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PENSEC Instructions, FY 2013-14

Pupil Estimates for New or Significantly Expanding Charters (PENSEC) instructions for fiscal year (FY) 2013-14.

Charter schools that are in their first year of operation and will begin instruction by September 30th, and continuing charter schools that are significantly expanding (e.g., adding a grade level or some other qualifying event), may receive a special advance and/or allocation on their funding for programs such as General Purpose Entitlement, Charter Schools Categorical Block Grant, and certain state and federal categorical programs.

The special advance and/or allocation is based on estimates of the school's upcoming enrollment, average daily attendance (ADA), and/or pupil demographic data. These data estimates are submitted in the Pupil Estimates for New or Significantly Expanding Charters (PENSEC) report. For most state and federal programs, PENSEC entitlements will be revised, and allocations adjusted, when actual counts are reported in the Charter School 20 Day Attendance Report (20 Day), the first and second principal apportionments (P-1 and P-2), and the California Longitudinal Pupil Achievement Data System (CALPADS).

Care should be taken when estimating pupil counts. Overpayments will be recaptured by the CDE, either through a reduction in the school’s next apportionment/allocation or by invoicing the school.

NOTE: For some federal categorical programs (e.g., Title I, Title II, Title III), funding is based on prior year data. Because a new or significantly expanding charter school will have nonexistent or understated prior year data, the law allows these schools to be funded based on current year estimates. To take advantage of this provision, a new or significantly expanding direct funded charter school must submit the PENSEC report. In addition, to receive federal funds the direct funded school must also meet federal program eligibility requirements and elect to participate in such federal programs by submitting a Consolidated Application.

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County

Use the County drop down list to select the county associated with the charter school.

District

Use the District drop down list to select the charter school’s authorizing agency.

School

Use the School drop down list to select the charter school.

PIN

Enter the charter school’s personal identification number (PIN). The PIN to use for the PENSEC report is the same as was provided by the California Department of Education’s (CDE’s) Charter Schools Division for use with the Charter Schools Annual Information Survey.

For assistance with a PIN, please send an e-mail to Melissa Collier, Analyst, Office of Charter Apportionments and District Reorganization, at mcollier@cde.ca.gov, or Dee Salerno, Consultant, Office of Charter Apportionments and District Reorganization, at dsalerno@cde.ca.gov.

Report Sections

The four sections of the PENSEC report are:

Sections 1, 2, and 4 are completed by all charter schools submitting the PENSEC report. Section 3 – Average Daily Attendance by District of Residence, is only required of new or significantly expanding county program or countywide charter schools authorized pursuant to Education Code (EC) sections 47605.5 or 47605.6 External link opens in new window or tab.  [http://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode=EDC&division=4.&title=2.&part=26.8.&chapter=2.&article=] and funded under the block grant.

Section 1 - General Information

Different data elements are required of new and significantly expanding charter schools so the first step in the PENSEC report is to indicate the charter school’s filing status. Contact information for the person completing the report is also required.

Charter Status

Specific criteria must be met before a new or significantly expanding charter school is eligible to receive a special advance of state or federal funding. NOTE: For federal funding, in addition to filing a PENSEC report, a direct funded charter school must also meet federal program eligibility requirements and elect to participate in such federal programs by submitting a Consolidated Application.

Based on the following criteria select the radio button that indicates the charter school’s status for FY 2013-14:

New Charter School for FY 2013-14

A charter school is considered new for purposes of the PENSEC report if it is in its first year of operation, will begin instructing students between July 1 and September 30 EC Section 47652 External link opens in new window or tab. [http://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode=EDC&division=4.&title=2.&part=26.8.&chapter=6.&article=5.], and meets either of the following conditions:

A charter school is also considered new for purposes of the PENSEC report if its charter number has changed.

Significantly Expanding Charter School for FY 2013-14

A charter school is considered significantly expanding for purposes of the PENSEC report if it meets the following condition(s):

Neither

If a charter school does not meet the criteria for FY 2013-14 of either a new charter school or a significantly expanding charter school, the PENSEC report is not applicable and may not be submitted.

Contact Information

Provide contact information for the person completing the PENSEC report, including name, telephone number, facsimile (FAX) number, and e-mail address. The telephone and FAX numbers must include the area code and be in the format of xxx-xxx-xxxx. The e-mail address must be in a commonly recognized format such as xxxxx@xxxx.xxx.

Section 2 - Funding Data Elements

Estimated enrollment, ADA, and pupil demographic data are collected in the PENSEC report in order to calculate an advance on state funding, and entitlements with current year data on federal funding, for FY 2013-14. While these are estimates only, they are subject to review by your authorizing entity. Supporting documentation may be requested.

Section 2 will automatically display the questions relevant to either a new or significantly expanding charter school based on the charter status selection in Section 1.

Enrollment Data

Enter the estimated count of all pupils who are expected to be enrolled in the charter school as of October 2013. For continuing charter schools that anticipate significant expansion, estimated enrollment should be at least 25 percent greater than the October 2012 enrollment as reported in the California Longitudinal Pupil Achievement Data System (CALPADS) Fall 1 submission in order to receive a special advance of federal funds. When available, the October 2012 CALPADS enrollment may be viewed using DataQuest on the CDE’s Web site [http://dq.cde.ca.gov/dataquest]. Note: The CDE will use final certified CALPADS Fall 1 enrollment data when determining eligibility for significant expansion.

Enter the estimated October 2013 enrollment as a whole number and include:

New charter schools must also enter the school’s current enrollment (i.e., the count of students confirmed enrolled as of the date the PENSEC is being prepared) and the enrollment count that was used to build the school’s first-year budget in the charter petition.

New Grade Level

For expanding charter schools, indicate Yes or No to whether the charter school will be adding at least one grade level in FY 2013-14. If Yes, select each grade that will be added. Note: If a grade level had any ADA in the prior year, including if it was only a minor amount or was for independent study, it may not be reported in the PENSEC report as a new grade level.

Instruction Begins

For significantly expanding charter schools, report the estimated date the school is scheduled to open and begin instruction (mm/dd/yyyy). New charter schools should have already reported the date instruction will begin in the Charter Schools Annual Information Survey.

Average Daily Attendance - New Schools

ADA is the measure of actual student attendance, which differs from the number of students signed-up (enrolled) to attend school. ADA is defined as the total number of days of student attendance divided by the total number of days in the regular school year. A student attending every day of the school year would equal one ADA. ADA usually is lower than enrollment due to factors that prevent students from attending such as students moving, dropping out, or staying home on any given day due to illness. 

Estimate the charter school’s ADA, by grade span, for the FY 2013-14 Second Principal Apportionment (P-2) reporting period (see following for Title 5, Section 11960, Article 1, Charter School Regular Average Daily Attendance). Include with the regular ADA by grade span Extended Year Special Education Special Day Class and Extended Year Special Education, Nonpublic, Nonsectarian Schools EC sections 56366(a)(7) External link opens in new window or tab. [http://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode=EDC&division=4.&title=2.&part=30.&chapter=4.&article=4.] and 56836.16. ADA is reported to two decimal places.

For charter schools sponsored by a unified school district pursuant to EC Section 47632(i) External link opens in new window or tab. [http://leginfo.legislature.ca.gov/faces/codes_displayexpandedbranch.xhtml], resident and nonresident ADA should be combined for each grade span.

Average Daily Attendance - Expanding Schools

Schools that are significantly expanding will have previously reported to the CDE FY 2012-13 P-2 ADA by grade span. In order for the CDE to calculate the advance funding for the new grade level(s), the FY 2012-13 ADA by grade span must be further broken down in the PENSEC report by individual grades.

Pursuant to EC Section 47652(b) External link opens in new window or tab. [http://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode=EDC&division=4.&title=2.&part=26.8.&chapter=6.&article=5.], when the state special advance is calculated the ADA funded for the new grade level(s) will be capped at the P-2 ADA reported for the charter school’s highest grade in FY 2012-13. The CDE will cap the ADA, as necessary, before calculating the charter school’s special advance funding for the general purpose entitlement and the charter categorical block grant.

Addition of an Educational Program

Indicate for FY 2013-14 whether the addition of one or more educational programs in major curriculum areas will occur. If Yes, provide a brief description.

Other Significant Event

Indicate for FY 2013-14 whether there is any significant event that is unlikely to occur on a regular basis, other than the addition of one or more grade levels or educational programs in major curriculum areas, that would lead to at least a 25 percent increase in October 2013 CALPADS Fall 1 enrollment. If Yes, provide a brief description.

Pupil Demographic Data

Estimate the following pupil data for FY 2013-14:

Federal Income Eligibility Guidelines

The following table is for use in estimating the FY 2013-14 numbers of pupils eligible for the free and reduced price meals program and those pupils considered to have a family income that is economically disadvantaged:

Household Size Economically Disadvantaged Income Eligibility Guidelines Federal Poverty Guidelines (Annual Income) National School Lunch Program Income Eligibility Guidelines
Effective 7/1/13 to 6/30/14
Free Meals - 130%
(Annual Income)
National School Lunch Program Income Eligibility Guidelines
Effective 7/1/13 to 6/30/14
Reduced Price Meals - 185%
(Annual Income)

1

11,490

14,937

21,257

2

15,510

20,163

28,694

3

19,530

25,389

36,131

4

23,550

30,615

43,568

5

27,570

35,841

51,005

6

31,590

41,067

58,442

7

35,610

46,293

65,879

8

39,630

51,519

73,316

Each Additional Person Add

4,020

5,226

7,437

Source: Federal Register, Vol. 78, No.61, Friday, March 29, 2013, pp. 19179

Section 3 - Average Daily Attendance by District of Residence

A charter school reporting ADA in the PENSEC report that is a county program charter or a countywide charter pursuant to EC sections 47605.5 or 47605.6 External link opens in new window or tab. [http://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode=EDC&division=4.&title=2.&part=26.8.&chapter=2.&article=] and funded under the block grant must also report the ADA by school district of residence. The total ADA entered by district of residence must balance to the ADA entered in Section 2 – Funding Data Elements

To add districts of residence, do the following sequence until all districts applicable to the school have been added:
County of Residence

Select the appropriate county of residence using the drop down list.

District of Residence

Select the appropriate district of residence using the drop down list.

Data Entry

For the district of residence selected, enter the estimated FY 2013-14 ADA then click “Save District.” Continue the sequence, entering estimated ADA for districts of residence, until all FY 2013-14 ADA have been added for new schools. For expanding schools, continue the sequence until the 2013-14 ADA for the new grade level(s) have been added.

To modify data previously entered, select the county and district from the drop down lists, then modify the data and click “Save District.” To delete a district, select the county and district from the drop down lists, then click “Delete District.”

The data entered for all districts will display in the “County and Sponsoring District of Residence” table following the data entry section. Once data entry is complete, click “Verify Data.” If error messages indicate that the ADA does not balance between this Section 3 – District of Residence, and Section 2 – Funding Data Elements, correct the data in either section so that they balance.

Section 4 - Review, Submit and Certify the Data

Once data entry is complete, the PENSEC report should be printed, reviewed for accuracy, and then submitted online to the CDE. If ADA is being reported, a certification will automatically be made available and should be printed, signed, and then mailed to the CDE.

Data with signed certifications (if ADA is being reported) received by the CDE by 7/31/13 will be included in the 2013-14 charter school special advance apportionment process. Data or certifications received after that date but by 9/30/13 may be included in later apportionments and/or allocations, including the federal Title I allocation.

Review the Data

Since the data entry screens cannot be accessed once the data is submitted to the CDE it is important that the data be carefully reviewed prior to submission. To review the data, click the “Print PENSEC Report” button then click "open". The report will display on the screen and can be printed using the browser’s Print button. After closing the print window, if corrections to the data are needed, click “Return to Data Entry” and navigate to the data that needs correcting. Make sure to print another copy of the PENSEC report if changes are made.

Submit the PENSEC Report

Once the data are correct and ready to submit to the CDE, click “Submit PENSEC Data to CDE.” You will be asked to confirm the submission. If “Yes” is clicked the data are submitted on-line to the CDE and a confirmation is provided showing the date and time of the submission.

There are different submission components and reporting due dates depending on the type of funding being requested:

After the data have been submitted the data entry screens are no longer accessible but the data report and certification (if applicable) may be accessed and printed. If corrections to the data are needed, please contact Melissa Collier, Analyst, Office of Charter Apportionments and District Reorganization, at 916-445-7354 or by e-mail at mcollier@cde.ca.gov.

Data Certification

PENSEC reports that include ADA and that have a successful submission will automatically be provided with a “Print Data Certification” button in the PENSEC. District of Residence ADA entered for the school will automatically be included in the certification. Submissions that include ADA will not be considered complete until the signed certification is received by the CDE.

Once the certification is printed, obtain the necessary signatures from, as applicable, the charter school representative, the superintendent of the authorizing entity, the county superintendent of schools, or the State Board of Education/CDE. The charter school must sign the certification block in order for the data to be processed. Authorizers and county offices must also sign, but they have signature blocks for either certification or non-certification. If non-certification is signed, the reasons for this must be sent to the CDE for further review.

Mail the certification with original signatures to:

California Department of Education
School Fiscal Services Division
1430 N Street, Suite 3800
Sacramento, CA 95814
Attention: Melissa Collier

Guidance on Calculating ADA
TITLE 5. Education
Division 1. California Department of Education
Chapter 11. Special Programs
Subchapter 19. Charter Schools
Article 1. Charter School Regular Average Daily Attendance

§11960. Regular Average Daily Attendance for Charter Schools.

(a) As used in Education Code section 47612, “attendance” means the attendance of charter school pupils while engaged in educational activities required of them by their charter schools, on days when school is actually taught in their charter schools. “Regular average daily attendance” shall be computed by dividing a charter school's total number of pupil-days of attendance by the number of calendar days on which school was actually taught in the charter school. For purposes of determining a charter school's total number of pupil-days of attendance, no pupil may generate more than one day of attendance in a calendar day.

(b) The State Superintendent of Public Instruction shall proportionately reduce the amount of funding that would otherwise have been apportioned to a charter school on the basis of average daily attendance for a fiscal year, if school was actually taught in the charter school on fewer than 175 calendar days during that fiscal year.

(c)(1) Beginning in 2004-05, a pupil who is over the age of 19 years may generate attendance for apportionment purposes in a charter school only if both of the following conditions are met:

  1. The pupil was enrolled in a public school in pursuit of a high school diploma (or, if a student in special education, an individualized education program (IEP)) while 19 years of age and, without a break in public school enrollment since that time, is enrolled in the charter school and is making satisfactory progress towards award of a high school diploma (or, if a student in special education, satisfactory progress in keeping with an IEP) consistent with the definition of satisfactory progress set forth in subdivision (h) of Section 11965.
  2. The pupil is not over the age of 22 years.

(c)(2) This subdivision shall not apply to a charter school program specified in Education Code section 47612.1. A charter school program as specified in Education Code section 47612.1 may be either:

  1. The whole of a charter school, if the school has an exclusive partnership agreement with one or more of the programs specified in Education Code section 47612.1 and serves no other pupils; or
  2. An instructional program operated by a charter school that is exclusively dedicated to pupils who are also participating in one of the programs specified in Education Code section 47612.1, provided that arrangement is set forth in an exclusive partnership agreement between the charter school and one or more of the programs specified in Education Code section 47612.1.

(d) No individual who is ineligible to generate attendance for apportionment purposes in a charter school pursuant to subdivision (c) may be claimed as regular attendance for apportionment purposes by a local education agency that is authorized by law to grant charters. This subdivision shall not apply to claims other than claims for regular attendance for apportionment purposes.

NOTE: Authority cited: Section 33031, Education Code. Reference: Sections 41420, 46301 and 47612, Education Code.

Questions: Melissa Collier | mcollier@cde.ca.gov | 916-445-7354 
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