1. e-GAP 101: An Overview of the Electronic Grant Application Process for the IDEA Part B & Preschool Grant Budgets
Alabama State Department of Education
Special Education Services
January 2017
Hello, welcome to a series of sessions in MOODLE that will provide training to the LEA on completing and managing the IDEA Part B and Preschool budgets. Today’s session…e-GAP 101 will provide an overview of the electronic Grant Application Process. Today we will identify the key features of e-GAP and the required components an LEA must have in the IDEA Part B and Preschool budgets prior to approval by the ALSDE. Please note that during this training the terms funding application and budget will be used interchangeably.

2. What is e-GAP? Electronic Grant Application Process (e-GAP)
The Federal Application for the following:
Federal Programs Consolidated
Career Technical Education
Safe and Drug-Free Schools
Special Education (Individuals with Disabilities Education Act- IDEA Part B & Preschool)
Technology Initiatives
First we will define what e-GAP is. e-GAP is the electronic Grant Application Process for Special Education, specifically the IDEA Part B and Preschool funding applications, as well as the funding application for Career Technical Education, Federal Programs Consolidated, Safe and Drug-Free Schools and Technology Initiatives.

3. What does e-GAP do? e-GAP allows LEAs to: develop budget plans
submit applications and receive electronic approval
request funding
track the budget application status
send and receive correspondence
complete all necessary financial processing
Next we will discuss what the electronic Grant Application Process will do for an LEA. The e-GAP system allows an LEA to submit the funding applications, develop plans requesting funding from the ALSDE, and provide expenditure reports electronically, to complete all necessary financial processing requirements regarding federal funds and funding applications.

4. The e-GAP Process
The IDEA Part B and Preschool applications are typically initiated and completed by the LEA Special Education Coordinator
The application must also be reviewed and approved by the following:
Chief School Financial Officer (CSFO) of the LEA
Superintendent of the LEA
ALSDE Special Education Services Delegate
Once all respective steps in the approval process are achieved, an electronic notification is sent to the ALSDE Team Accountant Delegate, who will check the funding application using the Desk Review Compliance Checklist.
Fund expenditures cannot be made prior to budget approval
Now let’s take a look at the steps within e-GAP required for the IDEA Part B and Preschool budgets to reach an approved status. E-GAP budgets are typically initiated and completed by the LEAs Special Education Director/Coordinator or the designee. The funding application must also be reviewed and approved by the LEA’s Chief School Financial Officer, then the Superintendent of the LEA, and finally the ALSDE Special Education Services Designee. Upon budget approval at each step in the process, the funding application is forwarded electronically to the next level for review and approval.
Once all respective steps in the approval process are achieved, an electronic notification is sent to the ALSDE Team Accountant Delegate, who will then check the funding application using the Desk Review Compliance Checklist.
Please note that funds cannot be used until the budgets of all applicable federal applications within the LEA have been approved in e-GAP. As I stated earlier this may include the budgets for IDEA Part B and Preschool, Federal Programs Consolidated, Safe and Drug Free Schools, and Technology Initiatives. The word may is used because some LEAs may not have received an allocation for a particular area, for example: in such instances when an LEA does not receive an allocation for IDEA Preschool and is not required to complete the funding application for IDEA Preschool.
If at any time there are items of concern identified within the e-GAP budget, the approving LEA reviewer, such as the ALSDE delegate, may seek additional information and require the LEA to complete an adjustment or amendment to the budget. This communication is often provided in the comments section of the e-GAP portal. For example: in reviewing the IDEA Part B budget, the ALSDE delegate discovers that the description for material and supplies is missing details on how funds will be used for students with special needs. The ALSDE delegate has the option to provide a comment as opposed to a follow-up phone call.

5. The e-GAP Process Continued
Original Allocations load into the ES-2 section of e-GAP once the original e- GAP application is approved by your ALSDE, SES delegate.
Carryover Allocations load into the ES-2 section once the following happens:
General Purpose Financial Statements from previous year are approved.
The e-GAP application must be completed and approved by the ALSDE, SES Delegate.
Final Expenditure report in e-GAP is approved, which loads the carryover into the application
A system-wide budget amendment that includes carryover must be submitted to and approved by the ALSDE, LEA accounting section. The approval of the system-wide amendment is verified by the ALSDE funds management accountant assigned to the LEA.
Once the original e-GAP application is approved by the ALSDE Special Education Services designee, the original allocation is loaded into the ES-2 section of e-GAP. An ES-2 is the electronic instrument in e-GAP the LEA must use in order to request, draw down or receive federal funds.
Conversely, the carryover allocations load into the ES-2 section after the following occur: the general purpose financial statements from the previous year are approved, the e-GAP application is completed and approved by the ALSDE SES delegate, and the final expenditure report (FER) in the e-GAP portal is approved. The approved FER is what triggers the e-GAP portal to load the carryover funds into the allocations section for the Funding Application.
The approval of the system-wide amendment is verified and approved by the ALSDE Team Accountant delegate, also referred to as the LEA Funds Management Accountant.
Even though carryover funds are loaded into e-GAP with the approval of the FER and loads into the ES-2 section once the application is approved, the LEA cannot request, draw down or receive the carryover of federal funds until the system wide budget amendment is approved by the ALSDE LEA Team Accountant.

6. Electronic Communication in the e-GAP Portal
General Announcement Messages
Specific Comments
There are two levels of communication used within the e-GAP portal. The first and more general of the two levels of communication in e-GAP are the general announcement messages. The general announcement messages are found on the e-GAP home page. The announcements and reminders areas will be visible each time a user logs on to the e-GAP website.
The second and more specific communication area in the e-GAP portal is the comments section. The comments section is located in the funding application section of e-GAP once the user logs in. When comments are posted in this area, an is sent to the respective individuals. Please be mindful that addresses must be accurate for messages to reach the intended recipients. Once the application has been completed and approved, it is possible for the public to access this information. The public will be able to view information but will not be able to make any changes to the application. Also keep in mind that comments shared are also being viewed by the public.
Special note: It is important to check these communication areas periodically for important information regarding the status of the funding application and the application process.

7. Timeline for e-GAP Submissions:
Initial e-GAP Funding Applications are due by September 15th -annually
Funding Applications submitted will be reviewed and must be in an approvable form before funds can be dispersed.
Funding Applications that are not received by the due date may not be approved so that funds are available by October 1st , the first day of the fiscal year.
Funding Application amendments that include Carryover Funds are generally submitted in January- annually
General Funding Application amendments are accepted throughout the fiscal year
Initial IDEA Part B and Preschool e-GAP Funding Applications are due by September 15th annually. E-GAP applications submitted for review must be in an approvable form before funds can be dispersed. Funding Applications that are not received by the due date in an approvable form may not be approved for funds to be available by the first day of the fiscal year, which is October 1st. General e-GAP amendments can be made anytime throughout the fiscal year after the initial budget approval. Funding Application amendments that include Carryover Funds are generally submitted annually in January.

8. ALSDE Review of an LEA Budget
Funding Application (Budget Matrix)
Improvement Planning (Budget Narrative)
Compares Budget Matrix to Budget Narrative to ensure all funds budgeted are explained and IDEA allowable. The next portion of this session will focus on and explain two major sections and key components of the e-GAP portal, known as the Funding Application Section and the Improvement Planning Section. It is important to note that the Funding Application section is often referred to as the Budget Matrix, and the Improvement Planning Section is often referred to as the Budget Narrative. For the purpose of this training, please note the title bars are color coded and will be utilized throughout the remainder of the e-GAP training sessions. The Funding Application Section components will have a green title bar and the Improvement Planning Section components with have a blue title bar. These color coded features are designed to assist with understanding where items discussed are located in the e-GAP portal.
Next, we will discuss the ALSDE review of the IDEA Part B and Preschool Funding Applications. When the IDEA Part B and Preschool budgets forward to the ALSDE for review and approval, the ALSDE Special Education Services representative reviews the application by conducting a comparison between the Funding Application Section and the Improvement Planning Section in e-GAP. This comparison takes an analytical look at the proposed funds budgeted to ensure they are explained and allowable under IDEA. To complete the review, the ALSDE Special Education Services representative reviews the funds budgeted based on their function codes and object codes. Next, the ALSDE Special Education Services representative reviews the Improvement Planning Section which provides a detailed explanation of how funds budgeted are to be expended. After careful review of both the budget matrix and the budget narrative, the two components are compared to ensure they match and all funds budgeted are explained and are allowable under the IDEA.

9. Funding Application: Allocations
Allocations received are based on the federal IDEA formula. When carryover funds have been approved, the funds will be loaded into the application and can be viewed here. The allocations page shows the total amounts that have been awarded to the LEA for the fiscal year. The allocation amounts are generated from the federal funding formula. The amounts will include both the original allocation and carryover funds when applicable. The allocation amounts are entered into the e-GAP portal by an ALSDE Accounting representative. If an LEA has concerns about the funding amounts appearing on the allocations page, the LEA should contact their ALSDE LEA Funds Management Accountant.

10. Funding Application: Ensure All Funds Are Allocated
When funds are awarded and allocation amounts entered into the e-GAP portal by an ALSDE representative, the funding amounts can be viewed on the Allocations page as well as the budget matrix page where the red star appears on the bottom right side of this slide.

11. Funding Application: IDEA Budgets
Remember there are two budgets that should be completed based on IDEA funds received. As indicated by the red arrows that appear on the page, remember there are two budgets that should be completed based on IDEA funds received. Remember if an LEA receives allocated funds for both IDEA Part B and Preschool, then both Funding Applications should be completed in the e-GAP portal.

12. Funding Application: Warnings
Warning Symbols
Warning Message
The yellow delta symbol with an exclamation point indicates a warning. This warning symbol provides a notification of items and/or possible errors within the budget that must be addressed. An explanation of the warning can be accessed by double-clicking on the warning symbol. The warnings indicated must be corrected before the budget can be approved. If budgets are forwarded for review with warning messages present, the ALSDE Special Education Services reviewer will automatically deny approval and return the funding application to the LEA to clear the warnings and to resubmit for budget approval through the e-GAP Process.

13. Funding Application: Supplemental Information
The next area on the Funding Application page is the Supplemental Information. In this area under Supplemental Information, we will take the next few slides to discuss each of the areas that are listed underneath this section.

14. Funding Application: Statement of Assurances
The first area listed under the Funding Application Supplemental Information section is the Statement of Assurances component. This area is where the LEA is ensuring that all items that are purchased and funds used are for the purpose of IDEA Part B and Preschool services are indeed allowable under the IDEA.

15. Funding Application: Assurances Confirmation
The LEA Superintendent Assurances Confirmation, located under the Supplemental Information of the Funding Application, is acknowledging the Statement of Assurances Section and the assurance the Superintendent of the LEA is giving by checking the assurance box prior to the IDEA Part B and/or Preschool budget approval.

16. Funding Application: Capitalized Equipment/Building Improvements
Capital Outlay Equipment or Building Renovations (Purchases Greater than $5,000)

17. Funding Application: Status of Approvals
The Substantially Approved dates under the Supplemental Information section of the Funding Application section provides a status update of the most current date the funding application was approved by all of the approving LEA representatives which include the special education director/coordinator, the Chief School Financial Officer and the Superintendent of the LEA.

18. Funding Application: Budget Matrix -Page 1
Object Codes
Function
Codes
The budget matrix is the area in e-GAP that details how the IDEA Part B and Preschool allocated funds are budgeted and coded. The budget matrix in e-GAP should match the LEA’s items that are budgeted and recorded in the LEAs Board Central Office accounting application system which is Nextgen or Innovak.

19. Funding Application: Budget Matrix- Page 2
Ensure all funds are budgeted. Page 2 of the budget matrix includes the IDEA Part B or Preschool amounts that are allocated and should be budgeted in e-GAP. Take a close look at the area in front of the red arrow. This area shows the adjusted allocation of funds and the funds remaining as the budget is completed. Please review this area before approving the funding application. On occasion, the ALSDE Special Education Services reviewer will receive an application where all funds allocated have not been budgeted. The remaining funds area should reflect $0 which indicates that all allocated funds have been coded and budgeted.

20. Funding Application: Personnel & FTEs
Personnel=The number of employees working under the IDEA Part B or Preschool Grant FTEs(Full Time Equivalents)= The percent (%) of time the employees listed above work toward a full-time position
This page within the Funding Application is the Personnel /FTE page, also known as the budget details page. The top portion of the page is the personnel section where the LEA should enter the actual number of personnel or people working under the IDEA Part B or Preschool Grants. This section should include all personnel or people in which salaries are paid from the allocated IDEA funds budgeted.
The next section is the FTEs or Full Time Equivalent portion of the personnel listed above. This area indicates how much, or the percent of time, the personnel listed in each area above spends working on special education activities or cost objectives toward the full- time positions. This area may or may not include insurance or benefits.
The red star on the page signifies the FTE Explanation box. An explanation is required in this area when an employee is working under a grant, but no benefits are paid toward the full- time positions.
For example, let’s take a look at the bus aide area listed on the slide. The LEA has listed 2 bus aides, where salaries will be paid from the IDEA allocation of funds budgeted. In the FTEs section, there are no FTEs listed regarding bus aides.
However, the FTE explanation box explains why there are not FTEs listed for the bus aides. The explanation indicates the bus aides are paid per hour and do not earn FTEs, insurance or retirement benefits.
The Personnel/FTEs page is for employees of the LEA and is not intended for contracted service providers, unless the LEA pays contacted service providers insurance or benefits. Contracted service providers should be listed within the purchased services areas of the e-GAP budget.

21. Improvement Planning
Written Goals, Strategies, and Action Steps should relate to one another, and should not simply restate the budgeted area(s).
Action Steps should describe the activity by discussing:
how funds will be used for students with disabilities
what will be done
where the activity will occur
who will conduct the activity
A Grant Relationship should be attached to each Action Step
The next area we will discuss is the Improvement Planning section also known as the budget narrative section of e-GAP. The Improvement Planning section is designed to provide a description and explanation of the IDEA Part B and/or Preschool funds budgeted. The budget narrative will consist of four components: Goals, Strategies, Action Steps, and Grant Relationships. The narrative should give a detailed explanation of how the budgeted funds will be used to support and provide services for students with disabilities.
Written Goals, Strategies, and Action Steps should relate to one another and not merely restate the title of the budgeted areas. Action Steps should describe the activities by discussing how funds will be used for students with disabilities, what will be done, the location of the activities, and who will conduct the activities.
Be sure to include a Grant Relationship with each Action Step completed.

22. Improvement Planning: Main Goal Details
Next we’ll move over to the Improvement Planning side of e-GAP. The Improvement Planning portion of e-GAP is intended to explain those items that are budgeted within the budget matrix. The first section under the Improvement Planning side is the Main Goal details. When considering the narrative the LEA should provide a written overview of the goal in that area. Multiple Strategy details and Action Steps may follow the goal. For example, the goal may address curriculum/closing the achievement gap. The description should encompass the overall goal. The performance measure will align with the broad goal but should be measureable. For example, if the goal is to educate all students to ensure academic growth and to meet their individual needs, then the goal’s performance measure should be to increase the percentage of overall academic growth. The estimated costs will be the estimate that includes all the Action Steps that may fall under the goal.

23. Improvement Planning: Fiscal Resource Box
The “Fiscal Resource Box” typically lists various funding sources used by the LEA. Remember that the total amount recorded for special education (IDEA Part B and Preschool) must match the LEAs’ total IDEA Part B and Preschool allocation on page 2 of the LEA’s budget matrix. Additionally, if the LEA’s narrative has multiple fiscal resource boxes for special education, then the sum of each amount from all the fiscal resource boxes must equal the total allocation. If multiple resource boxes are used, then the total allocation will match the goal and if one resource box is used, then the total allocation will match the total allocation for Part B or Preschool. For example; If the LEA’s total IDEA Preschool allocation is budgeted under one goal such as Challenging Curricula, on this page, then the fiscal resource box that appears on this page will include the total amount of the IDEA Preschool allocation. However, if the LEA’s allocation for IDEA Part B is budgeted under multiple goals (for example, Challenging Curricula and Highly Qualified Teacher), then the resource box under each goal will reflect the funds budgeted in each of the areas, and a combination of the two goal’s fiscal resource box amounts will equal the LEAs total allocation.
Fiscal resource box issues are often the cause of warnings that appear in the e-GAP Part B and Preschool budgets.

24. Improvement Planning: Strategy Details
The next section under Improvement Planning is Strategy Details. A strategy will follow the goal and align with it. The strategy is a narrower version of the goal or may address one portion of the goal. It will also have performance measures and estimated costs. It should include a description of how the needs of special education students will be met, a performance measure that aligns specifically with the description of the strategy and then an estimated cost for the strategy that is listed.

25. Improvement Planning: Action Steps Details
The next area under Improvement Planning is the Action Steps Details. When writing an action step, make sure it aligns with the strategy and the overall goal. The action step stipulates exactly what the LEA will be doing during the fiscal year. Following the strategy, the action step may state that special education students will be provided curriculum and/or instruction that meets their specific needs either through small group instruction, a specially designed curriculum, one on one assistance and/or co-teaching. The performance measure would then state how the progress will be measured. It may state that the special needs students will meet 90% of their IEP goals by the end of the school year and their overall academic achievement will increase from last year which will be indicated through the results from system-wide testing or assessments, report cards and IEP goals. The performance measure must align and demonstrate how the action step is being evaluated, monitored, reviewed, and so forth. The estimated cost should be a close estimate of that expenditure, so that it is apparent which strategy aligns with that portion of the budget matrix.

26. Improvement Planning: Grant Relationship
The grant relationship should be the final item listed under the Action Step. The Grant Relationship indicates the grant source responsible for funding the budgeted expenditures listed. The LEA may list either IDEA Part B or Preschool; or the LEA may list both. The Grant Relationship depends upon the fund supporting the action step. The Grant Relationship must align with the budget matrix. For instance, if funds from IDEA Part B are explained in the action step for transportation then the budget matrix must have monies allocated for transportation.

27. Budgeting Proportionate Share
Proportionate Share Form
Assurance of No Private Schools
All LEAs are required to assess whether Proportionate Share is valid for the LEA. In doing so, this information should be contained within the eGAP budget. The next area we will cover is budgeting the Proportionate Share set-aside in e-GAP. Proportionate Share is the funding set-aside related to Equitable Services provided by the LEA to Parentally-Placed Private School Students within their district. All LEAs are required to assess whether Proportionate Share is valid for the LEA. In doing so, the LEA should refer to the Equitable Services documentation completed for the current fiscal year to determine if details regarding Proportionate Share funds should be included in the e-GAP portal. Take note of the Proportionate Share Form and Assurance of No Private Schools Form displayed. If your LEA completed the Proportionate Share Form displayed on the left, review the calculation amounts and details of the form to determine the funding if any, that should be budgeted in e-GAP, If your LEA completed the Assurance of No Private Schools for the current fiscal year, then you will not have a Proportionate Share set-aside amount to budget in e-GAP.

28. Proportionate Share in e-GAP
Funding Application: Budget Matrix
Improvement Planning-
Narrative Details
When the LEA has identified the Proportionate Share, Set-Aside amount and detailed information on how the set aside funds are to be used should be coded in the e-GAP budget matrix using Function Code-9200, Cost Center 9400, Program Code and the appropriate Object Codes.
In addition, the budget narrative should have an action step or steps that explain the funds budgeted for Proportionate Share within the Improvement Planning Section of e-GAP, and should also be completed based on the information contained on the Calculation and Documentation of Proportionate Share form displayed earlier.

29. Coordinated Early Intervening Services (CEIS)
For the LEAs participating in Coordinated Early Intervening Services; a set-aside, whether voluntarily or required, the LEA should complete the CEIS questions located on the bottom portion of the budget details page. The LEA should reference documentation regarding the LEA’s CEIS plan completed to address the questions in this section.

30. Must have an Action Step
Improvement Planning: CEIS Narrative
Must have an Action Step
The budget narrative should have an action step or steps that explains the funds budgeted for CEIS within the Improvement Planning Section of e-GAP. The information contained in the CEIS action step should mirror the LEAs CEIS plan. Be sure to attach a Grant Relationship with the CEIS action step.

31. RESOURCES Regarding e-GAP
Resources for e-GAP can be found in the Documents Library of the e-GAP portal.
*e-GAP Users Guide-Part 1
*e-GAP Users Guide-Part 2
There are additional resources that can be accessed in the Documents Library of the e-GAP portal. The Documents Library is found on the e-GAP Home page. The user does not have to login to obtain the resources in the Documents Library. In the Documents Library there are e-GAP User Guides (Part 1 and Part 2). The user guides can be accessed by clicking the icon titled “Documents Library” on the left side of the Home page and scrolling down to the section titled e-GAP under the Agency Documents.

32. Thank You!
If you have additional questions, or need assistance, please contact a fiscal team representative at (334) or via
Erika
Celeste
This concludes the first session in the e-GAP series: An Overview of the electronic Grant Application Process. There will be two additional sessions available in MOODLE referenced as e-GAP 102: Budgeting Tools for the IDEA Part B Funding Applications, and e-GAP 103: How to Navigate the e-GAP Portal to Budget IDEA Funds. However, you may contact a fiscal team representative at any time if you have questions or would like additional information regarding the electronic Grant Application Process.
Thank you.