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PENSEC Instructions, FY 2019-20

Pupil Estimates for New or Significantly Expanding Charters (PENSEC) instructions for fiscal year (FY) 2019-20.

The Charter School Special Advance web page provides additional information on the requirements to receive an apportionment and on the overall apportionment process.

Use the following instructions to complete the PENSEC report to receive a Charter School Special Advance apportionment and/or federal categorical preliminary entitlement. Care should be taken when estimating pupil counts. Overpayments will be recaptured by the California Department of Education (CDE), either through a reduction in the school’s next apportionment/allocation or by invoicing the school.

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, federal law allows charter schools with a funding model of “direct” to be funded for the changes 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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If your charter is not in the drop down lists but is eligible to file the PENSEC report, please send your request by email to csspecialadvance@cde.ca.gov and include your charter school name, number, and 14-digit county-district-school (CDS) code. NOTE: A charter school MUST have a complete CDS code to participate in the PENSEC.

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 PENSEC PIN is the same PIN as was provided by the CDE’s Charter Schools Division for use with the Charter Schools Annual Information Survey.

For assistance with a PIN, please send your request by email to csspecialadvance@cde.ca.gov and include your charter school name, number, and 14-digit CDS code.

Report Sections

The four sections of the PENSEC report are:

  • Section 1 – General Information
  • Section 2 – Funding Data Elements (ADA and/or pupil demographic data)
  • Section 3 – Average Daily Attendance by District of Residence
  • Section 4 – Review, Submit and Certify the Data

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 for 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., respectively.

Section 1 - General Information

Different data elements are required to be submitted depending on whether the charter school is new or expanding, 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.

Based on the following criteria, select the radio button that indicates the charter school’s status for FY 2019–20:

New Charter School for FY 2019–20

A charter school is considered new for the purpose 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., and meets any of the following conditions:

  • Is instructing students for the first time in FY 2019–20 and did not receive state funds for general operations in FY 2018–19 as a charter school. This would include new charter schools that received a startup or implementation grant in FY 2018–19 under the Public Charter Schools Grant Program as long as they did not also receive LCFF State Aid funds
  • Converted to a charter school from a traditional public school in FY 2019–20
  • Instructed students as a charter school in 2018–19 and is instructing students in 2019–20 under a new charter number

Questions about a charter school's status should be directed to csspecialadvance@cde.ca.gov.

Significantly Expanding Charter School for FY 2019–20

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

  • For state funding, the charter school is adding at least one grade level EC Section 47652(b) External link opens in new window or tab.
  • For federal funding, the charter is direct funded and has an increase in enrollment of at least 25 percent compared to the prior year and the increase is due to a significant event that is unlikely to occur on a regular basis, such as the addition of one or more grade levels or educational programs in major curriculum areas, or any other event deemed to be significant by the CDE (Title 34 of the Code of Federal Regulations, Section 76.787 External link opens in new window or tab.)
Neither

If a charter school does not meet the criteria for of either a new or a significantly expanding charter school for FY 2019-20, 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 email address. The telephone number (required) and FAX number (optional) must include the area code and be in the format of xxx-xxx-xxxx. The email address must be in a commonly recognized format such as xxxxx@xxxx.xxx.

Section 2 - Funding Data Elements

Estimated enrollment, average daily attendance (ADA), and pupil demographic data are collected in the PENSEC report in order to calculate state and federal entitlements for FY 2019–20. These estimates 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.

New Charter School

Enrollment Data

1a. Enter the estimated count of all pupils who are expected to be enrolled in the charter school as of October 2019. Enter as a whole number and include:

  • All grade levels (K–12)
  • Ungraded elementary (any student in kindergarten through grade 8 in an ungraded program including special education students in special day classes)
  • Ungraded secondary (any student in grades 9 through 12, except adults in a K–12 program in an ungraded program including special education students in special day classes)
  • Students over the age of 19 who have been continuously enrolled in public school and working toward a high school diploma
  • Students over the age of 19 and participating in a program that provides instruction exclusively in partnership with entities specified in EC Section 47612.1 External link opens in new window or tab.

1b. Enter the school’s current enrollment (i.e., the count of students confirmed enrolled as of the date the PENSEC is being prepared).

1c. Enter the enrollment count that was used to build the school’s first-year budget in the charter petition.

Attendance Data – Average Daily Attendance

ADA is the measure of actual student attendance, which differs from the number of students signed-up (enrolled) to attend school. For most programs, ADA is defined as the total number of days of student attendance divided by the total number of days in the regular school year. When estimating ADA for the PENSEC, include only days of attendance, not absences (excused or unexcused).

To aid with estimating ADA, following are the latest Statewide Absence Rates calculated using FY 2017–18 P-2 apportionment ADA:

  • Elementary (K–8): 4.61%
  • High (9–12): 6.34%

The statewide absence rates were calculated using 2017–18 elementary school district (K–8) and high school district (9–12) ADA reported as of the P-2 apportionment, divided by Fall Census Day enrollment (October 2017).

2. Estimate the charter school’s ADA, by grade span, for the FY 2019–20 P-2 reporting period (see Title 5, Section 11960, Article 1 External link opens in new window or tab., Charter School Regular Average Daily Attendance). Include with the regular 2019–20 estimated P-2 ADA any Extended Year Special Education Special Day Class and Extended Year Special Education, Nonpublic, Nonsectarian Schools per EC sections 56366(a)(7) External link opens in new window or tab. and 56836.165 External link opens in new window or tab.. ADA is reported to two decimal places.

If the school will operate multiple tracks, estimate the ADA for each track separately by grade span and then sum each track’s ADA to report as one number for the PENSEC. For example, if the estimated grades K-3 ADA for Track A is 19.50, and estimated grades K-3 ADA for Track B is 17.00, then you would report estimated grades K-3 ADA of 36.50 in the PENSEC.

Pupil Demographic Data

Estimate the following pupil data for FY 2019–20:

3a. Free and Reduced Price Meals: Using the 2019– 20 Federal Income Eligibility Guidelines External link opens in new window or tab., estimate how many of the pupils reported in the estimated October 2019 enrollment count, ages 5–17, may be eligible based on their family income for the free and reduced price meals program for FY 2019–20.

3b. English Learners: Estimate how many of the pupils reported in the estimated October 2019 enrollment count (question 1a) will be English learners (EL) in FY 2019–20. An EL is a student who is aged 3 through 21 and has been determined to lack the clearly defined English language skills of listening, comprehension, speaking, reading, and writing necessary to succeed in the school’s regular instructional program. To be designated an EL, there must be a report of a primary language other than English on the “Home Language Survey” and a determination from the English Language Proficiency Assessments for California (ELPAC). New charter schools should estimate EL counts based on the number of pupils they anticipate will, upon either initial or annual assessment, be determined to be English learners.

3c. Immigrant Students: Estimate how many of the pupils reported in the estimated October 2019 enrollment count (question 1a) will be Immigrant students in FY 2019–20. An Immigrant student is a student who (a) is aged 3 through 21, (b) was not born in any state, and (c) has not been attending one or more schools in any one or more states for more than three full (cumulative) academic years. Section 3301(14) of the ESEA defines State as each of the 50 States, the District of Columbia, and the Commonwealth of Puerto Rico. Note that the Immigrant enrollment data includes only those Immigrant students who have not been attending a U.S. school for more than three full academic years. Immigrant students who have been enrolled longer than three years (cumulative) are not included in the data. New charter schools should estimate Immigrant counts based on an average of the Immigrant percentage rates of several neighboring schools with similar demographics regarding the targeted population.

3d. Unduplicated Pupil Count: Estimate how many of the students reported in the estimated October 2019 enrollment count (question 1a) will meet the definition of an Unduplicated Pupil. An Unduplicated Pupil is a student who is classified as an EL (see 3b), is eligible for a free or reduced-price meal (see 3a), or is a foster youth. If the student qualifies in more than one category, count them only once for the Unduplicated Pupil Count.

Charter Physical Location

4. Charter Physical Location: Select all school districts where the charter school will be physically located or have a school facility. The districts selected are to be based on the charter school’s physical locations and may include districts that are in addition to, or differ from, the charter school’s authorizing district. A charter school with a single location that falls within the boundaries of multiple districts, such as their location/facility falls within both an elementary and a high school district, should report both districts in their list of physical location data.

A charter school 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., respectively, is required to report physical location data. For additional information and examples of sites that could be considered physical locations for LCFF, see PADC Software Webinar Frequently Asked Questions. NOTE: These examples are for clarification and are not intended to restrict the definition of physical location.

Pursuant to EC Section 42238.02(f)(2) External link opens in new window or tab., when calculating various aspects of the LCFF State Aid (e.g., Unduplicated Pupil Percentage for Concentration Cap, Newly Operational Charter School Floor), the CDE will automatically include in the charter school's list of physical locations its authorizing district, or sponsoring district if the charter school was approved by the county office of education (COE) or the State Board of Education (SBE) on appeal. Therefore, if the charter school's authorizing or sponsoring district is the only district the school will be located in, it is not necessary to report physical location data in the PENSEC.

To add school districts, do the following sequence until all districts applicable to the charter school's physical locations have been added:

County

Select the county where the district is located using the drop down list.

School District

Select the district where the school will be physically located or have a school facility using the drop down list, then click “Save District.” This list is school districts only; COEs are not applicable. To delete a school district previously entered, select the county and district from the drop down lists, then click “Delete District.”

A list of school districts selected and saved will display in a table following the data entry section.

Significantly Expanding Charter Schools

For continuing charter schools, significant expansion can be the addition of at least one grade level or some other qualifying event that includes an estimated October 2019 enrollment of at least 25 percent greater than the October 2018 enrollment as reported in the CALPADS Fall 1 submission. The October 2018 CALPADS enrollment may be viewed using DataQuest External link opens in new window or tab. on the CDE’s website. (The CDE will use final certified CALPADS Fall 1 enrollment data when determining eligibility for significant expansion).

State Funding - Grade Level Expansion

New Grade Level

1a. For expanding charter schools, indicate Yes or No to whether the charter school will be adding at least one grade level in FY 2019–20. 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, that grade level may not be reported in the PENSEC report as new. Also, transitional kindergarten (TK) and kindergarten are considered the same grade level for the purpose of attendance reporting.

1b. Identify by grade level FY 2018–19 P-2 ADA and FY 2019–20 estimated P-2 ADA for the new grade levels (see Title 5, Section 11960, Article 1 External link opens in new window or tab., Charter School Regular Average Daily Attendance). Include in the 2019–20 estimated P-2 regular ADA any Extended Year Special Education Special Day Class and Extended Year Special Education, Nonpublic, Nonsectarian Schools per EC sections 56366(a)(7) External link opens in new window or tab. and 56836.165 External link opens in new window or tab.. ADA is reported to two decimal places.

Schools that are significantly expanding will have previously reported to the CDE FY 2018–19 P-2 ADA by grade span. In order for the CDE to calculate the state first Charter School Special Advance funding for the new grade levels, FY 2018–19 P-2 ADA reported by grade span must be further broken down in the PENSEC by individual grades. Additionally, the estimated P-2 ADA for FY 2019–20 must be entered for the new grades being added. For each fiscal year and grade, enter total ADA in the left-most column, then in the next column enter how much of that grade’s ADA is classroom-based (see California Code of Regulations, Title 5, Section 11963 External link opens in new window or tab., Definition of Classroom-Based Instruction). The CDE will use this information during the apportionment process to calculate any nonclassroom-based ADA.

  • Enter in columns 1 (Total) and 2 (Classroom-based) a breakdown by grade of all FY 2018–19 P-2 ADA. The total of each column must equal the certified FY 2018–19 P-2 ADA reported to the CDE. The PENSEC report includes a table that displays the ADA reported to the CDE, the details of which can be seen using the “Charter School ADA” program report located in Funding Exhibits – Second Principal Apportionment
  • Enter in columns 3 (Total) and 4 (Classroom-based) the FY 2019–20 estimated P-2 ADA for just the new grade levels selected in Question 1a. As noted previously, you will not be able to enter 2019–20 estimated P-2 ADA for a grade level if any prior year P-2 ADA was reported for the grade

Pursuant to EC Section 47652(b) External link opens in new window or tab., when the state first Charter School Special Advance is calculated, the ADA funded for the new grade levels will be capped at the P-2 ADA reported for the charter school’s highest grade level served in FY 2018–19. Note that the cap is determined by the highest grade level served and not the grade level with the highest count of ADA. For example, if a charter school is adding Grade 11 with 150 ADA in the PENSEC, and it served Grade 9 with 130 ADA and Grade 10 with 120 ADA in the prior year, the new Grade 11 ADA will be capped in the Charter School Special Advance at 120 because Grade 10 was the highest grade served. Report the full new grade level ADA in the PENSEC and the CDE will cap the ADA, as necessary, before calculating the first Charter School’s Special Advance funding for LCFF State Aid.

Federal Funding - Significant Expansion

Enrollment and Instructional Programs

2a. Indicate whether the estimated October 2019 enrollment will be at least 25 percent greater than the October 2018 enrollment.

2b. Provide the estimated October 2019 enrollment count. Enter as a whole number and include:

  • All grade levels (K–12)
  • Ungraded elementary (any student in kindergarten through grade 8 in an ungraded program including special education students in special day classes)
  • Ungraded secondary (any student in grades 9 through 12, except adults in a K–12 program in an ungraded program including special education students in special day classes)
  • Students over the age of 19 who have been continuously enrolled in public school and working toward a high school diploma
  • Students over the age of 19 and participating in a program that provides instruction exclusively in partnership with entities specified in EC Section 47612.1 External link opens in new window or tab.

2c. Report the estimated date the school is scheduled to open and begin instruction (mm/dd/yyyy).

2d. Indicate for FY 2019–20 whether the addition of one or more educational programs in major curriculum areas will occur. If Yes, provide a brief description of the program(s).

2e. Indicate for FY 2019–20 whether there is a significant event (other than adding a grade level or educational program) that is unlikely to occur on a regular basis and that will lead to at least a 25 percent increase in October 2019 CALPADS Fall 1 enrollment. If Yes, provide a brief description of the event.

Pupil Demographic Data

2f. Free and Reduced Price Meals: Using the 2019-20 Federal Income Eligibility Guidelines External link opens in new window or tab., estimate how many of the pupils reported in the estimated October 2019 enrollment count, ages 5–17, may be eligible based on their family income for the free and reduced price meals program for FY 2019–20.

2g. English Learners: Estimate how many of the pupils reported in the estimated October 2019 enrollment count will be English learners (EL) in FY 2019–20. An EL is a student who is aged 3 through 21 and has been determined to lack the clearly defined English language skills of listening, comprehension, speaking, reading, and writing necessary to succeed in the school’s regular instructional program. To be designated an EL, there must be a report of a primary language other than English on the “Home Language Survey” and a determination from the English Language Proficiency Assessments for California (ELPAC).

2h. Immigrant Students: Estimate how many of the pupils reported in the estimated October 2019 enrollment count will be Immigrant students in FY 2019–20. An Immigrant student is a student who (a) is aged 3 through 21, (b) was not born in any state, and (c) has not been attending one or more schools in any one or more states for more than three full (cumulative) academic years. Section 3301(14) of the ESEA defines State as each of the 50 States, the District of Columbia, and the Commonwealth of Puerto Rico. Note that the Immigrant enrollment data includes only those Immigrant students who have not been attending a U.S. school for more than three full academic years. Immigrant students who have been enrolled longer than three years (cumulative) are not included in the data.

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., respectively, 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 a district of residence, do the following sequence until all districts applicable to the charter 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

Enter the charter school's estimated FY 2019–20 PENSEC ADA applicable to the district of residence selected, then click “Save District.” For new charter schools, continue the sequence until the total estimated ADA has been entered by district of residence. For expanding schools, continue the sequence until the estimated ADA by district of residence for just the new grade levels has been entered.

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 which includes those data elements used in the calculation of the charter school’s LCFF State Aid first Charter School Special Advance and first quarter EPA State Aid payment. The certification should be printed, signed by all parties with original wet signatures, and then transmitted to the CDE.

Data with signed certifications (if ADA is being reported) received by the CDE by July 31, 2019 will be included in the 2019–20 first Charter School Special Advance apportionment and first quarter EPA processes, as well as any applicable federal allocation calculations. Data or certifications received by the CDE after July 31, 2019 may cause the charter school to wait until a later apportionment to receive state funding, or to be ineligible for some federal funding in the current year.

Review the Data

The data entry screens cannot be accessed once the data is submitted to the CDE so 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 is 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 is submitted online to the CDE and a confirmation is provided showing the date and time of the submission.

There are different PENSEC submission components depending on whether state and/or federal funds are being requested. For the FY 2019–20 PENSEC:

Funding Request Report Submission Criteria* Type of Funding
State, or a Combination of State and Federal Funding (new or significantly expanding charters)
  • Include ADA as well as pupil demographic and other charter data
  • Submit data online to the CDE
  • Print, sign (original wet signatures) and mail the data certification to the CDE. All levels must sign including charter, authorizer, COE and/or SBE/CDE, as applicable (see following for additional information)
  • Data and certification due to the CDE by 7/31/2019
Federal Funding Only (significantly expanding charters)
  • Include pupil demographic and other charter data, but no ADA
  • Submit data online to the CDE
  • Data certification not required
  • Data due to the CDE by 7/31/2019
  • Allocation of applicable federal funds (e.g., Title I, Title II, Title III)

After the data has 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 send a request to re-open the report by email to csspecialadvance@cde.ca.gov and include your charter name, charter number, and 14-digit CDS code.

NOTE: New charter schools to be numbered by the SBE in September 2019 that are both direct funded and interested in applying for FY 2019–20 federal funds should contact Leslie Sharp with the CDE’s Categorical Allocations and Management Assistance Unit, by phone at 916-323-4977 or by email at lsharp@cde.ca.gov.

Data Certification

PENSEC reports that include ADA and that have a successful data 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 will not be considered complete until the fully signed certification with wet signatures is received by the CDE.

As the first level approver, the charter school representative must sign the Data Certification in the certification block in order for the data to be processed. Second and third level approvers (e.g., school districts, COEs, SBE Charter Oversight Unit) must also sign the Data Certification in either the certification or non-certification signature blocks. If non-certification is signed, the reasons for this must be sent to the CDE along with the Data Certification for further review.

Charter schools whose authorizer is a school district or COE:

  1. A printed copy of the PENSEC Data Report, which is separate from the Data Certification, may be requested by and provided to your authorizer, but it does not need to be delivered to the CDE.
  2. Ensure your approver(s), e.g., school district and/or COE, have ample time to review, sign and deliver your original Data Certification fully signed with wet signatures to the CDE’s Principal Apportionment Section by 7/31/2019.
  3. Deliver the Data Certification fully signed with wet signatures to:

    California Department of Education
    School Fiscal Services Division
    Principal Apportionment Section, PENSEC
    1430 N Street, Suite 3800
    Sacramento, CA 95814

Address questions about district- or COE-authorized charter schools to the Principal Apportionment Section at csspecialadvance@cde.ca.gov or 916-324-4541.

Charter schools whose authorizer is the SBE:

  1. A printed copy of the PENSEC Data Report must be delivered with your certification.
  2. Your printed Data Certification, signed by your charter authorizer with a wet signature, must be delivered to the CDE's SBE Charter School Oversight Unit. Ensure that the SBE Charter Oversight Unit has ample time to review and sign the Data Certification by 7/31/2019.
  3. Deliver the Data Certification signed by the charter with a wet signature, plus a copy of the PENSEC Data Report, to:

    California Department of Education
    SBE Charter School Oversight Unit
    1430 N Street, Suite 5401
    Sacramento, CA 95814

Address questions about SBE-authorized charter schools to the SBE Charter Oversight Unit at SBEOVERSIGHT@cde.ca.gov or 916-322-6029.

Questions:   Charter School Special Advance | csspecialadvance@cde.ca.gov | 916-324-4541
Last Reviewed: Friday, July 12, 2019
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