SEA_Indicators_and_Crosswalk.docx

Section I: Subgrant Application and Award Process

INDICATOR 1.1: SUBGRANT APPLICATION DESCRIPTIONS AND ASSURANCES. The State requires each eligible applicant desiring to receive a subgrant to submit an application to the State Educational Agency that includes the descriptions and assurances required in Federal statute.

Indicator Sources/References

ESEA Section 5203. Applications.

(b) CONTENTS OF A STATE EDUCATIONAL AGENCY APPLICATION- Each application submitted pursuant to subsection (a) shall —

(3) contain assurances that the State educational agency will require each eligible applicant desiring to receive a subgrant to submit an application to the State educational agency containing —

(A) a description of the educational program to be implemented by the proposed charter school, including —

(i) how the program will enable all students to meet challenging State student academic achievement standards;

(ii) the grade levels or ages of children to be served; and

(iii) the curriculum and instructional practices to be used;

(B) a description of how the charter school will be managed;

(C) a description of —

(i) the objectives of the charter school; and

(ii) the methods by which the charter school will determine its progress toward achieving those objectives;

(D) a description of the administrative relationship between the charter school and the authorized public chartering agency;

(E) a description of how parents and other members of the community will be involved in the planning, program design, and implementation of the charter school;

(F) a description of how the authorized public chartering agency will provide for continued operation of the school once the Federal grant has expired, if such agency determines that the school has met the objectives described in subparagraph (C)(i);

(G) a request and justification for waivers of any Federal statutory or regulatory provisions that the eligible applicant believes are necessary for the successful operation of the charter school, and a description of any State or local rules, generally applicable to public schools, that will be waived for, or otherwise not apply to, the school;

(H) a description of how the subgrant funds or grant funds, as appropriate, will be used, including a description of how such funds will be used in conjunction with other Federal programs administered by the Secretary;

(I) a description of how students in the community will be —

(i) informed about the charter school; and

(ii) given an equal opportunity to attend the charter school;

(J) an assurance that the eligible applicant will annually provide the Secretary and the State educational agency such information as may be required to determine if the charter school is making satisfactory progress toward achieving the objectives described in subparagraph (C)(i);

(K) an assurance that the eligible applicant will cooperate with the Secretary and the State educational agency in evaluating the program assisted under this subpart;

(L) a description of how a charter school that is considered a local educational agency under State law, or a local educational agency in which a charter school is located, will comply with sections 613(a)(5) and 613(e)(1)(B) of the Individuals with Disabilities Education Act;

(M) if the eligible applicant desires to use subgrant funds for dissemination activities under section 5202(c)(2)(C), a description of those activities and how those activities will involve charter schools and other public schools, local educational agencies, developers, and potential developers; and

(N) such other information and assurances as the Secretary and the State educational agency may require.

The State demonstrates that it includes each of the Federally-required descriptions and assurances in its planning and implementation subgrantee application.

The State demonstrates that it includes each of the Federally-required descriptions and assurances in its dissemination subgrantee application (if applicable).

The State demonstrates that successful subgrant applicants adequately address each of the required descriptions and assurances in their applications.

CSP Planning and Implementation subgrant applications used during the grant period.

CSP Dissemination subgrant applications used during the grant period.

Funded subgrant applications demonstrating adequate responses to required descriptions and assurances.

Evidence of guidance or technical assistance provided to subgrant applicants related to the application process.

Unfunded subgrant applications demonstrating inadequate responses to required descriptions and assurances.

Approved subgrant application.

Evidence of guidance or technical assistance from the SEA regarding successful subgrant applications.

INDICATOR 1.2: ELIGIBLE APPLICANTS. The State ensures each applicant desiring to receive a subgrant meets the term “eligible applicant.”

Indicator Sources/References

ESEA Section 5210. Definitions.

(2) DEVELOPER- The term ‘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.

(3) ELIGIBLE APPLICANT- The term ‘eligible applicant' means a developer that has —

(A) applied to an authorized public chartering authority to operate a charter school; and

(B) provided adequate and timely notice to that authority under section 5203(d)(3).

(4) AUTHORIZED PUBLIC CHARTERING AGENCY- The term ‘authorized public chartering agency' means a State educational agency, local educational agency, or other public entity that has the authority pursuant to State law and approved by the Secretary to authorize or approve a charter school.

ESEA Section 5204. Administration.

(f) USE OF FUNDS-

(6) DISSEMINATION-

(A) IN GENERAL- A charter school may apply for funds under this subpart, whether or not the charter school has applied for or received funds under this subpart for planning, program design, or implementation, to carry out the activities described in subparagraph (B) if the charter school has been in operation for at least 3 consecutive years and has demonstrated overall success, including—

(i) substantial progress in improving student academic achievement;

(ii) high levels of parent satisfaction; and

(iii) the management and leadership necessary to overcome initial start-up problems and establish a thriving, financially viable charter school.

Charter Schools Program Title V, Part B Non-Regulatory Guidance January 2014 B-12. 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.)

Charter Schools Program Title V, Part B Non-Regulatory Guidance January 2014 C-1. May an SEA award CSP start-up subgrants to multiple charter schools established under a single charter?

Section 5202(d)(1) of the ESEA provides that “[a] charter school may not receive… more than one grant for [planning and implementation activities].” For purposes of the CSP, a “charter school” is defined as, among other criteria, “a public school that… is created by a developer as a public school…; operates in accordance with State law…; and has a written performance contract with the authorized public chartering agency in the State….” Thus, the question of whether an SEA may award CSP start-up subgrants to multiple charter schools established under a single charter depends on: (a) whether the charter school at issue meets the definition of a charter school as set forth in section 5210(1) of the ESEA; and (b) whether the charter school has received a CSP start-up grant or subgrant previously.

The State demonstrates that it determines that a developer applying for a Planning and Implementation subgrant has 1) applied to an authorized public chartering authority to operate a charter school and 2) provided adequate and timely notice to that authority of their intentions to apply for CSP grant funds, plus a copy of their CSP grant application.

The State demonstrates that it determines that a charter school applying for a Dissemination subgrant has been in operation for at least 3 consecutive years and has demonstrated overall success.

Evidence of the SEA’s process to review and determine that applicants have met the eligibility requirements.

SEA’s definition of “overall success” for Dissemination subgrant applicants.

Definition of eligible applicant provided in subgrant applications.

Other State policies or guidance regarding definition of eligible applicants.

Data from grants management or other tracking systems used to determine charter school length of operation and /or overall success.

State policies or guidelines unique to CMO or EMOs on charter school eligibility to receive CSP funding (e.g., non-profit status, independent board of trustees, multiple schools under a single charter).

Completed subgrantee application demonstrating how subgrantee documents eligible applicant status.

Documentation of subgrant applicant’s date of application to authorized public chartering authority to operate a charter school.

Correspondence with authorizer about intention to apply for CSP grant funds.

INDICATOR 1.3: DEFINITION OF CHARTER SCHOOL. The State ensures each eligible applicant meets the term “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.

E-4. May a charter school exempt certain categories of applicants from the lottery and admit them automatically?

A charter school that is oversubscribed and, consequently, must use a lottery, generally must include in that lottery all eligible applicants for admission. A charter school may exempt from the lottery only those students who are deemed to have been admitted to the charter school already and, therefore, do not need to reapply. Specifically, the following categories of applicants may be exempted from the lottery on this basis:

(a) Students who are enrolled in a public school at the time it is converted into a public charter school;

(b) Students who are eligible to attend, and are living in the attendance area of, a public school at the time it is converted into a public charter school;

(c) Siblings of students already admitted to or attending the same charter school;

(d) Children of a charter school's founders, teachers, and staff (so long as the total number of students allowed under this exemption constitutes only a small percentage of the school's total enrollment); and

(e) Children of employees in a work-site charter school, (so long as the total number of students allowed under this exemption constitutes only a small percentage of the school's total enrollment).

E-8. May a tuition-based private preschool program that “feeds into” an elementary public charter school at the kindergarten level permit children enrolled in the preschool program to continue in the elementary program without going through a lottery process?

No. In order to qualify for funds under the CSP, a “charter school” must, in addition to meeting other requirements, be created as a public school and may not charge tuition. Therefore, the private preschool would not qualify as a charter school and would have to be operated separately from the elementary “charter school”. Accordingly, all applicants to the charter school, including students attending the private preschool, would have to be selected by lottery if there are more applicants than there are spaces available.

The State demonstrates how it determines that each applicant meets the Federal term “charter school” at the time of application.

The State monitors subgrantees to ensure they continue to meet the Federal term “charter school” throughout the period of Federal funding.

The State ensures the contractual relationship between management companies and charter schools allows for charter schools to continue to meet the Federal definition of a charter school.

Evidence of the process the SEA uses to determine applicants meet the Federal term “charter school” at the time of application.

Evidence of the process the SEA uses to ensure subgrantees continue to meet the Federal term “charter school” throughout the period of Federal funding.

Samples of documentation submitted by charter schools as part of their application to support their charter school status.

State statutes, regulations, and policies regarding charter school definition.

State policy or guidance specific to third-party contracts between a subgrantee and a for-profit entity.

State policy, guidance, or oversight on contracts between charter schools and their EMO or CMO.

Monitoring plans or protocols, as related to charter school definition.

Performance contract with authorizing agency.

Contract with charter/educational management organization (if applicable).

Proof of non-profit status.

Additional charter development materials and school policies related to:

1) Admissions lottery

2) Autonomy and governance

3) Non-sectarian status

4) Non-tuition status

5) Educational program Discuss the SEA’s efforts to verify and monitor charter school status at the time of application and throughout the life of the grant.

Copies of contract with management organization (if applicable)

INDICATOR 1.4: PEER REVIEW. The State uses a peer review process to review and select applications for assistance under this program.

Indicator Sources/References

ESEA Section 5204. Administration.

(c) PEER REVIEW- The Secretary, and each State educational agency receiving a grant under this subpart, shall use a peer review process to review applications for assistance under this subpart.

The State demonstrates that it employs a systematic process for reviewing and selecting applications for Planning and Implementation and for Dissemination subgrants, including

· identifying and selecting peer reviewers;

· providing reviewers with adequate guidance and training in the review process; and

· consistently using the peer reviews to select applications for funding.

List of reviewers and how they meet peer criteria.

Guidance or training provided to reviewers.

Examples of peer review documents including scoring sheets or reviewer comments.

State regulations, policies, or procedures regarding application review.

Other peer review documents, including:

1) Call for reviewers

2) Reviewer conflict of interest statement

3) Reviewer selection materials

NA

INDICATOR 1.5: PROGRAM PERIODS. CSP subgrants awarded by the State do not exceed the maximum program periods allowed.

Indicator Source/References

ESEA Section 5202. Program Authorized.

(c) PROGRAM PERIODS-

(2) GRANTS TO ELIGIBLE APPLICANTS- Grants awarded by the Secretary to eligible applicants or subgrants awarded by State educational agencies to eligible applicants under this subpart shall be for a period of not more than 3 years, of which the eligible applicant may use —

(A) not more than 18 months for planning and program design;

(B) not more than 2 years for the initial implementation of a charter school; and

(C) not more than 2 years to carry out dissemination activities described in section 5204(f)(6)(B).

(d) LIMITATION- A charter school may not receive —

(1) more than one grant for activities described in subparagraphs (A) and (B) of subsection (c)(2); or

(2) more than one grant for activities under subparagraph (C) of subsection (c)(2).

Each Planning and Implementation subgrantee receives no more than one grant, and the grant is for a continuous period of not more than 3 years, of which the eligible applicant may use not more than 18 months for planning and program design and not more than 2 years for the initial implementation of a charter school.

Each Dissemination subgrantee receives no more than one grant, and the grant is for a continuous period of not more than 2 years.

The State demonstrates that subgrantees have access to their grant funds for the full allowable project periods.

Samples of Grant Award Notices or other official documentation stating allowable grant award periods.

Budget, accounting, grants management, or other documents or correspondence tracking grant award periods.

Notification of grant award, grant agreement, or other contractual documents showing the subgrant period.

Grant-related correspondence that documents grant award periods.

Section II: CSP and Charter School Quality

INDICATOR 2.1: QUALITY AUTHORIZING PRACTICES. State laws, regulations, or other policies provide for quality authorizing practices and the SEA monitors and holds accountable the authorized public chartering agencies in the State so as to improve the capacity of those agencies to authorize, monitor, and hold accountable charter schools.

Indicator Sources/References

2010 Charter Schools Program Assurances – State Educational Agencies

3) State law, regulations, or other policies in the State where the applicant is located require that – A) Each authorized charter school in the State operate under a legally binding charter or performance contract between itself and the school’s authorized public chartering agency that describes the obligations and responsibilities of the school and the public chartering agency; conduct annual, timely, and independent audits of the school’s financial statements that are filed with the school’s authorized public chartering agency; and demonstrate improved student academic achievement; and B) Authorized public chartering agencies use increases in student academic achievement for all groups of students described in section 1111(b)(2)(C)(v) of the ESEA as the most important factor when determining to renew or revoke a school’s charter.

Charter Schools Program (CSP): State Educational Agencies; Notice Inviting Applications for New Awards for Fiscal Year (FY) 2010 and FY 2011 Priority 1—Periodic Review and Evaluation (10 points). The State provides for periodic review and evaluation by the authorized public chartering agency of each charter school at least once every five years, unless required more frequently by State law, to determine whether the charter school is meeting the terms of the school’s charter, and is meeting or exceeding the student academic achievement requirements and goals for charter schools as set forth under State law or the school’s charter.

V. Application Review Information Selection Criteria: The selection criteria for this competition are from the authorizing statute for this program and 34 CFR 75.210 of EDGAR and are as follows:

v) The SEA's plan to monitor and hold accountable authorized public chartering agencies through such activities as providing technical assistance or establishing a professional development program, which may include providing authorized public chartering agency staff with training and assistance on planning and systems development, so as to improve the capacity of those agencies to authorize, monitor, and hold accountable charter schools.

ESEA Section 5203. Applications.

(b) CONTENTS OF A STATE EDUCATIONAL AGENCY APPLICATION- Each application submitted pursuant to subsection (a) shall —

(3) contain assurances that the State educational agency will require each eligible applicant desiring to receive a subgrant to submit an application to the State educational agency containing —

(F) a description of how the authorized public chartering agency will provide for continued operation of the school once the Federal grant has expired, if such agency determines that the school has met the objectives described in subparagraph (C)(i).

State laws, regulations, or other policies provide for high-quality charter school authorizing practices, including:

· Charter or performance contracts that describe the obligations and responsibilities of the school and the authorizer;

· Annual charter school financial audits;

· Requirements for improved student academic achievement; and

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

The State demonstrates high-quality authorizer practices related to charter contracts and processes for determining charter renewal or revocation, including ensuring that authorizers provide for continued operation of successful charter schools.

The SEA demonstrates a plan or strategy to improve the capacity of authorized chartering agencies to authorize, monitor, and hold accountable charter schools.

The SEA demonstrates steps taken to monitor and hold accountable the authorized public chartering agencies to authorize, monitor, and hold accountable charter schools.

State policies or guidance to support high-quality authorizer practices (including but not limited to nationally recognized standards and practices).

Evidence of monitoring of authorizers for compliance with State policies on quality authorizing, including charter contracts and processes for determining charter renewal or revocation.

Evidence of technical assistance, professional development, or other efforts to improve the capacity and practices of authorized public chartering agencies.

Detailed agendas, training materials, correspondence with authorizers, etc.

Charter or performance contract.

Annual financial audit reports.

Evidence of student academic achievement results.

Guidance, correspondence, or other information from authorizer on renewal or revocation criteria.

Indicator 2.2: FLEXIBILITY AND AUTONOMY. The SEA affords a high degree of flexibility and autonomy to charter schools.

Indicator Sources/References

ESEA Section 5204. Administration.

(b) SELECTION CRITERIA FOR ELIGIBLE APPLICANTS- The Secretary shall award grants to eligible applicants under this subpart on the basis of the quality of the applications submitted under section 5203(c), after taking into consideration such factors as —

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

ESEA Section 5202. Program Authorized.

(e) PRIORITY TREATMENT-

(3) PRIORITY CRITERIA- The criteria referred to in paragraph (1) are the following:

(C) The State ensures that each charter school has a high degree of autonomy over the charter school's budgets and expenditures.

Charter Schools Program (CSP): State Educational Agencies; Notice Inviting Applications for New Awards for Fiscal Year (FY) 2010 & 2011. Selection Criteria.

(ii) The degree of flexibility afforded by the SEA to charter schools under the State’s charter school law (30 points). Note: The Secretary encourages the applicant to include a description of how the State’s law establishes an administrative relationship between the charter school and the authorized public chartering agency and exempts charter schools from significant State or local rules that inhibit the flexible operation and management of public schools. The Secretary also encourages the applicant to include a description of the degree of autonomy charter schools have achieved over such matters as the charter school’s budget, expenditures, daily operation, and personnel in accordance with their State’s law.

State laws, regulations, or other policies provide a high degree of flexibility and autonomy to charter schools over:

1) Budget,

2) Expenditures,

3) Personnel, and

4) Daily operations.

The SEA works to maximize the degree of flexibility afforded charter schools under the State’s charter schools law.

State statutes, regulations, and policies regarding charter schools flexibility and autonomy, including but 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 State to maximize the degree of flexibility afforded charter schools under the State’s charter schools law.

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

INDICATOR 2.3: SUBGRANTEE QUALITY. The SEA awards grants to eligible applicants on the basis of the quality of the applications submitted.

Indicator Source/References

ESEA Section 5204. Administration.

(b) SELECTION CRITERIA FOR ELIGIBLE APPLICANTS- The Secretary shall award grants to eligible applicants under this subpart on the basis of the quality of the applications submitted under section 5203(c), after taking into consideration such factors as —

(1) the quality of the proposed curriculum and instructional practices;

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

(3) the extent of community support for the application;

(4) the ambitiousness of the objectives for the charter school;

(5) the quality of the strategy for assessing achievement of those objectives;

(6) the likelihood that the charter school will meet those objectives and improve educational results for students; and

(7) in the case of an eligible applicant that proposes to use grant funds to support dissemination activities under subsection (f)(6)(B), the quality of those activities and the likelihood that those activities will improve student achievement.

The SEA articulates its criteria of subgrantee and application quality for purposes of assessing CSP applicants and awarding subgrants.

The SEA demonstrates that it uses these criteria to review and award CSP subgrant applications.

The SEA demonstrates a high quality process to determine the quality of the CSP applicant and application, including considering the review of the applicant during the charter authorization process.

Policies, guidance, or other documentation of CSP applicant and application assessment criteria, including expectations for quality.

Application assessment tools such as scoring priorities, rubrics, and tie-breaking rules.

Documents from grant award process such as application scores and reviewer comments showing how the State determines grantees and grant award values.

Data on continued charter school success or failure (e.g., school closure) of funded applicants.

Evidence of information, technical assistance, and training provided to eligible applicants on the application assessment and award process.

Correspondence with or technical assistance to subgrantees to strengthen applications.

Artifacts from application review process including reviewers’ comments, correspondence, or completed application assessment tools.

INDICATOR 2.4: DISTRIBUTION OF SUBGRANTS. The State awards subgrants in a manner, to the extent possible, to ensure that such subgrants: a) are distributed throughout different areas of the State, including urban and rural areas; and b) will assist charter schools representing a variety of educational approaches.

Indicator Source/References

ESEA Section 5204. Administration.

(d) DIVERSITY OF PROJECTS- The Secretary and each State educational agency receiving a grant under this subpart, shall award grants and subgrants under this subpart in a manner that, to the extent possible, ensures that such grants and subgrants —

(1) are distributed throughout different areas of the Nation and each State, including urban and rural areas; and

(2) will assist charter schools representing a variety of educational approaches, such as approaches designed to reduce school size.

The State demonstrates that the manner in which it awards subgrants results in the distribution of subgrants throughout different areas of the State.

The State demonstrates that the manner in which it awards subgrants assists charter schools representing a variety of educational approaches.

Documentation of priorities for charter school distribution in subgrant application, guidance to applicants and reviewers, State statutes, or other materials.

Evidence of charter recruitment and development efforts to target charter developers in certain regions or with certain educational approaches.

List or map of subgrantees by location.

List of subgrantees by type of educational approach.

NA

INDICATOR 2.5: SUBGRANTEE MONITORING. The SEA monitors subgrantee projects to assure approved grant and subgrant objectives are being achieved and to ensure compliance with Federal requirements.

Indicator Sources/References

Code of Federal Regulations - Title 34: Education 2 CFR 200.328 - Monitoring and reporting program performance.

(a) Monitoring by the non-Federal entity. The non-Federal entity is responsible for oversight of the operations of the Federal award supported activities. The non-Federal entity must monitor its activities under Federal awards to assure compliance with applicable Federal requirements and performance expectations are being achieved. Monitoring by the non-Federal entity must cover each program, function or activity. See also §200.331 Requirements for pass-through entities..

The SEA demonstrates that it regularly monitors subgrantee projects.

SEA selects subgrantees to be monitored using a risk-based or other strategic approach SEA uses trained monitors to monitor subgrantee projects The SEA demonstrates that its monitoring processes allow it to assess a subgrantee’s progress in meeting the performance objectives outlined in its subgrant application.

The State demonstrates that it uses its monitoring process to support subgrantee projects in meeting SEA performance objectives.

The SEA’s monitoring processes allow it to assess a subgrantee’s fiscal control and fund accounting procedures.

SEA monitoring includes effective follow-up or corrective action plans for identified deficiencies.

Documentation of content and process of charter school monitoring, including:

1) Monitoring rubrics or protocols;

2) Monitoring schedules and participants, including selection criteria;

3) Samples of monitoring reports or other products;

4) Samples of corrective action notices and follow up actions.

Evidence of SEA efforts to monitor use of CSP funds and subgrantee fiscal policies and procedures, which may include expenditure reports, progress reports, audits or other documentation that charter schools are required to submit.

State statutes, regulations, and guidance or other policies related to charter school subgrant monitoring.

Evidence of SEA coordination of CSP office with other Federal program offices in monitoring charter schools. For example, monitoring of Special Education or Title I includes charter schools.

Evidence of SEA monitoring correspondence, visits, reports, or corrective action notices directly related to subgrant.

INDICATOR 2.6: DISSEMINATION OF BEST OR PROMISING PRACTICES. The State disseminates best or promising practices of charter schools to each local educational agency in the State.

Indicator Sources/References

ESEA Section 5203. Applications.

(b) CONTENTS OF A STATE EDUCATIONAL AGENCY APPLICATION- Each application submitted pursuant to subsection (a) shall —

(2) describe how the State educational agency —

(C) will disseminate best or promising practices of charter schools to each local educational agency in the State.

The State demonstrates a process for identifying best or promising practices of charter schools.

The State demonstrates that it disseminates best or promising practices to each LEA in the State as described in its approved application.

State definition of best or promising practices.

Evidence of the distribution of best or promising practices, such as related trainings, conferences, or correspondence.

State statutes, policies, and guidance related to the definition and dissemination of best practices.

Process or tool used to determine best or promising practices.

Current and former best practices reports.

NA

INDICATOR 2.7: ACHIEVEMENT OF APPLICATION OBJECTIVES. The State demonstrates substantial progress in meeting its application objectives.

Indicator Source/References

ESEA Section 5204. Administration.

(a) SELECTION CRITERIA FOR STATE EDUCATIONAL AGENCIES- The Secretary shall award grants to State educational agencies under this subpart on the basis of the quality of the applications submitted under section 5203(b), after taking into consideration such factors as —

(4) the quality of the strategy for assessing achievement of those objectives;

(5) the likelihood that the charter school grant program will meet those objectives and improve educational results for students;

The State’s strategy for assessing achievement of its application objectives enables it to demonstrate progress toward meeting the objectives of its approved application.

The State demonstrates progress in meeting the objectives of its application.

Evidence of a strategy to assess SEA’s application objectives, including:

1. Internal data collection and analysis plans;

2. External evaluations (if applicable).

Evidence of progress towards meeting each application objective, including:

1. Current status of relevant data (beyond last APR);

2. Data since the beginning of the project period.

Source documents for data on progress toward application objectives (i.e. external evaluation, subgrantee progress reports).

SEA annual or other periodic performance reports.

NA

Section III: Administrative and Fiscal Responsibilities

INDICATOR 3.1: FEDERAL PROGRAMS INFORMATION AND FUNDING. The State informs appropriate audiences about the SEA’s charter school grant program, Federal funds that the charter school is eligible to receive and Federal programs in which the charter school may participate, and ensures that each charter school in the State receives its commensurate share of Federal education formula funds.

Indicator Source References

ESEA Section 5203. Applications.

(b) CONTENTS OF A STATE EDUCATIONAL AGENCY APPLICATION- Each application submitted pursuant to subsection (a) shall —

(1) describe the objectives of the State educational agency's charter school grant program and a description of how such objectives will be fulfilled, including steps taken by the State educational agency to inform teachers, parents, and communities of the State educational agency's charter school grant program; and

(2) describe how the State educational agency —

(A) will inform each charter school in the State regarding —

(i) Federal funds that the charter school is eligible to receive; and

(ii) Federal programs in which the charter school may participate;

(B) will ensure that each charter school in the State receives the charter school's commensurate share of Federal education funds that are allocated by formula each year, including during the first year of operation of the charter school 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 State informs teachers, parents, and communities of the State Educational Agency’s charter school grant program.

The State informs each charter school about available Federal funds and Federal programs they may be eligible to participate in.

The State ensures that every charter school receives the Federal funding for which the charter school is eligible not later than 5 month after the charter school first opens or significantly expands its enrollment.

Samples of outreach and communication efforts to teachers, parents and communities about the CSP program.

Samples of outreach and communication efforts to charter schools about other Federal funding opportunities.

Accounting or other documents demonstrating charter school access to, distribution of, and/or participation in Federal formula programs.

State definition of significant expansion.

Evidence of a process to ensure charter schools receive Federal funding for which they are eligible in cases of new openings or significant expansion.

Websites, listservs or other communications utilized for CSP grant-related outreach.

Copy of State’s Consolidated Application for Federal Funding that demonstrates how charter schools are included.

Evidence of training, technical assistance and other support to charter schools in receiving Federal funding for which they are eligible.

Evidence of information received from the State on school’s eligibility for Federal formula funds.

Evidence of funds received from Federal funds programs.

Evidence of technical assistance from the State regarding available Federal funding access.

INDICATOR 3.2: ALLOCATION OF CSP FUNDS. The proportion of grant funds reserved by the State for each activity does not exceed the allowable amount.

Indicator Sources/References

ESEA Section 5204. Administration.

(f) USE OF FUNDS-

(1) STATE EDUCATIONAL AGENCIES- Each State educational agency receiving a grant under this subpart shall use such grant funds to award subgrants to one or more eligible applicants in the State to enable such applicant to plan and implement a charter school in accordance with this subpart, except that the State educational agency may reserve not more than 10 percent of the grant funds to support dissemination activities described in paragraph (6).

(4) ADMINISTRATIVE EXPENSES-

(A) STATE EDUCATIONAL AGENCY ADMINISTRATIVE EXPENSES- Each State educational agency receiving a grant pursuant to this subpart may reserve not more than 5 percent of such grant funds for administrative expenses associated with the charter school grant program assisted under this subpart.

(5) REVOLVING LOAN FUNDS- Each State educational agency receiving a grant pursuant to this subpart may reserve not more than 10 percent of the grant funds for the establishment of a revolving loan fund. Such fund may be used to make loans to eligible applicants that have received a subgrant under this subpart, under such terms as may be determined by the State educational agency, for the initial operation of the charter school grant program of the eligible applicant until such time as the recipient begins receiving ongoing operational support from State or local financing sources.

The State demonstrates that it reserves and uses no more than 5 percent of CSP grant funds for appropriate administrative expenses.

The State demonstrates that it reserves and uses no more than 10 percent of CSP grant funds to support dissemination activities.

The State demonstrates that it reserves and uses no more than 10 percent the total grant funds for a revolving loan fund.

Current budget reports showing amounts budgeted and used for CSP by activity, including dissemination, administration, and revolving loan fund (if applicable).

Budget narrative or other descriptions of CSP-funded activities.

State statutes, regulations, or policies regarding a revolving loan fund, if applicable.

NA

INDICATOR 3.3: ADMINISTRATION AND USE OF CSP FUNDS. The SEA administers the CSP funds and monitors subgrantee projects to ensure the proper disbursement, accounting for and use of Federal funds.

Indicator Sources/References

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.

§ 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.

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.

Section 5204. Administration.

(f) USE OF FUNDS-

(3) ALLOWABLE ACTIVITIES- An eligible applicant receiving a grant or subgrant under this subpart may use the grant or subgrant funds only for —

(A) post-award planning and design of the educational program, which may include —

(i) refinement of the desired educational results and of the methods for measuring progress toward achieving those results; and

(ii…