CMO_Indicators_and_Crosswalk.docx

INDICATOR 1.1: DEFINITION OF CHARTER SCHOOL. The Charter Management Organization ensures each expansion and replication school meets the definition of a “charter school.”

Indicator Sources/References

ESEA Section 5210. Definitions.

(1) CHARTER SCHOOL- The term ‘charter school' means a public school that —

(A) in accordance with a specific State statute authorizing the granting of charters to schools, is exempt from significant State or local rules that inhibit the flexible operation and management of public schools, but not from any rules relating to the other requirements of this paragraph;

(B) is created by a developer as a public school, or is adapted by a developer from an existing public school, and is operated under public supervision and direction;

(C) operates in pursuit of a specific set of educational objectives determined by the school's developer and agreed to by the authorized public chartering agency;

(D) provides a program of elementary or secondary education, or both;

(E) is nonsectarian in its programs, admissions policies, employment practices, and all other operations, and is not affiliated with a sectarian school or religious institution;

(F) does not charge tuition;

(G) complies with the Age Discrimination Act of 1975, title VI of the Civil Rights Act of 1964, title IX of the Education Amendments of 1972, section 504 of the Rehabilitation Act of 1973, and part B of the Individuals with Disabilities Education Act;

(H) is a school to which parents choose to send their children, and that admits students on the basis of a lottery, if more students apply for admission than can be accommodated;

(I) agrees to comply with the same Federal and State audit requirements as do other elementary schools and secondary schools in the State, unless such requirements are specifically waived for the purpose of this program;

(J) meets all applicable Federal, State, and local health and safety requirements;

(K) operates in accordance with State law; and

(L) has a written performance contract with the authorized public chartering agency in the State that includes a description of how student performance will be measured in charter schools pursuant to State assessments that are required of other schools and pursuant to any other assessments mutually agreeable to the authorized public chartering agency and the charter school.

Charter Schools Program Title V, Part B Non-Regulatory Guidance January 2014 A-2. How does the statute define a charter school?

Charter schools are established according to individual State charter school laws. The enactment of State charter school laws is solely a State prerogative, and the definition of a “charter school” under State law is a matter of State policy. However, in order to receive CSP funds, a charter school must meet the definition in Section 5210(1) of ESEA.

B-10. Is a for-profit entity that holds a legal charter eligible to apply for a grant or subgrant?

A for-profit entity does not qualify as an eligible applicant for purposes of the CSP. A charter school receiving CSP funds may, however, enter into a contract with a for-profit entity to have the for-profit entity manage the charter school on a day-to-day basis. The charter school also must supervise the administration of the CSP grant and is directly responsible for ensuring that grant funds are used in accordance with statutory and regulatory requirements. (See EDGAR, Part 75, Subpart F.)

The Charter Management Organization demonstrates how it ensures that each replication and expansion school receiving CSP funds meets the Federal definition of the term “charter school” throughout the period of Federal funding.

Grantee’s approved CMO application and approved amendments to the application.

CMO guidance and procedures, such as monitoring plans or protocols, as related to the Federal charter school definition and state statutes, regulations, and policies regarding charter school definition in each applicable state.

Documentation that each replication and expansion school receiving CSP funds meets the Federal term “charter school.”

Proof of non-profit status.

Performance contract and charter with authorizing agency.

Charter development materials and school policies related to:

1) Educational program

2) Admissions and lottery

3) Autonomy and governance

4) Non-sectarian status

5) Non-tuition status

6) Compliance with IDEA

INDICATOR 1.2: ADMINISTRATIVE RELATIONSHIP WITH AUTHORIZER. The CMO maintains an administrative relationship with the authorized public charter agency as described in the approved application and provides for the continued operation of the proposed new or expanded charter schools once the Federal grant has expired.

Indicator Sources/References

Application Requirement (e) Describe the administrative relationship between the charter schools to be replicated or expanded by the applicant and the authorized public chartering agency.

Application Requirement (f) Describe how the applicant will provide for continued operation of the proposed new or expanded charter schools once the Federal grant has expired.

The grantee maintains its relationship with the authorized public chartering agency as described in its approved application. The relationship could include such things as:

· A charter or performance contract that describes the obligations and responsibilities of the school and the authorizer;

· Priority on increases in student academic achievement for all groups of students in renewal or revocation decisions.

The CMO provides for the continued operation of the school, once the Federal grant has expired, provided that the charter school has met its performance objectives.

Performance contract or other agreement and approved amendments between the charter holder[footnoteRef:1] and the authorizer that could include a description of such things as how students with disabilities and English language learners will be served. [1: In some instances the “charter holder” may be the CMO. In other instances the “charter holder” may be the individual school sites.]

Performance reports and fiscal documents submitted to the authorizer.

Authorizer policies, plans, or other materials received by the grantee including, but not limited to, those relating to the relationship between the schools and the authorized public chartering agencies as well as renewal and revocation processes.

Documentation of training, technical assistance, monitoring, or other guidance provided by the CMO during and after the period of initial Federal funding aimed at ensuring long-term success.

Communications and other documentation to demonstrate a working relationship with the authorizer.

Performance reports and fiscal documents submitted to the CMO or authorizer.

Authorizer policies, plans, or other materials received by the school including, but not limited to, those relating to the relationship between the charter holder and the authorized public chartering agency, and renewal and revocation processes.

Documentation of training, technical assistance, monitoring, or other guidance provided by the authorizer or CMO during and after the period of initial Federal funding aimed at ensuring long-term success.

INDICATOR 1.3: PROGRAM IMPLEMENTATION. The CMO implements the program described in its grant application in each of the replication or expansion schools funded by the grant.

Indicator Sources/References

Application Requirement (d)

(1) Application Requirements: Applicants applying for CSP grant funds must address both the following application requirements, which are based on statutory requirements under the program, and the selection criteria described in this notice. An applicant may choose to respond to the application requirements in the context of its responses to the selection criteria.

(d) Describe the educational program to be implemented in the proposed new or expanded charter schools, including how the program will enable all students (including educationally disadvantaged students) to meet challenging State student academic achievement standards, the grade levels or ages of students to be served, and the curriculum and instructional practices to be used.

Competitive Preference Priority 4—Technology (Optional for 2012 grantees) This priority is for projects that are designed to improve student achievement or teacher effectiveness through the use of high-quality digital tools or materials, which include preparing teachers to use the technology to improve instruction, as well as developing, implementing, or evaluating digital tools or materials.

Competitive Preference Priority 5—Promoting Science, Technology, Engineering, and Math (STEM) Education (Optional for 2012 grantees) This priority is designed for projects that are designed to provide students with increased access to rigorous and engaging coursework in STEM.

The CMO demonstrates how it ensures that each replication or expansion school receiving CSP funds is being developed or continues to operate based on the model the CMO used as evidence of success in its grant application.

The educational program implemented by the CMO grantee in each of the replication and expansion schools to date and planned for the remainder of the grant period is substantially the same as that described in its approved application.

The educational program implemented by the CMO grantee in the replication and expansion schools enables all students to meet challenging State student academic achievement standards.

The educational program implemented by the CMO grantee in the replication and expansion schools uses high-quality digital materials or tools to improve student achievement or teacher effectiveness (if applicable).

The educational program implemented by the CMO grantee in the replication and expansion schools provides students with increased access to rigorous and engaging STEM coursework.

Grantee’s approved CMO application and approved amendments to the application.

CMO documentation of the educational model(s) for its replication/expansion schools, such as mission and vision statement, guidance to schools, monitoring protocols.

Professional development documents such as presentations and handbooks related to teacher and/or principal training.

CMO monitoring process, such as checklists, and reports used to ensure that replication and expansion schools continue to implement the model the CMO used as evidence of success in its grant application throughout the period of Federal funding.

Evidence that the implemented program enables all students to meet challenging State student academic achievement standards, such as curriculum alignment documents and plans for educating educationally disadvantaged students, and interim assessments.

Documents that identify the high-quality digital materials or tools and their use (if applicable).

Master schedules or other documents that show the range of STEM courses offered and the grade level(s) served.

Performance contract or other agreement with CMO that includes the core elements of the model.

Documents that describe the school’s educational program, including any references to the CMO model for the school’s educational program.

Documents that describe the school’s efforts and results to enable all students to meet challenging State student academic achievement standards.

Documents, such as a school calendar, that provides details on the total number of school days and the length of the school day.

INDICATOR 1.4: MANAGEMENT PLAN IMPLEMENTATION. The implementation of the grantee’s management plan reflects what was described in the grantee’s application and is operational.

Indicator Source/References

Application Requirement (b)

(1) Application Requirements: Applicants applying for CSP grant funds must address both the following application requirements, which are based on statutory requirements under the program, and the selection criteria described in this notice.

(b) Describe how the applicant currently operates or manages the charter schools for which it has presented evidence of success and how the proposed new or expanded charter schools will be operated or managed. Include a description of central office functions, governance, daily operations, financial management, human resources management, and instructional management. If applying as a group or consortium, describe the roles and responsibilities of each member of the group or consortium and how each member will contribute to this project.

(2) Selection Criteria: In evaluating an application, the Secretary considers the following criteria:

(d) Quality of the management plan: The Secretary considers the quality of the management plan and personnel to replicate and expand high-quality charter schools. In determining the quality of the management plan and personnel for the proposed project, the Secretary considers:

(1) The adequacy of the management plan to achieve the objectives of the proposed project on time and within budget, including clearly defined responsibilities, timelines, and milestones for accomplishing project tasks.

(2) The business plan for increasing, sustaining, and ensuring the quality and performance of charter schools opened under this program beyond the initial period of Federal funding, including, but not limited to, facilities, financials, central office, academics, governance, oversight, and human resources of the schools.

(3) A multi-year financial and operating model for the organization, as well as demonstrated commitment of current and future partners, and evidence of broad support from stakeholders critical to the project’s long-term success.

(4) A plan for closing charter schools supported, overseen, or managed by the applicant that do not meet high quality.

(5) The qualifications, including relevant training and experience, of the project director, chief executive officer or organization leader, and key project personnel, especially in managing projects of the size and scope of the proposed project.

The plan implemented by the CMO grantee for operating or managing its replication and expansion schools to date and planned for the remainder of the grant period is substantially the same as that described in its approved application.

Qualified personnel for implementing the CSP project is substantially the same as that described in its approved application.

Grantee’s approved CMO application and approved amendments to the application.

Governing board by-laws, meeting minutes, proposed or accomplished changes in policies or procedures, correspondence and other evidence that the grantee is implementing the management plan in the approved CMO application and approved amendments.

Stakeholder commitments and support as evidenced by continued financial support, attendance at meetings, and any other documented evidence.

Changes in roles or responsibilities of key staff based on revised organizational charts, job descriptions, and defined responsibilities.

Documentation of the grantee’s current personnel, such as organization chart, job descriptions, and qualifications.

Plans, policies, correspondence, and other relevant evidence of the CMO’s support to the school in:

· central office functions,

· governance,

· daily operations,

· financial management,

· human resources management, and

· instructional management.

INDICATOR 1.5: PARENT AND COMMUNITY INVOLVEMENT. The CMO grantee involves parents and other members of the community in the planning, design, and implementation of replication/expansion charter schools.

Indicator Source/References

Application Requirement (g) Describe how parents and other members of the community will be involved in the planning, program design, and implementation of the proposed new or expanded charter school.

The CMO grantee demonstrates that parents/community members are engaged by the CMO to build support for the replication/expansion charter schools during the planning and design phases.

The CMO grantee demonstrates that parents and community organizations are meaningfully involved in the implementation of the replication/expansion charter schools.

Grantee’s approved CMO application and approved amendments to the application.

Outreach and communication materials directly related to the CMO grantee’s efforts to build support for the new schools prior to opening (i.e., pamphlets, flyers, promotional materials, websites, listservs, etc.).

Materials related to the CMO grantee’s charter school development and implementation of the school (i.e., agendas, PowerPoint presentations, handouts) from information sessions, focus groups, planning sessions, or trainings held by the CMO that involved parents and/or other community members.

Evidence that parents and/or other community members serve on relevant committees or are involved in other ways in the implementation of replication/expansion charter schools.

Parent and community survey results and evidence that provide meaningful opportunities for participation.

CMO guidance, technical assistance to charter schools about building support for the replication/expansion schools among parents and the community and involving parents and community members in the implementation of replication/expansion schools.

Documents showing previous and current involvement of parents and others in the community in the ongoing implementation of the replication/expansion school; such as meeting sign-in sheets, meeting minutes that list attendees and show how parents and community members contributed.

Communications, guidance, or technical assistance received from CMO about building support for the replication/expansion schools during planning and design period.

Communications, guidance, or technical assistance received from CMO about involving parents and other community members in the implementation of the school.

Documentation of meetings, correspondence, etc. that indicate how any parent and community survey results are incorporated into the school planning, design, or implementation.

INDICATOR 1.6: INFORMING STUDENTS IN THE COMMUNITY. The CMO grantee informs students in the community about the replication/expansion charter schools and gives them an equal opportunity to attend such schools.

Indicator Sources/References

Application Requirement (j) Describe how students in the community, including students with disabilities, English learners and other educationally disadvantaged students, will be informed about the proposed new or expanded charter schools and given an equal opportunity to attend such schools.

The CMO grantee demonstrates that it informs students in the community, including students with disabilities, English learners and other educationally disadvantaged students, about the replication/expansion charter schools.

The CMO grantee demonstrates that students in the community, including students with disabilities, English learners and other educationally disadvantaged students, are given an equal opportunity to attend the replication/expansion charter schools, by implementing a lottery if necessary.

Grantee’s approved CMO application and approved amendments to the application.

Documentation of CMO student outreach efforts and enrollment procedures (e.g., lottery related correspondence, student enrollment materials) or guidance to CMO area staff or schools about outreach efforts and enrollment procedures including student populations that were provided such materials; any materials that specify services available for students with disabilities and English Language Learners.

Documentation of the CMO grantee’s community outreach strategy and activities, such as fliers, signage, media coverage, marketing and advertising budgets, etc or guidance to schools about community outreach.

Outreach materials in languages other than English.

Documentation about the number of applications received and number of students enrolled with totals and subgroup counts to identify educationally disadvantaged students.

Documentation of student outreach efforts and enrollment procedures.

Documentation of lottery procedures, where applicable.

Documentation of community outreach strategy and activities, such as fliers, signage, media coverage, marketing and advertising budgets, etc.

SECTION 2: PROGRAM QUALITY AND MANAGEMENT

INDICATOR 2.1: REPLICATION OR EXPANSION SCHOOL QUALITY. The CMO expands existing or opens new charter schools that are of high quality.

Indicator Source/References

Selection Criteria In evaluating an application, the Secretary considers the following factors:

(a) Quality of the eligible applicant. In determining the quality of the applicant, the Secretary considers the following factors:

(1) The degree to which the applicant has demonstrated success in significantly increasing student academic achievement and attainment for all students, including, as applicable, educationally disadvantaged students, served by charter schools operated or managed by the applicant.

(2) Either

(i) The degree to which the applicant has demonstrated success in closing historic achievement gaps for the subgroups of students described in section 1111(b)(2)(C)(v)(II) of the ESEA at the charter schools operated or managed by the applicant or

(ii) The degree to which there have not been significant achievement gaps between any of the subgroups of students described in section 1111(b)(2)(C)(v)(II) of the ESEA at the charter schools operated or managed by the applicant and to which significant gains in student academic achievement have been made by all populations of students served by the charter schools operated and managed by the applicant

(3) The degree to which the applicant has achieved results (including performance on statewide tests, annual student attendance and retention rates, high school graduation rates, college attendance rates, and college persistence rates where applicable and available) for low-income and other educationally disadvantaged students served by the charter schools operated or managed by the applicant that are significantly above the average academic achievement results for such students in the State.

The CMO implements its model to ensure the replication or expansion schools are of high quality.

The CMO demonstrates a high quality process to determine the quality of the new or expansion schools.

The CMO demonstrates the continued success of its program or model.

The CMO acts on information related to the quality of the schools.

Documentation of charter school model such as handbooks or policies and procedures manuals that include demonstrations of past successes. Evidence that the information is received by the new or expansion schools.

Training schedules, materials, and other documents to ensure that the school staff understand and implement the requirements of the CMO charter school model(s).

Evidence that the CMO reviews the replication and expansion schools to ensure that they are of high quality.

Training schedules, materials, and other documents employed to ensure that the school staff understand and implement the requirements of the CMO charter school model.

Feedback or any document that describes results from an implementation assessment.

Data on continued charter school success or failure of funded replication or expansion schools, such as, increasing student achievement for all students, closing achievement gaps, achieving results for low-income and other educationally disadvantaged students and school closures (if applicable).

INDICATOR 2.2: ASSISTING EDUCATIONALLY DISADVANTAGED STUDENTS. The replication and expansion charter schools assist educationally disadvantaged students.

Indicator Sources/References

1. Application Requirement (k) Describe how the proposed new or expanded charter schools that are considered to be LEAs under State law, or the LEAs in which such charter schools are located, will comply with sections 613(a)(5) and 613(e)(1)(B) of the Individuals with Disabilities Education Act.

Selection Criteria (b) Contribution in assisting educationally disadvantaged students

(2) In evaluating an application, the Secretary considers following criteria:

(b) Contribution in assisting educationally disadvantaged students The contribution the proposed project will make in assisting educationally disadvantaged students served by the applicant to meet or exceed State academic content standards and State student academic achievement standards, and to graduate college- and career ready.

Note. Educationally disadvantaged students includes, but is not necessarily limited to, individuals from low-income families, English learners, migratory children, children with disabilities, and neglected or delinquent children.

Competitive Preference Priority 1 – Low-Income Demographic (Optional) The applicant must demonstrate that at least 60 percent of all students in the charter schools it operates or manages are individuals from low-income families.

Competitive Preference Priority 2 – School Improvement (Optional) The applicant must demonstrate that its proposed replication or expansion of one or more high-quality charter schools is in partnership with, and designed to assist one or more LEAS in implementing academic or structural interventions to serve students attending schools that have been identified for improvement, corrective action, closure, or restructuring under section 1116 of ESEA, and as described in the notice of final requirements for the School Improvement Grants.

Competitive Preference Priority 3—Promoting Diversity (Optional for 2011 and 2012 grantees) The applicant must demonstrate a record of (in the schools they currently operate or manage), as well as an intent to continue (in schools that they will be creating or substantially expanding under this grant), taking active measures to—

(a) Promote student diversity, including racial and ethnic diversity, or avoid racial isolation;

(b) Serve students with disabilities at a rate that is at least comparable to the rate at which these students are served in public schools in the surrounding area; and

(c) Serve English learners at a rate that is at least comparable to the rate at which these students are served in public schools in the surrounding area.

Invitational Priority: Students with Disabilities and English Learners (Optional) The Secretary is particularly interested in applicants that demonstrate, through participant, achievement, and outcome data for student with disabilities and English learners or both –

(1) Prior success in improving educational achievement and outcomes for students with disabilities and English learners; and

(2) that the model they propose to replicate or expand serves students with disabilities and English learners at rates comparable to the rates of students with disabilities and English learners, or both, in the LEAs in which their schools operate.

The CMO ensures its replication and expansion schools comply with the applicable sections of IDEA, based on the charter school’s status.

The CMO replication and expansion charter schools address the needs of educationally disadvantaged students, including low-income students, students with disabilities, English learners, homeless students, and children of migrants in meeting/exceeding State academic content and achievement standards and to graduate college- and career ready.

The CMO tracks the contribution the project makes in assisting educationally disadvantaged students.

At least 60 percent of the students in the replication and expansion schools are from low-income families. (If applicable) The CMO operates at least one new or expansion school in partnership to assist one or more LEAs with a school identified as failing under ESEA. (If applicable) The CMO has policies and conducts activities to promote diversity (as defined in the application notices) in its replication and expansion charter schools. The CMO has data to indicate that its replication and expansion schools promote diversity. (If applicable) The CMO replication and expansion charter schools serve students with disabilities and English Learners at rates comparable to those in the LEAs in which their schools operate. (If applicable)

Plans, procedures, intervention strategies, etc. for addressing the needs of educationally disadvantaged students… Reports showing income demographic statistics. (If applicable) Adequate and qualified staff to address needs of students with disabilities and English Learners. (If applicable) Evidence of partnerships with LEAs to serve students attending schools identified as failing under ESEA. (If applicable) Rates of educationally disadvantaged students, including students with disabilities and English Learners, served in replication and expansion schools.

External or internal analysis, findings, or reports regarding student achievement (e.g., student achievement data, results from project evaluations or partnership analysis) as well as evidence of college acceptance, college completion, and/or employment.

Rates of educationally disadvantaged students, including low-income students, students with disabilities and English Learners, served in replication and expansion schools.

Staff certified in special education; co-planning, any evidence of process to meet the needs of diverse learners.

External or internal analysis, findings, or reports regarding student achievement and graduation outcomes.

INDICATOR 2.3: FLEXIBILITY AND AUTONOMY. The CMO ensures a high degree of flexibility and autonomy to its replication and expansion charter schools.[footnoteRef:2] [2: This indicator is for information gathering only. No rating will be issued when reporting this indicator.]

Indicator Sources/References

ESEA Section 5204. Administration.

(b)(2) the degree of flexibility afforded by the State educational agency and, if applicable, the local educational agency to the charter school;

The CMO assists its schools to ensure that they are afforded the levels of flexibility and autonomy by SEAs and LEAs in accordance with applicable State statutes, regulations, and policies.

Evidence (such as summary charts) that the CMO understands state statutes, regulations, and policies regarding charter schools flexibility and autonomy for every state in which its schools operate. This includes but is not limited to:

1) Financial and programmatic governance

2) Waivers and exemptions

3) LEA responsibilities Evidence of communications, guidance, direction, or other steps taken by the CMO to maximize the degree of flexibility afforded charter schools under each State’s charter schools law, including participation with SEAs, charter associations.

Evidence of autonomy and flexibility exercised by the CMO grantee.

Examples of autonomy and flexibility exercised by the school.

Evidence of charter school interactions with CMO in instances where autonomy and flexibility were restricted (if applicable).

Principal reports at Board of Directors meetings (if applicable).

INDICATOR 2.4: EVALUATION PLAN. The CMO grantee implements its evaluation plan.

Indicator Sources/References

Application Requirement (a) Describe the objectives of the project for replicating or substantially expanding high-quality charter schools and the methods by which the applicant will determine its progress toward achieving those objectives.

Selection Criteria (e) Quality of the Evaluation Plan. (Not applicable to 2010 grantees) In evaluating a an application the Secretary considers the following criteria:

(e) Quality of the evaluation plan.

In determining the quality of the evaluation, the Secretary considers the extent to which the methods of evaluation include the use of objective performance measures that are clearly related to the intended outcomes of the project and will produce quantitative and qualitative data.

The CMO has implemented the evaluation plan specified in the approved application. (Not applicable for 2010 grantees) The evaluation methods include objective performance measures and produce quantitative and qualitative data.

(Not applicable for 2010 grantees)

Evidence of the activities undertaken to implement the evaluation plan specified in the approved application.

Data collection related to application objectives and its use to assess progress, including performance measure development or benchmarking.

Reports, recommendations, analyses, or other briefs from the grantee’s external, and any internal evaluations, including quantitative and qualitative data.

Data provided by the school on behalf of the CMO related to application objectives and progress assessment.

INDICATOR 2.5: PROGRESS TOWARD GRANT OBJECTIVES. The CMO grantee demonstrates substantial progress in meeting its grant objectives.

Indicator Sources/References

Application Requirement (a) Describe the objectives of the project for replicating or substantially expanding high-quality charter schools and the methods by which the applicant will determine its progress toward achieving those objectives.

Selection Criteria: In evaluating an application, the Secretary considers the following factors —

(b) Contributing in assisting educationally disadvantaged students.

The contribution the proposed project will make in assisting educationally disadvantaged students served by the applicant to meet or exceed State academic content standards and State student academic achievement standards, and to graduate college- and career-ready.

(c) Quality of Project Design.

In determining the quality of the design of the proposed project, the Secretary considers –

(i) The extent to which the goals, objectives, and outcomes to be achieved by the proposed project are clearly specified, measurable, and attainable.

The CMO is taking steps to meet the objectives in its approved application.

The CMO is collecting data to assess the progress it is making toward its grant objectives.

The CMO is making substantial progress in meeting its objectives and improving educational results for educationally disadvantaged students.

Data collection related to application objectives and its use to assess progress, including performance measure development or benchmarking.

Evidence of progress towards meeting each application objective, including:

1) Current status of relevant activities and data;

2) Historical or baseline activities and data; and

3) Planned or projected activities and data collection.

Reports, briefings, or other analysis documenting progress in meeting application objectives and improved educational results for students including educationally disadvantaged students.

Reports from the CMO regarding the status of the school on the grant objectives, including test results or other measures of educational results for educationally disadvantaged students.

SECTION 3. ADMINISTRATIVE AND FISCAL RESPONSIBILITIES

Indicator 3.1: Federal Program Funding and Coordination. The CMO ensures that its charter schools receive their commensurate share of Federal funding, and use CSP grant funds in conjunction with other Federal programs and matching funds.

Indicator Sources/References

V. Application Review Information

1. Application Requirements: Applicants applying for CSP grant funds must address both the following application requirements, which are based on the statutory requirements under the program, and the selection criteria described in this notice. An applicant may choose to respond to the application requirements in the context of its responses to the selection criteria.

(c) Describe how the applicant will ensure that each proposed new or expanded charter school receives its commensurate share of Federal education funds that are allocated by formula each year, including during the first year of operation of the school and any year in which the school’s enrollment expands significantly.

(i) Describe how the grant funds will be used, including how these funds will be used in conjunction with other Federal programs administered by the Secretary, and with any matching funds.

ESEA Section 5206. Federal Formula Allocation During First Year And For Successive Enrollment Expansions.

(a) IN GENERAL- For purposes of the allocation to schools by the States or their agencies of funds under part A of title I, and any other Federal funds which the Secretary allocates to States on a formula basis, the Secretary and each State educational agency shall take such measures as are necessary to ensure that every charter school receives the Federal funding for which the charter school is eligible not later than 5 months after the charter school first opens, notwithstanding the fact that the identity and characteristics of the students enrolling in that charter school are not fully and completely determined until that charter school actually opens. The measures similarly shall ensure that every charter school expanding its enrollment in any subsequent year of operation receives the Federal funding for which the charter school is eligible not later than 5 months after such expansion.

The CMO ensures that each of the charter schools it operates receives its commensurate share of Federal formula funding every year.

The CMO uses the funds in conjunction with other Federal programs and any matching funds.

Samples of outreach and communication efforts to replication or expansion charter schools to inform them about their commensurate share of Federal funding for which they are eligible.

Accounting and other documents demonstrating that charter schools are receiving their commensurate share of Federal formula funds within 5 months of opening or significant expansion and each consecutive year.

Accounting or other documents demonstrating charter school access to, distribution of their commensurate share, and/or participation in Federal formula programs and any applicable discretionary fund programs.

Evidence of the CMO’s coordination of CSP funds with other Federal programs and matching funds, including meeting minutes or agendas, communications, MOUs, budgets, time sheets, or other correspondence with other Federal and non-Federal projects.

Evidence of funds received from Federal programs and timing of the funds.

Evidence of information received from the CMO on school’s commensurate share of Federal formula funds and on other Federal programs in which the school may participate.

INDICATOR 3.2: USE OF CSP FUNDS. The CSP grant funds are used only for allowable activities.

Indicator Source/References

Application and Submission Information

5. Funding Restrictions

(a) Post-award planning and design of the educational program, which may include:

(b) Initial implementation or expansion of the charter school, which may include

(i) Informing the community about the school;

(ii) Acquiring necessary equipment and educational materials and supplies;

(iii) Acquiring or developing curriculum materials; and

(iv) Other initial operational costs that cannot be met from State of local sources Note. Use of up to the specified limit of 20 percent of grant funds for initial operational costs associated with the expansion or improvement of the eligible entity’s oversight or management of its schools is permitted provided that:

(i) The specific schools being created or expanded under this grant are beneficiaries of such expansion or improvement, and

(ii) such expansion or improvement is intended to improve the applicant’s ability to manage or oversee the charter schools created or expanded under this grant.

Applicants should ensure that all costs included in the proposed budget are reasonable and necessary in light of the goals and objectives of the proposed project.

A charter school that receives funds under this competition is ineligible to receive funds for the same purpose under section 5202(c)(2) of the ESEA, including planning and program design or the initial implementation of a charter school.

EDGAR Part 75 Subpart F—What Are the Administrative Responsibilities of a Grantee?

§ 75.700 Compliance with statutes, regulations, and applications.

A grantee shall comply with applicable statutes, regulations, and approved applications, and shall use Federal funds in accordance with those statutes, regulations, and applications.

§ 75.701 The grantee administers or supervises the project.

A grantee shall directly administer or supervise the administration of the project.

The CMO demonstrates that CSP funds are used only for allowable purposes.

The CMO demonstrates that grant funds are used within noted restrictions.

The CMO demonstrates that any pre-award costs were used for implementation activities only.

The CMO demonstrates that the charter schools funded under this grant did not receive another grant for the same purpose.

The CMO demonstrates that it directly administers or supervises the CSP grant.

Approved grant application and budget and any approved amendments.

Policies and procedures on the distribution and use of funds for planning/program design, promotional activities, teacher and staff salaries, professional development, program implementation, administration, and other reasonably necessary implementation activities.

Expenditure reports, progress reports, audits, or other documentation on use of the grant funds Budget with actual expenditures from CSP funds.

Communications with CMO about allowable uses of the grant funds.

Samples of invoices and other information submitted for reimbursement.

Inventory list of items purchased with grant funds.

INDICATOR 3.3: FISCAL CONTROLS AND ACCOUNTING. The grantee uses fiscal control and fund accounting procedures that meet the standards of Financial Management Systems and ensure proper disbursement of and accounting for grant funds.

Indicator Source/References

Code of Federal Regulations - Title 2, Subtitle A, Chapter II, Part 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards Subpart D – POST FEDERAL AWARD REQUIREMENTS 2 CFR 200.302 Financial management.

a) Each state must expend and account for the Federal award in accordance with state laws and procedures for expending and accounting for the state's own funds. In addition, the state's and the other non-Federal entity's financial management systems, including records documenting compliance with Federal statutes, regulations, and the terms and conditions of the Federal award, must be sufficient to permit the preparation of reports required by general and program-specific terms and conditions; and the tracing of funds to a level of expenditures adequate to establish that such funds have been used according to the Federal statutes, regulations, and the terms and conditions of the Federal award. See also §200.450 Lobbying.

(b) The financial management system of each non-Federal entity must provide for the following (see also §§200.333 Retention requirements for records, 200.334 Requests for transfer of records, 200.335 Methods for collection, transmission and storage of information, 200.336 Access to records, and 200.337 Restrictions on public access to records):

(1) Identification, in its accounts, of all Federal awards received and expended and the Federal programs under which they were received. Federal program and Federal award identification must include, as applicable, the CFDA title and number, Federal award identification number and year, name of the Federal agency, and name of the pass-through entity, if any.

(2) Accurate, current, and complete disclosure of the financial results of each Federal award or program in accordance with the reporting requirements set forth in §§200.327 Financial reporting and 200.328 Monitoring and reporting program performance. If a Federal awarding agency requires reporting on an accrual basis from a recipient that maintains its records on other than an accrual basis, the recipient must not be required to establish an accrual accounting system. This recipient may develop accrual data for its reports on the basis of an analysis of the documentation on hand. Similarly, a pass-through entity must not require a subrecipient to establish an accrual accounting system and must allow the subrecipient to develop accrual data for its reports on the basis of an analysis of the documentation on hand.

(3) Records that identify adequately the source and application of funds for federally-funded activities. These records must contain information pertaining to Federal awards, authorizations, obligations, unobligated balances, assets, expenditures, income and interest and be supported by source documentation.

(4) Effective control over, and accountability for, all funds, property, and other assets. The non-Federal entity must adequately safeguard all assets and assure that they are used solely for authorized purposes. See §200.303 Internal controls.

(5) Comparison of expenditures with budget amounts for each Federal award.

(6) Written procedures to implement the requirements of §200.305 Payment.

(7) Written procedures for determining the allowability of costs in accordance with Subpart E—Cost Principles of this part and the terms and conditions of the Federal award.

2 CFR 200.313 Equipment

(e) Disposition. When original or replacement equipment acquired under a Federal award is no longer needed for the original project or program or for other activities currently or previously supported by a Federal awarding agency, except as otherwise provided in Federal statutes, regulations, or Federal awarding agency disposition instructions, the non-Federal entity must request disposition instructions from the Federal awarding agency if required by the terms and conditions of the Federal award. Disposition of the equipment will be made as follows, in accordance with Federal awarding agency disposition instructions:

(1) Items of equipment with a current per unit fair market value of $5,000 or less may be retained, sold or otherwise disposed of with no further obligation to the Federal awarding agency.

(2) Except as provided in §200.312 Federally-owned and exempt property, paragraph (b), or if the Federal awarding agency fails to provide requested disposition instructions within 120 days, items of equipment with a current per-unit fair-market value in excess of $5,000 may be retained by the non-Federal entity or sold. The Federal awarding agency is entitled to an amount calculated by multiplying the current market value or proceeds from sale by the Federal awarding agency's percentage of participation in the cost of the original purchase. If the equipment is sold, the Federal awarding agency may permit the non-Federal entity to deduct and retain from the Federal share $500 or ten percent of the proceeds, whichever is less, for its selling and handling expenses.

(3) The non-Federal entity may transfer title to the property to the Federal Government or to an eligible third party provided that, in such cases, the non-Federal entity must be entitled to compensation for its attributable percentage of the current fair market value of the property.

(4) In cases where a non-Federal entity fails to take appropriate disposition actions, the Federal awarding agency may direct the non-Federal entity to take disposition actions.

Subpart F – AUDIT REQUIREMENTS 2 CFR 200.501 Audit Requirements

(a) Audit required. A non-Federal entity that expends $750,000 or more during the non-Federal entity's fiscal year in Federal awards must have a single or program-specific audit conducted for that year in accordance with the provisions of this part.

(b) Single audit. A non-Federal entity that expends $750,000 or more during the non-Federal entity's fiscal year in Federal awards must have a single audit conducted in accordance with §200.514 Scope of audit except when it elects to have a program-specific audit conducted in accordance with paragraph (c) of this section.

EDGAR Part 75 Subpart F—What Are the Administrative Responsibilities of a Grantee?

§ 75.702 Fiscal control and fund accounting procedures.

A grantee shall use fiscal control and fund accounting procedures that insure proper disbursement of and accounting for Federal funds.

The CMO grantee’s fund accounting procedures are adequate to meet the Federal standards of Financial Management Systems and ensure proper disbursement of and accounting for Federal funds.

The CMO grantee’s fiscal controls are adequate to ensure compliance with all applicable Federal requirements including fiscal procedures, competitive bidding processes and contracting procedures, disposition of assets, and conflict of interest provisions.

The CMO grantee has processes to identify all CSP-funded assets and to dispose of those assets according to regulations if a charter school is closed.

The CMO grantee has regular audits conducted for its schools. If violations are found, the grantee addresses the violations.

Grantee policies and procedures on procurement and conflict of interest.

Grantee accounting and disbursement policies and procedures.

Samples of grants management/tracking documents, reports, or schedules that demonstrate…