 (determined at application)

Underserved Student Population Priority will increase award to $625,000 (determined after Year 1)

CSP Grantees cannot receive both incentives, as it would push award past $750,000 max amount

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CSP Grant Web Help

The CSP general grant webpage is located at: http://www.p12.nysed.gov/psc/grants.html

The link for 2013-14 CSP Continuation Funding is located at: http://www.p12.nysed.gov/psc/funding/1314cspcontapp.html

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Planning and Program Design

Planning and program design of the charter school educational program may include expenditures for:

Refinement of the desired educational results and of the methods for measuring progress toward achieving those results, and

Professional development of teachers and other staff who will work in the charter school.

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Initial Implementation

For initial implementation of the charter schoolexpenditures can be made for:

• Informing the community about the school, • Acquiring necessary equipment and educational materials and

supplies, • Acquiring or developing curriculum materials, and • Other initial operating costs that cannot be met from State or

local sources (per supplement, not supplant requirement)

*Note: After July 1 CSP funds cannot be used for costs met from State or local sources, such as rent or teacher salaries. July 1 is the date charters begin receiving per pupil funding from Districts. This prevents violating the ‘supplement not supplant’ requirement for Federal grant funds.

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Three Budget Periods

CSP grant funds can be used for up to 36 months within three budget periods: up to 18 months of planning (generally budget period 1)

up to 24 months of implementation (generally budget periods 2 & 3)

= 36 months

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Budget Periods: Example 1

A master contract with dates from 1/1/13 – 8/31/15 is divided into three budget periods.

Planning Phase (before school opens): Budget period 1 might be from 1/1/13 – 08/31/13

School Opens on 9/1/13

Implementation Phase (24 months): Budget period 2 would be from 9/1/13 to 8/31/14

Budget period 3 would be from 9/1/14 to 8/31/15

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Budget Periods: Example 2

A master contract with dates from 10/1/12 – 8/31/15 is divided into three budget periods.

Planning Phase (before school opens): Budget period 1 might be from 10/1/12 – 8/31/13

School Opens on 9/1/13

Implementation Phase (24 months): Budget period 2 would be from 9/1/13-8/31/14

Budget period 3 would be from 9/1/14-8/31/15

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Budget Periods: Example 3

A master contract with dates from 3/1/12 – 2/28/15 is

divided into three budget periods.

Planning (before school opens): Budget period 1 might be from 3/1/12-2/28/13

Planning and Implementation Phase: Budget period 2 would be from 3/1/13-2/28/14

Implementation Phase: Budget period 3 would be from 3/1/14-2/28/15

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Budget Periods: Example 4

A master contract with dates from 9/14/11-8/31/14 is

divided into three budget periods.

Planning Phase (before school opens): Budget period 1 might be from 9/14/11-8/31/12

School Opens on 9/1/13

Implementation Phase (24 months): Budget period 2 would be from 9/1/12-8/31/13

Budget period 3 would be from 9/1/13-8/31/14

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Continuation Application

In order to process your continuation application, forms are needed to initiate the 2013-14 grants and to close the 2012-13 grants.

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2013-14 Continuation Forms

Due July 29, 2013: 2013-14 Grant Cover Page (Form A)*

2013-14 FS-10 (Form C)*

2013-14 Budget Workplan and Annual Project Update (Form B) Please consult the instructions for guidance.

2013-14 Contract Budget Summary (Form D)

* Must be mailed

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2013-14 Continuation Forms

Requested by July 29, 2013:

2012-13 Annual Project Progress Report (Form E)

2012-13 Equipment Monitoring (Form F)

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2013-14 Continuation Forms

Due 90 days after the end of the 2012-13 grant period:

FS-10F Long Form (Form G)

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Grant Cover Page

Must be filled out and signed by either Chief Administrative Officer or the BOT president. Cannot be signed by CMO.

This binds the Charter School to the terms, assurances, and conditions specified in the CSP Application Materials.

Must be signed in blue ink. 2013-14 Grant Cover Page (Form A)

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CSP FS-10 Form

Enter the budget for either budget period 2 or budget period 3.

The items must be consistent with the expenditures in your CSP application implementation budget.

The budget summary page must be signed by chief administrative officer (not CMO).

2013-14 FS-10 (Form C) - please use Excel version

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Project Workplan and APU

There are two sections with different due dates:

Workplan Chart is part of the continuation application

Annual Project Update is not submitted until the end of the budget period.

2013-14 Budget Workplan and Annual Project Update (Form B)

Please consult the instructions for guidance.

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CSP Contracts

Please read your contracts. Much of the information needed can be found within them.

When staff or leadership changes, make sure the new person has a copy of the contract and reads it. It contains important information!

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Payments (FS-25)

Upon FS-10 approval: You receive an initial 20% payment of your budget total.

Monthly: FS-25 forms are used to request 70% of your budget funds. To help expedite payments, it is recommended you complete these forms on a monthly basis. Cash payments prior to the end of the grant period cannot exceed 90% of a grant’s budget.

End of Budget Period: FS-10F forms are used to request the remaining 10% of your Budget A funds and close out your budget period.

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Amendments (FS-10A)

Amendments to your CSP grant’s budget are allowable but must be initiated no less than two months before the end of your current budget period.

Example: If your 2012-2013 budget period ends 8/31/13, the CSO needs to have received your email request by July 1, 2013.

To be approvable, budget amendments must:

Fall within the already approved activities listed in your grant application Stay within the confines of the non-regulatory and federal guidance that govern your grant. 

Non-regulatory guidance can be found at: http://www.p12.nysed.gov/psc/documents/2011cspnonregulatoryguidance.pdf, and

Contain a valid justification for the change(s) requested.

Visit http://www.p12.nysed.gov/psc/Amendment.html for full instructions on submitting amendments.

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Federal Regulations

Full information can be found at: http://www.p12.nysed.gov/psc/EDGAR.html

1.) Interest amounts earned over $100 on federal funds must be remitted to the United States Department of Education.

2.) Advance payments are allowed only when a local agency can demonstrate willingness and ability to maintain appropriate procedures that minimize the time between the receipt and the disbursement of grant funds.

What does this mean?No parking of money in a bank account!

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USDOE (West Ed) Monitoring

Grants can and will be monitored for compliance to federal and state regulations during your award period. USDOE will be visiting a few NYS schools receiving CSP Funds during 2012-13. Good recordkeeping from the start will make this process easier on the schools.

A few CSP sub-grant recipients will be monitored by USDOE beginning in January 2014 for the 2012-13 CSP grant year. West Ed is the contractor for USDOE doing this monitoring.

They may look at: Recordkeeping: Grant files including application, and budget tracking sheets Administration and use of CSP funds: budget with actual expenditures,

samples of invoices, inventory list Transfer of student records: That student records, and IEP’s if applicable

accompany the student’s transfer to or from a charter school

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Past Issues re: Reporting & Monitoring

Some issues identified with prior monitoring: Funds not being used in reasonable time period Checks not deposited in timely fashion Not signed up for E-pay Need stronger accounting systems in place for

schools with staff funded by grant after opening Revenue and expenditures not recorded separately within

general ledger by grant and within dedicated account codes. Staff paid with grant funds have not completed personnel

activity reports.

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Allowability

OMB Circular A-122 establishes principles for determining allowable costs for federal grants to non-profit entities

As a general matter, costs must be: Reasonable Necessary Allocable to meet the objectives of the grant

Power Point Slides on Allowability and Grants Management   

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Allowable CSP Expenditures

Refinement of the desired educational results and of the method for the measuring progress towards achieving those results

Professional development of teachers and other staff who will work in the charter school

Acquiring necessary equipment, educational materials and supplies

Acquiring or developing curriculum materials

Other initial operating costs that cannot be met from State or local sources Supplement, NOT Supplant

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Other Initial Operating Costs

May include:Costs associated with creating/implementing

office functionsCosts associated with installation of

technology (i.e. telephones, computers, etc)Personnel Expenditures

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Time and Effort Statements

If personnel split their time between two or more activities they must complete a Personnel Activity Report (PAR):

Ongoing operational activities and implementation activities, or

Two grant programs, only that portion of the time associated with CSP activities is allowable as an initial operational cost.

Charter schools must maintain accurate time and effort records to document time on task per employee

Personnel Activity Report (PAR): www.p12.nysed.gov/accountability/consolidatedappupdate/documents/splitfundedPARSample.doc

If an employee’s salary is paid 100% from CSP funds then they complete a Payroll Certification (Semi-annual): www.p12.nysed.gov/accountability/consolidatedappupdate/documents/FulltimeEPCSample.doc

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Construction

CSP funds may not be used for construction. However,CSP funds may be used for necessary

maintenance, repair, or upkeep of buildings and equipment that neither add to the permanent value of the property nor appreciably prolong its life, but merely keep it in an efficient operating condition.

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Equipment

Initial implementation activities may include acquiring necessary equipment and educational materials and supplies.

The equipment must be necessary and reasonable for the proper and efficient performance and administration of the grant.

Equipment necessary to implement a charter school may include, but is not necessarily limited to: desks, chairs, computers, equipment related to physical

education and art, and playground equipment.

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Continuation Application Approval

For 2013-14 Continuation application:

8/1/13 – 8/15/13: SED CSO staff review 2013-14 Continuation forms submitted 8/15/13: SED CSO staff sends documents to SED Grants Finance

9/1/13: The initial payment of 20% of the 2013-2014 budget period is issued.

Earliest possible transfer of 2013-14 initial cash payment is 9/1/13. This assumes immediate turnaround of documents by the school.

For 2012-13 Final Expenditure Report:

9/1/13 – 12/31/13 or ASAP Send in FS-10-F long form SED CSO staff review FS-10-F Final payment for 2012-13 grant year is made

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Independent Auditor: Agreed Upon Procedures

Audit Guide  Charter School Audit Guide Summary   Auditor will look at overall expenditures for

reasonableness and test a sample of expenditures to determine if expenditures are in accordance with grant purposes, are applied to the correct budget category, and are recorded in the proper fiscal period.

Auditor will also review FS-25 form(s) submitted to NYSED and tie sample of expenditures into requests for reimbursement.

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Resources & Links

NYSED’s Charter School Office

SED Grants Finance Guidance and Information

National Charter School Resource Center

United States Department of Education Charter Schools Home Page

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Questions?

• Email: charterschools@mail.nysed.gov with the subject line: CSP Grant: Question

• Contact the CSP Grant Manager:Blair Gearhart

kgearhar@mail.nysed.gov

518-474-1762