Special Education

Submission of Application for Individuals with Disabilities Education Act (IDEA) Part B Section 611 and Section 619 Federal Funding for the Education of Students with Disabilities, 2011-2012

Submission of Application for Individuals with Disabilities Education Act (IDEA) Part B Section 611 and Section 619 Federal Funding for the Education of Students with Disabilities, 2011-2012 - PDF PDF document (382 KB) | Word Word icon (516 KB)

May 2011                

To:
Superintendents of Public Schools
Public School District Special Education Data Managers
Superintendents of Special Act School Districts
Special Act School District Special Education District Data Managers
Superintendents of State-Operated Schools
State-Operated School Special Education Data Managers
State Agency Special Education Data Managers

From: Michael C. Plotzker

Subject: Submission of Application for Individuals with Disabilities Education Act (IDEA) Part B Section 611 and Section 619 Federal Funding for the Education of Students with Disabilities, 2011-2012

Application materials pertaining to section 611 and section 619 sub-grant programs are due to the State Education Department by July 1, 2011.  However, districts are strongly encouraged to submit the application materials as soon as possible, even in advance of the due date.  The Application and corresponding forms are only available from the following website: www.p12.nysed.gov/specialed/finance. In accordance with federal rules, local educational agencies (LEAs) may not obligate funds for a proposed federal grant project until the Application form and budget documents have been received by the Department in a substantially approvable form.

If you have any questions about the Application, please contact the P-12 Special Education Budget and Finance Unit at (518) 486-4662 or (518) 486-4734.

Contents:

  • Overview of New York State’s IDEA, Part B Federal Sub-grant Programs for the Education of Students with Disabilities;
  • New York State (State) Policy Governing the Administration of Federal IDEA, Part B section 611 and section 619 Sub-Grant Programs; and
  • State Procedures for the Disbursement of Federal IDEA, Part B Flow-Through Allocations for 2011-2012.

Highlights of the Application Policies and Procedures for 2011-2012:

A) General Highlights Regarding the Application Process

  • Separate FS-10s are required.  Two must be submitted (1 original and 2 copies of each):
      • IDEA, Part B section 611
      • IDEA, Part B section 619
  • IDEA funds may ONLY be used for excess costs in provision of Special Education.  More details about what constitutes excess costs are included.
  • When preparing the 2011-2012 section 611 and section 619 FS-10 proposed budgets, use the 2011-2012 final allocations for each project as indicated in the May 2011 final allocation letter to the LEA and any anticipated carryover funds from the 2010-2011 section 611 and 619 projects. However, it is important to note the importance of timely submission of the FS-10-F final expenditure report for each project for the 2010-2011 school year as the anticipated carryover funds will be available only after the Department has received and processed the FS-10-F final expenditure report for that project.
  • Budgets for IDEA, Part B section 611 and section 619 must be labeled IDEA section 611 and IDEA section 619, with project numbers beginning with 0032-12- and 0033-12- respectively.
  • All applicants must provide the information on the Application Cover Page and within the 2011-2012 Application for Federal Individuals with Disabilities Education Act (IDEA) Funding for the Education of Students with Disabilities (application) pertaining to the actual expenditure of local effort for special education costs for the 2009-2010 and 2010-2011 school years and the anticipated expenditures for local effort for the 2011-2012 year for special education to students. 
  • Please note that there are now four (4) options to choose from for calculating Maintenance of Effort. If the amount of actual local effort for the 2010-2011 school year and/or the anticipated expenditure of local effort (MOE) for the current school year is less than the previous school year, the authorized representative of the applicant must complete the Certification within the 2011-2012 Application for Federal Individuals with Disabilities Education Act (IDEA) Funding for the Education of Students with Disabilities.  Note:  Verified source documents on how MOE was calculated must be available for inspection by monitors/auditors.
  • The due date of the application materials for federal IDEA section 611 and section 619 sub-grant project funds is July 1, 2011.  This due date will enable SED to review and approve, in a timely manner, application packets which are fully completed and submitted on time.  However, districts are encouraged to submit this application packet earlier, if possible. Please note: in accordance with federal rules, a local educational agency (LEA) may not obligate funds for a proposed federal grant project until the Application form and budget documents have been received by the Department in a substantially approvable form.
  • LEAs are defined as public school districts, Special Act School Districts, State-Operated Schools and State agencies.
  • The IDEA section 611 and section 619 FS-10 proposed budgets each have a Start Date of 7/01/11 and a Project Funding End Date of 6/30/12 entered in the spaces provided on page 1 of the FS-10 for each project. 
  • As a condition for receipt of federal funds, all applicants must have submitted the latest required special education data collection reports, as well as all other requests for data and information to the Strategic Evaluation Data Collection, Analysis and Reporting (SEDCAR) Unit or other units within the Department in the appropriate methods as determined by SED, which now includes the submission of student-specific Special Education data by LEAs, Special Act school districts, private schools that provide educational services to students pursuant to Article 81 and selected State agencies through the Student Information Repository System (SIRS).  For more information pertaining to this new reporting system, please go to the following web site: http://www.p12.nysed.gov/irs/sirs/.

B) LEA Responsibilities Pertaining to Approved Special Education Programs (ASEPs)

  • As a condition for receipt of 2010-2011 IDEA, Part B funds, the chief school/ administrative officer of an LEA must check off whether the LEA proposes to provide its required allocation of funds to ASEPs serving its students with disabilities ages 3-21 under NYS §4410-b using IDEA, Part B or local district funds on p. 11 of the application.
  • Please note that all vendor funds due to ASEPs and Charter Schools and the federal proportionate share of funds the LEA receives for parentally placed students with disabilities must be funded through IDEA Section 611 and Section 619 funds or local district funds.
  • Pursuant to NYS §4410-b of the Laws of 2005 (NYS §4410-b), LEAs will be required to disburse funds to ASEPs in which students with disabilities were placed on October 6, 2010.  To assist LEAs in calculating the appropriate amounts due to ASEPs under NYS §4410-b, a worksheet is available under ASEP Worksheets on the P-12: Office of Special Education web site at: www.p12.nysed.gov/specialed/finance. The SEDCAR report to calculate the minimum per student vendor funding is available under Federal IDEA, Part B Allocations on the same website.  Appropriate SEDCAR forms must be on file from the ASEPs.  Upon receipt of SEDCAR-1 forms, LEAs will also provide vendor funding under NYS §4410-b to approved out-of-state private schools if the LEA was the last school district of residence for students with disabilities placed in out-of-state approved private schools by the courts (Article 81).
  • In accordance with Chapter 437 the Laws of 2005, LEAs must pay one-third of their calculated section 619 and section 611 per student vendor funding to ASEPs which submitted SEDCAR-1 forms for preschool students with a disability provided related services only.  Exception: Any municipality which operated an approved special education itinerant services (SEIS) program prior to July 1, 2003 which submitted SEDCAR-1 forms for preschool students with a disability who were provided related services only is eligible for a full (100%) section 611 and section 619 per student vendor funding amount for each child.  Additional assistance in calculating the full and one-third per student vendor funding amounts for the section 611 and section 619 sub-grants is available under ASEP Worksheets on the SED/P-12: Office of Special Education website indicated above.
  • LEAs must pay vendor funding to ASEPs under NYS §4410-b in an amount equal to their proportional share of federal funds allocated to the LEA, based on the number of students with disabilities who were served in ASEPs on October 6, 2010.  Payment of funding to ASEPs must be made within 30 days after receipt of any portion of IDEA funds received by the district.
  • LEAs should request each ASEP it has a vendor relationship with to submit a budget describing the services the LEA is purchasing from the ASEP pertaining to the education of students with disabilities ages 3-21 attending the ASEP and regular reports on expenditures.
  • LEAs that use IDEA, Part B section 611 and/or section 619 funds to make payments to ASEPs under  NYS §4410-b are required to enter into a legal agreement with each ASEP it has students with disabilities between the ages of 3-21 attending on or before October 6, 2010 and with which it had a vendor relationship.  The legal agreement between the LEA and ASEP must contain, but is not limited to, the following requirements of the ASEP:
    • The submission of a periodic and final expenditure report to the LEA delineating the manner in which the ASEP spent the vendor funds it received from the LEA consistent with allowable uses of vendor funding in this document and the expenditures.
  • Please note:  The FS-10F Long Form will be required to report expenditures for ARRA IDEA Sections 611 & 619 2010-2011 projects. 

Other Highlights Regarding the Permissible Use of IDEA, Part B funding

  • An LEA may use 2011-2012 IDEA funds to purchase appropriate technology for recordkeeping, data collection and related case management activities of teachers and related service personnel providing services to students with a disability as needed.
  • LEAs are required to expend a proportionate share of its IDEA funds to provide special education services to all students with disabilities who are placed by their parents in private schools, including religious schools, located in the LEA regardless of whether the student resides within the LEA.  For more information pertaining to this requirement of IDEA, please refer to the September 2007 guidance memorandum from James P. DeLorenzo, P-12: Office of Special Education’s Statewide Coordinator for Special Education at: http://www.p12.nysed.gov/specialed/publications/policy/nonpublic907.htm.  To view the LEA’s federal proportionate share of section 619 and/or section 611 funds the LEA received for the 2011-2012 school year, please go to: http://www.p12.nysed.gov/sedcar/federal.htm
  • IDEA permits eligible LEAs whose 2011-2012 section 611 final allocation exceeds the allocation amount for section 611 it received in 2010-2011 to offset a portion of their maintenance of local tax effort (MOE) to carry out activities authorized under the Elementary and Secondary Education Act of 1965 (ESEA), as amended by the No Child Left Behind Act of 2001 (NCLB), such as services for children in grades K-12 who are at risk of school failure without additional support.  To be eligible, an LEA must not have been identified during the 2010-11 school year by the State Education Department as:
    • An LEA in need of assistance;
    • An LEA in need of substantial intervention;
    • An LEA in substantial noncompliance with the IDEA; or
    • An LEA having significant disproportionality by race/ethnicity in the identification, classification and/or placement of students with disabilities and/or in the long-term suspension of students with disabilities.

Please refer to the part of this memorandum entitled Policies and Procedures Governing the Distribution and Use of IDEA, Part B Federal Assistance for the Education of Students with Disabilities for further information and guidance relating to this offset provision and the permissive use of IDEA Part B section 611 and section 619 sub-grant funds, directly below.

  • IDEA, Part B permits LEAs to use up to 15 percent of its total 2011-2012 section 611 and section 619 final allocations to develop and implement coordinated early intervening services activities (CEIS).  Please note: If an LEA proposes to use section 619 funds for up to a maximum allowable 15 percent of its total allocation, the proposed early intervening services must be limited to direct or indirect services to kindergarten students only who are not yet identified as eligible for special education and related services. 
  • When proposing consultant fees budgeted under Purchased Services: Code 40 or BOCES Services: Code 49 of the FS-10, the individual/agency providing each service and the per diem or hourly rates for each must be listed and the hourly/daily rate must be reasonable as determined by the NYS Education Department.  Consultants/Training- maximum rate of $2000/day (minimum of 6 hours per day) or $300/hour, regardless of funding source.  For example, a district may not pay $2000 out of IDEA funds and an additional amount from another funding source to increase the daily/hourly rate.  If a district wishes to propose paying more than $2000/day, a detailed justification must be provided.  This justification should include the extraordinary circumstances and/or qualifications of the individual documenting the unique skills that do not exist in other consultants and the available data on the efficacy of the services to be provided.  In general, such requests should include information on the results of bidding under requirements of General Municipal Law.  The final decision on whether to allow such exception to be included in the grants rests solely with the NYS Education Department. 

For long-term or large contracts that are not with specific individuals but with not-for-profit or for-profit organizations, details must be provided including how the program will be implemented, the number of staff members and students that will benefit, etc.  In addition, the reasonableness of cost must be documented and must follow the district’s policy regarding allowable cost.

      • Proposed expenditures for equipment with a unit cost of less than $5,000, software, supplies and materials budgeted under Supplies & Materials: Code 45 of the FS-10 must contain a description, unit cost, quantity and individual proposed expenditure.  Failure to provide this breakdown will delay review and approval of the grant.  Technology-based equipment with evidence of instructional benefit of use in an educational setting (and/or specifically with students with disabilities) will be considered.  This includes personal listening devices with instructional applications, Smartboards, book readers, etc.  However, the requested amounts must be deemed reasonable.  Justifications may be required.  If items will be utilized in integrated or inclusion classrooms or by the entire student population, only a portion can be funded through IDEA funds.  This portion is based on the percentage of students with disabilities, e.g. 5 students with disabilities in an integrated class of 20 students would allow 25 percent to be funded through IDEA funds.   Items not allowable include, but are not limited to furniture, appliances, rugs and game systems. 

Federal grant programs are generally not intended to provide stipends or other funds or merchandise directly to students.  While it is recommended that local funds be used for incentive programs for students, a maximum of $50 expenditure per student per year of IDEA funds that can be allocated for rewards for students with disabilities participating in Positive Behavioral Interventions and Supports (PBIS) and other similar positive reinforcement programs will be allowed. As with all expenditures, appropriate records must be maintained for audit purposes.

  • Special Education staff including Certified Teaching Assistants should be listed in Professional Salaries: Code 15 of the FS-10.  Certified Reading Teachers who provide specially designed reading instruction to students with disabilities may also be included in Code 15Teacher Aides should be listed under Support Staff Salaries: Code 16. 
  • Items with a unit value of $5,000 or more and having a useful life of more than one year must be reported as Equipment in Code 20 of the FS-10 for section 611 and/or section 619 sub-grants. For more information on equipment, please go to http://www.oms.nysed.gov/cafe/ and view Policy Advisory # 01-05.  Again list the items, number of units and cost per unit.
  • All public school districts, Special Act School Districts and State agencies have approved maximum restricted indirect cost rates, which may be budgeted under Code 90 of the FS-10 form.  Please note: Indirect costs may not be claimed on vendor funding to ASEPs, including Article 81 funds pursuant to NYS §4410-b,  or for the portion of each sub-contract exceeding $25,000 listed in Purchased Services: Code 40 of the FS-10.
  • When purchasing supplies and materials, software or equipment for integrated classrooms, only the portion in relation to the percentage of the students with disabilities in the class is allowable. Specific items that are listed on a student’s IEP that are required to address his or her special education needs will be considered.
  • IDEA funds may be used to support strategies that will result in improving results for the measurable and rigorous targets identified in SED’s IDEA Part B State Performance Plan, 2005-10 (SPP - revised February 2011).
  • Noneducational expenditures including, but not limited, to dinners, shows, movies, bowling, out-of-state trips, etc. are not a permissible use of IDEA Part B funds of either type and cannot be programmatically approved. 
  • Travel:  any airfares must be in economy and travel is limited to the continental United States and no travel is allowed to resort destinations and should not exceed more than two staff members for a given conference.
  • The application package must be a single submission covering all the federal funding sources mentioned within this memorandum, with one contact person listed for all the grants.

Follow the directions below to confirm both your district’s allocation and anticipated carryover and submit the application and FS-10s for each sub-grant project for the total amount:

  • When the LEA submits its application and FS-10s for IDEA section 611 and section 619 funds, it MUST be for the 2011-2012 allocation for each project PLUS the anticipated carryover funds remaining from the 2010-2011 school year.  Please note: The amount of carryover funds allowed to be budgeted in the subsequent year may not exceed 100 percent of the prior year’s project allocation.  Failure to submit the application and FS-10s for the total amount, including carryover funds, will require revisions before any action on the section 611 and section 619 FS-10 sub-grants for 2011-2012 will take place. 
  • Each LEA must then submit the 2010-2011 FS-10 final expenditure report for the section 611 and section 619 sub-grant projects WITHIN 90 DAYS of the close of the 2010-2011 project year.  If submitted in a timely fashion, the FS-10-F short form may be used.  Failure to submit these documents within the stated time frame may result in the stopping of payments on all federal and State grants funded through SED.  In addition, the option to use the FS-10-F short form would no longer be available and final cost data must be submitted on the FS-10-F long form.  Please note:  The FS-10-F Long Form will be required to report expenditures for the 2010-2011 ARRA IDEA Sections 611 & 619 projects. 

To confirm your agency’s IDEA, Part B 611 and 619 allocations for 2011-2012, the status of your Final Expenditure Reports/FS-10-Fs for 2010-2011 and the anticipated carryover balance(s) into 2011-2012, you should review IDEA, Part B Allocation Reports available on Office of Management Services-Grants Finance Unit’s web site: http://www.oms.nysed.gov/cafe/ and:

  • Select Reports
  • Enter the 12 digit BEDS (or agency code) and Click go
  • Select 2011-2012 IDEA Allocation Reports for IDEA Section 611 and 619 data;  or
  • If the 12 digit code is not available, select the appropriate county
  • Select your agency name
  • Select 2011-2012 IDEA Allocation Reports for Regular IDEA Section 611 and 619 data

This information is also available at the P-12: Office of Special Education Budget and Finance Unit's web-site: www.p12.nysed.gov/specialed/finance.

Applicants must submit the following to be substantially approvable:

  1. An original IDEA, Part B section 611 and section 619 application form containing the original signature of the Chief School/Administrative Officer in blue ink, the information regarding 2009-2010, 2010-2011 and current school year’s local effort, all assurances including the completed assurance pertaining to NIMAC, the completed Certification Regarding the Payment of Part B Funds to ASEPs, and the Certification pertaining to local effort (MOE) when an LEA has an allowable reason to reduce its MOE;
  2. An original FS-10 for IDEA section 611 and IDEA section 619 budget, each signed in blue ink plus two additional copies of each budget form with a project start date of 7/01/11 and a project end date of 6/30/12. 

Mail these materials to:

Mr. John Delaney
P-12: Office of Special Education
Central Office Administrative Support Services Team (COASST)
89 Washington Avenue, Rm 681 EBA
Albany, New York 12234


ASSISTANCE

  1. For general policies, procedures, and information including carryover funds; contact the P-12: Office of Special Education Budget and Finance Unit at (518) 486-4662 or (518) 486-4734.  If you prefer, you may also e-mail us at p12coasst@nysed.gov.
  2. For information regarding IDEA, Part B program requirements, please contact the P-12: Special Education Quality Assurance (SEQA) Regional Office in which your school is located (Please refer to the attached chart on page 8 for information pertaining to each P-12: Office of Special Education’s SEQA regional office).
  3. For assistance in completing financial forms (FS-10, FS-10-A, FS-25 and FS-10-F) and/or information on indirect costs, contact the Office of Management Services, Grants Finance Unit at (518) 474-4815, or visit their web site: http://www.oms.nysed.gov/cafe/.  
  4. For the LEA’s calculated proportionate share of IDEA federal funds for parentally placed students with disabilities in nonpublic schools for 2011-2012 school year, please visit the following website: http://www.p12.nysed.gov/sedcar/federal.htm
  5. To view the 2011-2012 IDEA, Part B section 611 and section 619 adjusted total allocation amounts and to calculate the LEA’s minimum per student vendor funding amounts due to approved special education providers (ASEPs) which serve preschool or school-age students with disabilities, please go to the following website: http://eservices.nysed.gov/alloweb/.
  6. Approved Special Education Program (ASEP) status – please contact the P-12: Office of Special Education Policy Unit at (518) 473-2878.
  7. For Child Count summaries as reported via the SIRS reporting system, visit the Pupils with Disabilities (PD) Data System website:  http://www.p12.nysed.gov/sedcar/data.

P-12: OFFICE OF SPECIAL EDUCATION
SPECIAL EDUCATION QUALITY ASSURANCE (SEQA)

REGIONAL OFFICES

James P. DeLorenzo, Statewide Coordinator for Special Education (518) 402-3353
Jacqueline Bumbalo, Upstate SEQA Regional Coordinator (315) 476-5645
New York City SEQA Regional Coordinator (718) 722-4544

WESTERN  REGIONAL  OFFICE

NYS Education Department
P-12: Special Education Quality Assurance
2A Richmond Avenue
Batavia, New York  14020
(585) 344-2002 
Christopher Suriano, Supervisor

EASTERN  REGIONAL  OFFICE

NYS Education Department
P12: Special Education Quality Assurance
Room 1623 – One Commerce Plaza
Albany, New York  12234
(518) 486-6366
Andrew Jackowski, Supervisor

CENTRAL REGIONAL OFFICE

NYS Education Department
P-12: Special Education Quality Assurance
State Tower Building
109 S. Warren Street, Suite 320
Syracuse, NY  13202
(315) 476-5081
Suzanne Jackson, Supervisor

LONG ISLAND  REGIONAL  OFFICE

NYS Education Department
P-12: Special Education Quality Assurance
The Kellum Educational Center
887 Kellum Street
Lindenhurst, NY  11757
(631) 884-8530
Eileen Taylor, Supervisor

NEW YORK CITY  REGIONAL OFFICE

NYS Education Department
P-12: Special Education Quality Assurance
55 Hanson Place, Room 545
Brooklyn, NY  11217-1580
(718) 722-4544
Belinda Johnson, Supervisor
Richard Governale, Supervisor
Kathy Cummings, Supervisor

HUDSON VALLEY REGIONAL  OFFICE

NYS Education Department
P-12: Special Education Quality Assurance
Room 1619 - One Commerce Plaza
Albany, NY 12234
(518) 473-1185
Christine Efner, Supervisor

NONDISTRICT UNIT
NYS Education Department
P-12: Special Education Quality Assurance
Room 1623 – One Commerce Plaza
Albany, New York  12234
(518) 473-1185
Eileen Borden, Supervisor


Policies and Procedures Governing the Distribution and Use of IDEA, Part B Federal Assistance for the Education of Students with Disabilities and Application Booklet - May 2011

Last Updated: June 29, 2011