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The State Education Department does not discriminate on the basis of age, color, religion, creed, disability, martial status, veteran status, national origin, race, gender, genetic predisposition or carrier status, or sexual orientation in its educational programs, services and activities. Portion of any publication designed for distribution can be made available in a variety of formats, including Braille, large print or audiotape, upon request. Inquiries regarding this policy of nondiscrimination should be directed to the Department’s Office for Diversity, Ethics, and Access, Room 530, Education Building, Albany, NY 12234.

Program Purpose/Goals:

The New York State Education Department (NYSED) has received a Charter School Program grant from the United States Department of Education under the Elementary and Secondary Education Act (Title V, Part B) as amended by the No Child Left Behind Act of 2001. The primary purpose of the Charter School Program (CSP) is to expand the number of high-quality charter schools available to students.

Federal Program Priorities:

NYSED is authorized to award CSP funds through a competitive process to eligible applicants, and will negotiate grant contracts (and State procurement contracts, if appropriate) to awardees for:

• Planning and program design, including pre-charter planning, and

• Initial implementation of a charter school

Applicants are eligible for only one CSP award. Therefore, applicants seeking funding for both planning and implementation activities are advised to submit a single application for both types of awards.

Federal Charter School Program guidelines may be found at http://www.ed.gov/policy/elsec/guid/cspguidance03.doc

Project Period:

The overall program period is from July 1, 2007 through June 30, 2010. Funding, however, is subject to the availability of Federal CSP funds to NYSED for each year.

Planning projects can operate for twelve to eighteen months for planning and program design. Implementation projects can operate for twelve to twenty-four months. Applications may be submitted for planning and implementation for project periods of up to thirty-six months, however funding after June 30, 2008 is subject to the continuing availability of federal program funds. Applicants must clearly indicate on the application cover page the type of project that is being proposed and the full duration of the award period. If the applicant fails to specify the type of project, and is ultimately approved for an award, a twelve-month planning or implementation project only will be awarded. All grants will be awarded, and must be implemented, on the basis of consecutive months of funding. Once a grant award period has ended, no other awards will be made.

NYSED will negotiate contracts with successful applicants for the multi-year program period. Payments will be based on FS-20 budgets submitted by successful applicants. Although an FS-20 for only the first program year of the project must be submitted with this application, an FS-20 budget will be required for each subsequent year. Each FS-20 budget will cover a maximum period of up to 12 months. The end date of each budget cannot extend beyond June 30 of each year, for example:

• July 1, 2007 through June 30, 2008

Continued funding for projects operating beyond June 30, 2008 is subject to the continuing availability of federal program funds.

Application Due Date:

• Applications must be received by 5:00 pm on April 30, 2007 for projects that will begin on July 1, 2007.

Questions Due Date:

• All questions must be submitted in writing to emsccsp@mail.nysed.gov by April 2, 2007.  SED will provide answers to the questions by April 6, 2007.

Eligible Applicants:

Eligible applicants include developers that have (1) applied to an authorized public chartering authority to operate a charter school, and (2) provided adequate and timely notice to that authority of its application for CSP funds (i.e., copy of application). These requirements are waived for applications for a pre-charter planning award.

Awards will be made for:

• Planning and program design, and initial implementation activities to be conducted in phases, for applicants who have an approved charter and whose charter school will open more than 12 months after the charter has been approved by the charter entity.

• Initial implementation activities for applicants who have an approved charter and whose charter school will open within 12 months of the charter having been approved by the charter entity; and

• Planning and program design activities for applicants who have an approved charter and whose charter school will open within 12 months of the charter having been approved by the charter entity; and

• Pre-charter planning and program design activities.

Awards may be made to individuals on behalf of potential charter schools for pre-charter planning and program design.

For-profit management companies, not-for-profit agencies, or their employees are not eligible applicants.

Only one award may be made to an eligible applicant. Once the grant award period has expired, the school is no longer eligible for any additional awards. See also “Project Period” above.

Definitions:

“Developer” means an individual or group of individuals (including a public or private nonprofit organization), which may include teachers, administrators and other school staff, parents, or other members of the local community in which a charter school project will be carried out.

The term “authorized public chartering agency” refers to the approved charter entities operating in New York State, including: the Board of Regents, the Board of Trustees of the State University of New York, local school district boards of education, and the Chancellor of the New York City Public Schools.

The term “charter school” means a public school that conforms to all requirements of the Charter Schools Program and Article 56 of the New York State statutes.

Allowable Activities and Costs:

CSP awards can only be used for the purposes stated in the Federal guidelines and described in this application document. Allowable activities and costs supported by CSP awards include:

1. Planning and program design of the charter school educational program, which may include:

   1. Refinement of the desired educational results and of the methods for measuring progress toward achieving those results, and

   2. Professional development of teachers and other staff who will work in the charter school.
       

2. Initial implementation of the charter school, which may include

   1. Informing the community about the school,

   2. Acquiring necessary equipment and educational materials and supplies,

   3. Acquiring or developing curriculum materials, and

   4. Other initial operating costs that cannot be met from State or local sources.

Allowable expenditures include those that are necessary for the initial costs of planning and designing, and implementing the school’s program. Expenses such as the purchase of supplies, materials, furniture, computers and other equipment are allowable as long as they are connected with the initial operational costs involved in implementing the school’s program. Salary may be considered where the school can demonstrate that an individual was hired solely to initially implement the school’s program and not to satisfy an ongoing operational need. Examples of allowable expenditures include, but are not limited to:

• Salaries and benefits during the start-up phase in the first year only

• Costs associated with initial staff training (consultants’ fees, travel costs, costs of training materials)

• Hiring consultants to help develop curriculum, assessments, policies, etc.

• Installation of purchased equipment

• Website development

• Start-up utility costs (heat, light, telephone, etc.) during the start-up phase in the first year only

• Development of awareness and/or recruitment materials

• Expenses associated with the development of a charter application (copying, printing, and/or mailing costs, travel costs associated with the development, submission, and/or approval of the application, legal expenses, etc.)

• Student and/or administrative software

• Library books

• Conference attendance

• Supplemental student transportation

• Minor equipment and supplies (computers, student furniture, instructional equipment, etc.)

• Minor renovation (e.g., installing ramps, renovating a bathroom) to bring the building into compliance with the requirements of the Americans with Disabilities Act (ADA)

Non-Allowable Activities and Costs:

CSP awards may only be used to underwrite costs incurred after the date the award is made and may not be used to reimburse applicants for any expenses incurred before that time.

CSP awards cannot be used for ongoing operational costs, capital expenses, salaries or benefits, utilities, or other costs that should be borne by the school’s operational budget. Also, CSP awards cannot be used as primary funding to outfit a charter school in terms of its furniture, equipment, curriculum, supplies, and/or materials. Examples of non-allowable expenses include:

• Salaries and fringe benefits in the school’s first year of operation

• Rent

• Indirect costs

• Large equipment purchases (furnaces, computers and or furniture for the entire school, playgrounds, etc.)

• Capital construction, including the construction of new facilities

• Capital expenditures such as the purchase of land or buildings

• Installation of elevators

• Purchase or lease of motor vehicles

• Routine student transportation

• Routine on-going staff development and/or other training that is required by a charter school’s management company

• Support for the salaries, fringe benefits, or other costs of any employee of an educational management organization or any institutional partner of the school.

Program Funding:

The maximum award amount will be $175,000 per year. This estimate is for the guidance of potential applicants and is not a guarantee of award amounts or the number of awards to be made. The NYSED reserves the right to make final decisions regarding funding.

State Contracts for Charter School Program Awards:

CSP awards to approved charter schools for planning and implementation projects will be made through a grant contract process. Once the contract has been finalized, payments will be made using NYSED’s FS-20 budget process. Please refer to http://www.oms.nysed.gov/cafe/forms.html for downloadable copies of the FS-20 forms. 

CSP awards for pre-charter planning and program design for applicants who do not yet have an approved charter must be treated as State procurement contracts. This is a more formal contract process than that for grant-contracts. The primary difference for the award recipient will be in the method of requesting payment. The payment schedule will be specified in the contract and will be made using New York State Standard Vouchers. More specific information will be included with the State contract. A completed FS-20 budget must also be submitted with the CSP application indicating the proposed expenditures.

State law requires that the award of state contracts be made to responsible vendors. NYSED must make an affirmative responsibility determination before an award is made. The factors to be considered include: legal authority to do business in New York State; integrity; organizational and financial capacity; and previous performance. Before an award exceeding $100,000 can be made, the potential grantee must complete a Vendor Responsibility Questionnaire. Applicants selected for an award who must complete the questionnaire will receive it with the State contract or grant contract.

Review and Rating of Applications:

The applications will be reviewed by two reviewers, at least one of which will be a peer reviewer. A third review will be performed if there is a difference of at least twenty points between the two scores. The applications will be graded by the criteria described below under “Project Narrative." Final scores of the reviewers will be added and averaged. Proposals to be considered for awards must obtain a minimum average score of 75. All applications receiving an average score of 75 will be ranked in order of score within the following eight geographic areas:

1. New York City

2. Buffalo

3. Syracuse

4. Yonkers

5. Rochester

6. Rural

7. Urban

8. Suburban

Awards, after any adjustments for non-allowable or inappropriate expenditures, will be made to all applicants receiving an average score of 75 or higher, as long as there are sufficient funds. In the event that funds are not sufficient to cover all such applicants, then awards will be made:

• First, to the one applicant with the highest average score in each of the eight geographic areas, in order by highest average score. If funds are not sufficient for an award to each area, the next highest ranked applicant (from a non-funded area) will be given the opportunity to operate a project using the remaining funds.

• Second, to each remaining applicant according to the highest average score, regardless of geographic location, until funds are not sufficient to fund the next project in full. The next ranked applicant will be given the opportunity to operate a project using the remaining funds

Award Recipient’s Fiscal Responsibilities:

Projects must operate under the jurisdiction of the school’s charter and the board of trustees, and are subject to at least the same degree of accountability as all other expenditures of the charter school. The board of trustees is responsible for the proper disbursement of and accounting for project funds. Written agency policy concerning wages, mileage and travel allowances, overtime compensation, or fringe benefits, as well as State rules pertaining to competitive bidding, safety regulations, and inventory control must be followed. Supporting or source documents must be on file for all project related transactions entered into the charter school’s recordkeeping system. Source documents that authorize the disbursement of grant funds consist of purchase orders, contracts, time & effort records, delivery receipts, vendor invoices, travel documentation and payment documents, including check stubs.

Supporting documentation for contracts and grant contracts must be kept on file by the charter school for at least six years after the last payment was made unless otherwise specified by program requirements. Additionally, audit or litigation will "freeze the clock" for records retention purposes until the issue is resolved. All records and documentation must be available for inspection by State Education Department officials or its representatives.

The budget narrative must describe all intended expenditures, by budget category. For additional information about awards, FS-20 budget forms, descriptions of budget categories, and related general guidelines, please refer to http://www.oms.nysed.gov/cafe/.

Required Reports:

CSP award recipients must submit an annual performance report describing the progress that has been made toward meeting the project goals. CSP award recipients will be provided with copies of the report format and the submission information.

Application Submission:

One original and three copies of the application package must be submitted to the following address. No faxes will be accepted.

Charter School Program Application
New York State Education Department
Grants Management
Room 674 EBA
Albany, NY 12234

All CSP applicants must address each of the items in the Project Narrative. Information from the charter school application or charter (if one has been issued by the Board of Regents) may be included, but it must clearly and specifically address the item for which it is intended. Do not refer the reader back to the original charter application.

The application should be typed and must include the cover page signed by the charter school’s Chief Operating Officer/Chief Administrative Officer. The typed application narrative and budget narrative should be no longer than 10 pages and no smaller than 12pt font. The application package must include the following items, or it will be disqualified, and should be in the following order:

• The typed and signed cover page

• Assurances of the Charter Entity (to be submitted only if the charter entity is other than the Board of Regents)

• The typed project narrative

• The typed FS-20 budget for the first year of the project.

• The typed budget narrative supporting the FS-20 budget

• The typed Multi-Year Budget Summary

A Payee Information Form is required from any applicant that has not previously received grant funding from the State Education Department. The form must be completed and submitted with the CSP application. The Payee Information Form and instructions are available at http://www.oms.nysed.gov/cafe/forms.html.

Project Narrative for Planning and Implementation Projects:

1. Describe the proposed educational program to be implemented by the charter school, including (Maximum 10 points):

   1. How the program will enable all students to meet or exceed challenging State student academic achievement standards;

   2. The grade levels or ages of children to be served; and

   3. The curriculum and the instructional practices to be used.
       

2. Describe how the charter school will be managed. Attach copies of any management contracts. (Maximum 10 points)

3. Describe the student achievement objectives of the charter school, and the methods by which the charter school will determine its progress toward achieving those objectives. (Maximum 10 points)

4. Describe the administrative relationship between the charter school and the charter entity (e.g., describe the amount of technical assistance and/or oversight you expect the charter entity to provide to you during the planning and/or the implementation of your charter school). (Maximum 5 points)

5. Describe how the charter school will comply with requirements of Sections 613(a)(5) and 613(e)(1)(B) of the Individuals with Disabilities Education Act. (Maximum 10 points)

6. Describe how parents and students in the community will be informed about the charter school, and how students will be given an equal opportunity to attend the charter school. (Maximum 5 points)

7. Describe in detail the needs of the charter school for planning, program design, and/or implementation, and how these needs were determined. Attach copies of any surveys or other assessments that were conducted. (Maximum 20 points)

8. Describe in detail how the planned expenditures will be used to meet the planning and/or implementation needs of the charter school. Describe how they are appropriate, demonstrate support for the project, and do not supplant or duplicate services currently provided. Identify the expenditures in the FS-20 budget and provide supporting information in the Budget Narrative. See Budget Submission below. (Maximum 25 points)

9. Describe how CSP funds will be used in conjunction with other State and Federal programs and funds administered by the NYS Education Department and US Secretary of Education. (Maximum 5 points)

Budget Submission:

1. An FS-20 budget must be submitted for the first year’s funds requested for this project. The proposed budget will be reviewed for appropriateness of the expenditures, and will be adjusted for any items deemed to be non-allowable or inappropriate. The FS-20 budget, related forms and guidelines are available at http://www.oms.nysed.gov/cafe/.

2. The FS-20 must be signed by the chief administrative officer of the charter school (e.g., principal, director). For all charter schools with an educational management company, the only acceptable signatory is the president of the charter school’s board of trustees.

3. The budget narrative must provide supporting information for all intended expenditures, by budget category. Be specific regarding position titles, equipment and materials/supplies to be purchased from whom, and their purpose, professional development activities, etc. Include a résumé for any consultants that may be hired.

Project Monitoring:

The State Education Department is responsible for monitoring the activities of the award recipients to ensure that federal funds are used for authorized purposes in compliance with the federal program laws, regulations and grant agreements and that performance goals are achieved. Monitoring can include document reviews, onsite visits, training, telephone calls and other activities. Award recipients receiving and expending $500,000 or more in federal funds during their fiscal year must have an audit performed in accordance with the U.S. Office of Management and Budget Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations. All award recipients are required to provide State Education Department staff and state auditors with access to records and financial statements as necessary to perform their monitoring responsibilities.

Evaluation Rubric (Separate Word Document)

Application Forms (Separate Word Document)

06/22/2007