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Kansas State Department of Education

Categorical Aid Personnel System (CAPS) User’s Guide

Please Note: This help resource may refer to screen elements by their color and may be best viewed in full color.

Categorical Aid Personnel System

http://www.ksde.org/Default.aspx?tabid=538#CAPS

KSDE Contact: Evelyn Alden Phone: (785) 296- 3868 [email protected]



mailto:[email protected]

2 CAPS User’s Guide Version 1.0

Revision History

Date Reason for Changes Version

8/28/17 Created User Guide 1.0

Related Documents

Date Document Title/Location Comments


Table of Contents Table of Contents .......................................................................................................... 3

I. Introduction ........................................................................................................... 4

II. General Overview .................................................................................................. 4

III. User Levels ............................................................................................................ 5

IV. Registering for Access to CAPS. ......................................................................... 6

V. Logging into CAPS................................................................................................ 8

VI. Select School Year ................................................................................................ 8

VII. Infant Toddler Program Buildings ....................................................................... 9

VIII. Adding Calendars ............................................................................................... 10

IX. Uploading or Manually Entering Staff ............................................................... 11

Manually Entering Staff .........................................................................................................12 Uploading Staff: ....................................................................................................................13 Near Matches ........................................................................................................................14 Final Notations for Staff Entry:...............................................................................................14

X. View Assigned Employees ................................................................................. 15

XI. Adding Job Positions ......................................................................................... 16

Creating Non-Professional (para) Positions ..........................................................................18 Uploading Positions ..............................................................................................................18

XII. Assigning Staff .................................................................................................... 20

Assigning Staff Via Upload ....................................................................................................20 Updating Personnel Assignments .........................................................................................20 Adding New Employee into a Position That Was Previously Filled ........................................21 Adding a Position – Additional Assignment ...........................................................................21 Common Situations ...............................................................................................................21

XIII. Paraeducator Inservice ....................................................................................... 23

XIV. Reports ................................................................................................................. 24


I. Introduction

The Categorical Aid Personnel System (CAPS) application was developed for use in claiming the special teacher portion of state Categorical Aid reimbursement. Please refer to the current year’s Special Education Categorical Aid Reimbursement Guide for details of reimbursement.

II. General Overview

CAPS reporting is split into two sessions, “ESY” which is the special education Extended School Year, and “Regular” which is the standard fall to spring school year. The same entering rules apply to both, there is no difference in licensing requirements or the way the program operates with the following exceptions:

There is no reimbursement allowed for unqualified substitute teachers in ESY.

The maximum FTE for an ESY position is .30.

Licenses and certifications are verified based on the dates a person is reported to be working and the area of assignment. There is a chart of the possible assignment areas under resources in the special education pages at KSDE.org. Teachers are also verified against endorsement grade levels.

The CAPS application recognizes two classes of employees to be reimbursed,: professionals and non-professionals (“P” or “N”). Professionals are people such as classroom teachers, administrators, and licensed personnel who are able to work without supervision (“qualified to provide services”). Non-professionals (“qualified to assist in the provision”) are paraeducators, non-licensed personnel, and those whose license requires supervision (such as an Occupational Therapist Assistant) who are supervised by licensed personnel. “Special Teacher” in Kansas law includes related service personnel, and so includes various licensed professions as well as classroom teachers as professionals. “Para” is used generally in this guide to include all non-professionals.

Non-professionals must have a supervisor listed in the program at all times. Paras must be claimed within the grade levels of the supervisor. If the supervisor is assigned to an educational building the non-professionals they are supervising must be in the same building.

It is a good idea to update the program when personnel changes. Updating continuously throughout the year means that the payment information reflects the most accurate possible information,gives the most time to find and correct errors, and helps identify possible problems early.

It is important to realize that the system does not check information as it is entered for “payability”. The system runs checks for certain logical errors (start dates before end dates, para assignment dates/buildings/areas matching the supervisor, etc.) but does not check assignments against licenses or teaching certificates/endorsements. The payment report will reflect the information, correct to within 24 hours (the system updates stored KSDE licensure information nightly).

It is very important to check reports. Licensure information is subject to change, and time spent reviewing reports could mean additional funding!

The difference between Employee, Position, and Staff ID Search tabs; Use the Staff ID Search/Creation tab to search Staff ID numbers for use in CAPS Use the Employee tab to see all the staff who have been added to the district Use the Position tab to add a new position to the CAPS system, to which an

employee will later be assigned.


III. User Levels

Different users have different functionality privileges; for example, some users may have “Update” access, while other users only have “Read Only” access.

District Paraprofessional

District Update District Read Only

Staff ID Search x x x

Staff ID Creation x x

Employee/Position Creation

x x

Reports x x x

Calendar x x View only

District level user roles will be used by Coops and Interlocals as well as stand-alone districts.


IV. Registering for Access to CAPS.

Individuals who do not have access to KSDE web applications need to register. Use the following web address: https://online.ksde.org/authentication/login.aspx as a district level (all buildings) user. If you already have access to the KSDE Web Applications as a district level (all buildings) user, then a new registration is not required.

NOTE: You may want to skip this section if you have used CAPS before, or if you already registered for access to CAPS.

TIP: Do not use spaces when defining your login ID. When creating your password keep in mind the password requirements shown on the screen. You will need to remember the Login ID, password, security question/answer, and birth date that you entered. KSDE does not have access to this information.

On the Registration page, enter the required information. For access to CAPS “All Buildings” must be selected.

Individuals who already have All Building access to KSDE web applications can use the Manage My Account option to add the CAPS to their list of applications.

https://online.ksde.org/authentication/login.aspx


Select “Categorical Aid Personnel System” from the list and choose access level.

The access levels are:

District Paraprofessional Data – can see and modify only non-professional personnel District Update – can see and modify all people and positions District Read Only – can see all people and positions and get reports but cannot

modify data

Something other than District Read Only is needed to obtain ID numbers or enter staff for reimbursement. The district special education director or superintendent will approve access.

When you have completed all required information on the registration form, click the “Submit” button at the bottom of the screen.

If all the data on the registration form is valid, you will get a message that says “Thank You for Registering.” The registration request will be forwarded to the district superintendent for approval. You will receive an email when your access request is approved, and your username and password are ready for use.

TIP: If you forget your KSDE web applications password, click on the link that says “Forgot Your Password?” on the Authentication screen. You will be prompted to supply the answer to a security question (you entered it when you originally registered), type in your birth date, and enter a new password. If your security question answer and birthday match what you originally entered when you registered for KSDE web application access, then your new password will be activated. Keep in mind that KSDE does not know your password, so you are responsible for managing and remembering it.


V. Logging into CAPS.

CAPS, like the other KSDE web applications, is available on the KSDE Authentication page. To access CAPS, enter your KSDE username and password to the KSDE Web Applications page (https://online.ksde.org/authentication/login.aspx). The user will see CAPS. on his/her list of approved KSDE applications (example list shown below), and he/she will need to click on the application name to open it.

NOTE: Some of the applications may be grayed out. This means that they are either not active applications, or that you have not yet been approved for access to those applications.

VI. Select School Year

Select the Fiscal Year and Term (Regular or ESY) to view or enter data for.

This step must be completed before adding any employees or positions.

https://online.ksde.org/authentication/login.aspx


VII. Infant Toddler Program Buildings

If a district/LEA wants to create a position and assign a staff member to one of the Infant Toddler Network buildings they will select “Infant Toddler Network Selection” from the menu, place a checkmark in the box(es) next to the building(s) they want to use and click the Save button. After that is done when the user creates a position the building selected will appear in the dropdown menu for Building Number. Users do not need to create a calendar for the Infant Toddler Network buildings. If a district/LEA determines a building was selected in error they can remove the checkmark and click Save to remove the building from their dropdown list. CAPS will check to make sure no positions were created in the building before removing it from the list to assure that buildings are not removed accidentally.


VIII. Adding Calendars

Before adding positions, at least one District Level (all buildings) calendar must be created.

A District Level calendar may be created, as well as calendars for any specific buildings that have dates that significantly differ from the main calendar.

Select the “Calendar List” tab on the left of the screen, then select “New”. Choose a building from the dropdown list to set the calendar for that specific building or choose “All Buildings” to create a district level calendar.

Now select each category: Building, Start Date, and End Date of the School Year.

Non-school days may be blocked out (weekends are blocked out by default) to indicate holidays. Simply click on the date to be blocked out and it will turn grey. Once this calendar has been completed, select the “Save” button.

Calendars may be updated by selecting “Edit” on the existing calendar.


IX. Uploading or Manually Entering Staff

The purpose of the “Staff ID Search/Creation” tab is to look up or create Staff ID numbers that can be used in CAPS. If the staff member is in the system already simply click “Use this ID”. If the staff member is not, create them a new ID.

NOTE: A few things to note when searching for staff members in CAPS:

When searching for staff the required elements are: *First Name, *Last Name, *Gender, *Birthdate, *Hispanic Indicator, and *Race/Ethnicity. If more information is available, fill in those areas as well. When all of the available data has been entered, push the “search” tab below.

Each part of the birthdate is searched for independently, and at least two parts of the birthdate must match a record to return it as possible. If someone has KSDE licensure or has a CAPS number, but are not being found, please verify the birthdate.

Capitalization will be preserved as entered. Please use Title Case (the first letter of each word capitalized) when possible. Excel can convert text by using the formula = PROPER (cell)

Please use middle names when available. KSDE has used 4/22/1909 as a default birthdate on older records. The license holder

can update this with the form http://www.ksde.org/Portals/0/TLA/Licensure/Licensure%20Documents/ADDRESS%20andor%20NAME%20CHANGES%2013.pdf

http://www.ksde.org/Portals/0/TLA/Licensure/Licensure%20Documents/ADDRESS%20andor%20NAME%20CHANGES%2013.pdf

http://www.ksde.org/Portals/0/TLA/Licensure/Licensure%20Documents/ADDRESS%20andor%20NAME%20CHANGES%2013.pdf


Manually Entering Staff

Enter the Last name, First name, Gender and Birthdate, along with any other known information. Please use the legal names rather than nicknames, as this number will be used to identify the person in multiple KSDE applications.

Capitalization will be retained as uploaded; Title case is preferred (first letter of each word capitalized). SSN cannot be searched within CAPS, however SSN and Last Name can be searched through the online license lookup https://online.ksde.org/TLL/SearchLicense.aspx, or contact Teacher Licensure staff, or the CAPS manager.

If the staff member is found, click “Use this ID” (highlighted in blue). The Staff Members ID is listed below (highlighted in orange), and the accuracy of the match is found under Match Possibility (highlighted in purple).

“Update this Record” tells the system to update the information stored in eScholar. Information created or accessed by KSDE Teacher Licensure and Accreditation staff may not be updated by CAPS users. The individual must send an update request to TLA.

If no matching records are found, then click “Create a New Record”

The new staff ID appears below. Click “Use this ID” to associate this person with the district.

The system will use the entered data to create a new Staff Member and assign them a Staff ID.

https://online.ksde.org/TLL/SearchLicense.aspx


Uploading Staff:

Uploading staff data allows a large number of staff members to be added at one time rather than manually adding or creating them one by one.

File specs and a sample .csv file with headers in place is available at: http://www.ksde.org/Default.aspx?tabid=538#CAPS

TIP: Click “Import File” under the data entry fields to upload a speadsheet.

The spreadsheet to upload must have a header row, and it is highly recommended that row (line) numbers are used (the header row is row #1).

o Be sure the spreadsheet is saved as a comma delimited file (.csv) o Capitalization will be retained as uploaded; Title case is preferred (first letter of

each word capitalized) o Include middle names when available o Comma delimited files do not retain any formatting

o The sheet below is an example of how the document should be properly

formatted before it can be uploaded.

Select “Browse”. Select the file to upload and select “Upload”

The results will be displayed on the web page. If there were many people uploaded, it

may be convenient to use a spreadsheet to pull the ID numbers and sort them into the correct order. A spreadsheet is available on the Categorical Aid page linked above to pull numbers from the batch upload results. Simply copy the upload results from the webpage and paste as plain text (values only) into the Column A of the first tab of the spreadsheet. The next tab (Results) will display the results sorted by row numbers (the system occasionally returns results out of order, see above screenshot). Copy and paste the numbers (values only) into the spreadsheet with the name information.



Near Matches

After uploading a file, if the system found a possible match, it will be listed under the “Process Near Matches” button on the file upload page. Select “Process Near Matches” at this time. Using line numbers will help identify which lines have errors.

In the example there is one near match (the system recognizes specific characteristics of one of the entries, but needs human intervention to decide if this is the correct person or not). Click “Select” on the left of the list:

At this point the process is the same as if the person had been entered individually and the system had found a possible match. The system feels that it is 98% likely that the example matches the existing Gregory Morrison based on the last name, and birth date, however the gender had been entered incorrectly “Select” (highlighted in red above) and on the drop down box change Female to Male and then select “Update This Record”, (highlighted in green below). If this is not the same person, select “Create New ID” (highlighted in blue below).

If a person has (or has had) a license with KSDE, CAPS cannot update information, the individual must contact KSDE licensure and file a name change (there is no charge for this, even if the license is not active). The name change form may be found here: http://www.ksde.org/Default.aspx?tabid=352 and may be used to update any information.

Final Notations for Staff Entry:

If in doubt about a near match, please confirm information entered.

Please use Title Case (as opposed to ALL CAPS or all lower case)

Please use complete names when possible. There can be multiple individuals named Remus Lupin, but there will be fewer named Remus John Lupin.

If an individual has a license, the name in CAPS must match the name on the license. Don’t update Lily Evans to Lily Potter until she has filed a name change with her licensing board.

http://www.ksde.org/Default.aspx?tabid=352


X. View Assigned Employees To view or verify the employees or numbers, select the “Employee” tab

Sort columns by clicking on the header row


XI. Adding Job Positions

The purpose of the position tab is to view positions, or to add new positions.

To add a job position select the “Position” tab. The CAPS system tracks positions, and the staff who fill those positions. First create the position based on positions approved by the local Board. Follow the steps below to add a position.

Select “add position” In the Add/Edit Position section complete the necessary required fields along

with any further information and select “Save Position”

TIP: Sorting Columns: Clicking on a header will sort the columns by that header. This can be handy to see how many people someone supervises (Supervisor Position # field), or how many people have been in a position over the year (Employee Count field). By sorting the Supervisor Position # field, I can identify that D04350024 is supervising two people. When a header is selected it will first display in Ascending order and if clicked again it will display in descending order.

When a new position is created, a CAPS Position Number will be auto

generated. The CAPS Position Number is important because it must be used to identify the supervisor of a paraprofessional. For example, below is the Paraprofessinal1.2 position profile. Under the “Supervisor CAPS Position #” is CAPS Position Number D04320002. The second image shows that ID is associated with “Supervisor 1 002.


Local Position Number is an Alphanumeric field for local and auditor use. Something must be entered here, if there is a local position number, please use it here to help the auditors match the position in CAPS with the position in the LEA. If there is no local position number, create one that makes sense and will help identify the position such as ElemName-IR-01. The CAPS Position number on the right side will be generated by the system automatically after the position is saved and is not user editable.

Additional Assignment indicates that this assignment is in addition to a 1.0 FTE assignment for this LEA, takes place entirely outside the regular school day, and is a standalone position (not just overtime for another position). Specific requirements are found in the reimbursement guide.

Building Number is a drop down list of all buildings in the KSDE directory associated with a district or the districts under a coop/interlocal.

Area refers to the services being provided. Categories are set by IDEA requirements and KSDE/state licensure.

Low and High level refer to the grades (or ages for IT/EC) of students worked with by this position. The grades are limited by the building selected. Low is the lowest grade level the position will teach and high is the highest grade level the position will teach.

Contracted FTE refers to the FTE approved by the local board for the position, Approved Hours refers to the maximum number of hours that the local board has approved (1116 hours equals 1.0 FTE). If a position is created midyear, it is appropriate to enter the FTE or hours approved for the position, rather than prorating, when individuals are assigned to the position, the individuals should be claimed for the FTE worked.


Creating Non-Professional (para) Positions

Non-Professional (para) positions are created from within a professional position. Select the saved professional position, then click “Add Para”.

A new position screen appears with the Term, Supervisor’s CAPS position #, and Building Number completed and locked, and the Area, Levels, and FTE/Hours copied from the supervisor.

Some non-professionals can have assignments in a different area than their supervisor, specifically High-Incidence/Adaptive can be any combination of BD/IR/LD and Low-Incidence/Functional can be any combination of ID/SM. An interpreter non-professional can be supervised by the areas BD/EC/IN/IR/IT/LD/SM/VO.

Non-professional positions supervised by a position assigned to an administrative building (itinerant) may have a building number that differs from the supervisory position. If the supervisory position is in a building with grades, the non-professional position may not be in a different building (as in the screenshot above).

Uploading Positions

A spreadsheet can quickly upload positions to CAPS. Uploading in CAPS is a multi-step process due to the requirement that CAPS position IDs be created for supervisors and before assigning staff members. However, it will enable multiple positions to be created and staff assigned far more quickly than individual entry.

There is a sample .csv file available on the Upload page within CAPS, or the categorical aid page on the KSDE website.

The spreadsheet to upload must have a header row, and it is highly recommended that row (line) numbers are used (the header row is row #1). Please see the File Specs for the required fileds.


The results will be displayed on the web page. If there were many positions uploaded, it may be convenient to use a spreadsheet to pull the ID numbers and sort them into the correct order. To pull the CAPS Position numbers, a spreadsheet has been created for convenience, located at: http://www.ksde.org/Default.aspx?tabid=538#CAPS Copy the upload results from the webpage and paste as plain text (values only) into the Column A of the first tab of the spreadsheet. The next tab (Results) will display the results sorted by row numbers (the system occasionally returns results out of order).

After CAPS Position IDs for Professional (supervisor) positions are obtained, the

process may be repeated for non-professional positions with the CAPS Position ID for the supervisor included for each position.

After CAPS position IDs have been obtained for all positions, the upload process may be repeated to assign staff members (detailed in the following section).



XII. Assigning Staff

On the position tab, after a position has been created, hit select on the position, now scroll down to the bottom and select “Add Employee”.

Enter the Employee ID (CAPS/KSDE ID number, not SSN, local ID number or license number) or select the Employee name from the dropdown.

The substitute checkmark is used ONLY for classroom teachers, to indicate that the person is not licensed by KSDE appropriately and alternate KSDE licensure should be checked by the system. Substitutes should only be claimed when the regular teacher is not being paid, so only long term absences or vacant positions.

Start Date and End Date are for this specific employee in the position, and cannot overlap any other employee in the same position.

FTE or Hours must be filled in for this person (only one should be completed, the other field will calculate) and if more hours/FTE are claimed than approved for the position, an error will be generated.

The KSDE exception is completed by KSDE if an individual is approved to provide services outside the standard requirements.

Selecting the Add Employee link will allow more than one individual to be added to a positions (generally because of licensure issues (part of the year needs to use substitute licensure) or because of a change in personnel.

Assigning Staff Via Upload

Use the same data as was uploaded to create positions, with the addition of the CAPS Position ID and the information from the staff upload process.

Updating Personnel Assignments

Staff assignments to positions may need to be edited for reasons such as; an employee is on unpaid leave and someone else will be claimed, or the employee is no longer in the position.

First “select” the position that needs to be edited. Then select “Edit”, and change the values for that employee’s assignment that need to change and select “Save Employee”


Adding New Employee into a Position That Was Previously Filled

To be available, the new employee must be in the system (VII. Uploading or Manually Entering Staff)

“Select” the position, make sure the previous employee’s assignment has been ended, then choose “Add Employee”.

Follow the directions to add staff, making sure the new assignment dates don’t overlap the previous assignment.

TIP: When ending employment and adding new employment, the new start date cannot be on or before the previous ended date. Also the start and end date must fall within the school year.

Adding a Position – Additional Assignment

Additional Assignments have very specific requirements in the reimbursement guide and identify staff that may be claimed for more than one FTE.

Follow the previous “Add a Position” instructions. When adding this position, make sure the “Additional Assignment” box is marked.

Common Situations

Positions working with children (ages 0-2) in Infant Toddler programs (Part C of IDEA) must be entirely separate from positions working with Early Childhood (ages 3-5) through grade 12 (including students through age 21) (Part B of IDEA).

If a position covers two areas of service (such as a position that is Early Childhood in the morning and K-3 in the afternoon, separate positions must be created. The local ID number could reflect the common position such as K000321-EC and K000321-Elem.

If a teacher changes license type (for example, a teacher switches to a substitute for part of the year because their endorsement for special education is not renewed) then a second assignment must be made for the change in license type.

Homebound services should be reported in the correct area of services.


Positions that are intended to be filled by individuals IN ADDITION to full time employment with the district (positions that meet the over 1.0 FTE standards in the reimbursement guide) should be marked as “additional assignment”.


XIII. Paraeducator Inservice

As specified in the Reimbursement Guide, paraeducators must have staff development. The “Para Inservice” tab allows information about para inservice requirements, hours, and college credit hours to be tracked.

All individuals assigned to non-professional positions will be displayed. Tier information is below and must be manually selected the first year and manually modified when it changes.

Enter College Hours as the hours earned (3 college hours, enter 3). Tier 1 = less than the 3 past years as a Kansas special

education para (20 hours) Tier 2 = 3 or more of the past 3 years as a Kansas special

education para (10 hours)) Tier 3 = Licensed in Kansas (inservice locally determined)

o The license must be current and must be related to the IEP services they are providing,


XIV. Reports

The report screens all work in the same manner and are similar in appearance. Each will prompt for specifics to the report being run. Reports may be downloaded in either PDF or Excel formats.

There may be more reports available in the future as deemed necessary.

Current Assignments

The Assignment List report displays data about all of the professionals and paraeducators that are being claimed for categorical aid reimbursement and gives a tally of FTE (full time equivalences) for professionals and paras. Options: Fiscal Year, Building Number

Directory by Area

Options: Fiscal Year

Inservice Required

Options: Fiscal Year, Building Number

Over 1.0 FTE

Displays all staff reported for the district who are claimed for more than 1.0 FTE total. These staff will be checked closely by auditors. Options: Fiscal Year, Building Number

Para Inservice

Shows all staff reported as non-professionals and what inservice has been reported. Options: Fiscal Year, Building Number

Payment Data Information

This is the list of all the people reported, and exactly how the system processed their information. The payment report generated on the payment date is the record of funding received by the district. Options: Fiscal Year, Term (option to get both terms) Building Number, Order, Errors (non-paying) only, Discrepancies (partial paying) only

Supervisor Current Assignments

Options: Fiscal Year, Building Number

Vacancy

Still under development


Board page