The University of the State of New York/The State Education Department

THE UNIVERSITY OF THE STATE OF NEW YORK THE STATE EDUCATION DEPARTMENT Charter Schools Comprehensive Monitoring Protocol Cover Page

Date of Report:

Charter School:

Address:

Telephone Fax:

School Leader: E-mail:

Charter Entity:

Grades Served: Number of Students:

District of Location:

Management Partner:

Institutional Partner:

Names of Visitor(s), Office(s) Represented, and Date(s) of Visit(s): Charter School Mission Statement:

Areas of Strength:  Recommended Action: 

Required Action: 

Recommended Action: Observations made during the visit that do not require formal follow-up, but are noted for the charter schools consideration.

Required Action: Amplified for corrective actions to be taken promptly by the Charter School. These necessitate written responses and accompanying documentation to demonstrate that the appropriate corrective actions were taken and/or are underway.

2 Charter School: ______

ITEM MONITORING CRITERION CITATION EVIDENCE OF COMPLIANCE RECOMMENDED (RE) / REQUIRED ACTION (RQ)

Curriculum, Instruction, and Assessment Instructional Program  Instruction based on school’s approved §2851(2)(b) curriculum (name). §2852(7)  Curriculum aligned with approved §2854(1)(b) §2854(2)(a) curriculum in charter (explain any §2.6 of Charter discrepancy – provide evidence of approval Agreement for any changes). Charter page.  Note to RL: List specific characteristics of RL: If SUNY the approved educational program, & change citation reference pages. from BOR charter agreement to their version and/or Accountability Plan.

ITEM MONITORING CRITERION CITATION EVIDENCE OF COMPLIANCE

Curriculum, Instruction, and Assessment (con’t.) Samples of Student Work  Other evidence that learning is taking place, such as use of rubrics by teachers and students, progressive pieces of work,

3 portfolios, etc. All monitoring reports from the  Issues have been addressed §2853(1)(c) . charter entity or any other satisfactorally. §2853(2) evaluative agency and all written responses of the charter school to such reports School Calendar  Provides for at least as much instruction §2851(2)(n) as for other public schools. §2.7 of Charter Agreement Charter page.

RL: If SUNY change citation from BOR charter agreement to their version and/or Accountability Plan. Daily Schedule for All Grades  Provides for instruction in all curricular §2851(2)(n) areas Charter page After School, Saturday, or Sunday  After school, Saturday and/or summer programs program is offered in accordance with charter.  After school, summer and/ or Saturday programs that are not mandatory for all students are funded through a source that is distinct and separate from the general charter school budget.  The funding source of after school or Saturday programs is distinct and separate, if not mandatory for all. List of Textbooks and Materials  Comports with charter. §2852(7) Used  If changed: evidence of charter entity §2854(2)(a) approval, & BOR approval, if needed. Charter page

4 Curriculum, Instruction, and Assessment (con’t.) Assessments Administered to §2854(1)(b) Students  All applicable State assessments are §2854(1)(d) given. All required state assessments (except where an IEP restricts). All records are kept on-site.  All records are kept on-site. Oversight Plan Section II(D)

RL: If SUNY change citation from BOR charter agreement to their version and/or Accountability Plan. Other (Specify): 

Revisions to charter  Documentation (e.g. memoranda from School and Authorizer) to demonstrate the Board of Trustees (BOT) and the charter entity have approved all changes made to charter.  Copies of BOT minutes showing approval of the recommended changes are provided, as well as copies of letters from the authorizer and Board of Regents (BOR) showing approval for all changes.

ITEM MONITORING CRITERION CITATION EVIDENCE OF COMPLIANCE School Governance and Leadership Structure School Organizational Chart  Comports with charter. §2851(2)(c),  All titles/positions filled. Charter page Current BOT Roster with  Number & type of members comports §2851(2)(c), -(m) Addresses & Phone Numbers with charter. Charter pg.

5  Evidence of approval for all new members. List of BOT Committees &  Comports with charter. §2.12 of Charter Membership Agreement Charter page.

RL: If SUNY change citation from BOR charter agreement to their version and/or Accountability Plan. Schedule of BOT Meetings  Frequency comports with charter. Charter page. Public Notifications  Announcements of meetings. Public Officers  Comports with Open Government Law, Article 7 requirements. §2.18 of Charter Agreement Charter page.

RL: If SUNY change citation from BOR charter agreement to their version and/or Accountability Plan. Agendas & Minutes to Date  Comports with Open Government Public Officer’s requirements. Law, Article 7  Evidence that Committees regularly & §2.18 of Charter Agreement fully report to BOT. Charter page.

RL: If SUNY change citation from BOR charter agreement to

6 their version and/or Accountability Plan. BOT Policy Manual  Provides all approved policies to date. §2853(1)(f) §2853(2) Data Provided to BOT meetings  Copies of agenda and data to supplement meetings.  BOT members are kept aware of school occurrences.  School leaders keep BOT up to date. Board Evaluation of school  Template or protocol used to evaluate the leader(s) school leader. Revision to by-laws  Description(s) of Charter entity approval.  By-laws are consistent with charter and consistent with NYS provisions, Education Law §226(2) and 2853; Not for Profit Corporation Law, §712.

ITEM MONITORING CRITERION CITATION EVIDENCE OF COMPLIANCE School Governance and Leadership Structure (con’t) Number of Complaints Received  Handling of complaints comports with §2855(4) by BOT to Date & the charter & applicable law. Charter page Resolution(s) Complaint Procedures  Complaint procedures have been distributed to parents.  The procedure clearly outlines the proper steps and provides detailed contact information in accordance with §2855(4) of Education Law. School Leadership Team Roster  Positions comport with charter. §2851(2)(c)  All positions filled with appropriately §2851(2)(g) qualified persons, per charter. IDEA Charter page  Ratio of administrators to teachers & students acceptable.

7 Building Staff Roster  Number/type of teacher & other staff §2851(2)(c), -(g), comports with charter. & -(i) Charter page. List of All Support/Non-Teaching  All required certifications current & §2851(2)(g) Staff appropriate. §4 of Charter  Staff do not perform duties outside Agreement Charter page. of qualifications. RL: If SUNY change citation from BOR charter agreement to their version and/or Accountability Plan. Copies of Teacher Certifications  All certifications current & appropriate. §2854(3)(a-1) List of Non-Certified Teachers &  The number of uncertified teachers shall IDEA Evidence of Other Qualifications, not comprise more than 30% of the teaching §4 of Charter Agreement including HQ staff, or 5 teachers, whichever is less. Charter page

RL: If SUNY change citation from BOR charter agreement to their version and/or Accountability Plan. Background Checks Completed  Copies of all clearances from SED. §2854(3) for All Employees as Required  Clearances are applicable for this §4 of Charter school. Agreement  Conducted in accordance with RL: If SUNY applicable law & any charter provision. change citation from BOR charter agreement to their version

8 and/or Accountability Plan. .

School Governance and Leadership Structure (con’t) School Policies and Procedures for  Comports with charter provisions. §2851(2)(g) Staff Recruitment and Selection Charter page. Process Copies of Materials Related to the  Comports with charter. §2851(2)(c) Parent Organization(s)  Meetings held regularly. §2.14 of Charter  Parent newsletter, other means of regular Agreement Charter page communication with parents. RL: If SUNY change citation from BOR charter agreement to their version and/or Accountability Plan. 501(3)(c) Status  Status obtained within 1 year of initial §2853(1)(a) charter issuance.

9 ITEM MONITORING CRITERION CITATION EVIDENCE OF COMPLIANCE

School Governance and Leadership Structure (con’t) Professional Development Plan  BOT minutes show adoption of plan. NCLB Sections  Plan includes all staff, including IA, IIA, and IID administrators & BOT. Charter page. Evidence of teachers’ participation  Rosters, sign-in sheets with date & name NCLB Sections in professional development of activity. IA, IIA, IID activities) Charter page. List of Professional Development  Professional development focuses on NCLB Sections Activities teachers as central to student learning yet IA, IIA, and IID includes all members of the school Charter page. community.  School uses student achievement data as a basis for professional development.  Professional development is research based and furthers teachers’ skills and knowledge on subject content, teaching strategies, uses of technology, and promotes continuous inquiry and improvement embedded in the daily lives of teachers and students at school.  Professional development is evaluated on change in teacher knowledge and skill and ultimately on improved student assessment outcomes. Attendance Records Records are kept on-site.  All staff records are kept on-site. Oversight Plan Section II(D)

RL: If SUNY change citation from BOR charter agreement to their version and/or

10 Accountability Plan.

Finances Financial Reports  Annual operating budget to BOT. §2851(2)(e)  Monthly reports to BOT from business §2851(2)(f) manager re: enpenditures, cash on hand, §2854(1)(c) §5 of Charter changes in net assets, etc. Agreement  Annual independent audit conducted. Charter page.  Projected cash flow and fund balance. Grants  Grant expenditures are properly recorded. contracts  Grant reports are filed with SED in a timely manner. RL: If SUNY change citation from BOR charter agreement to their version and/or Accountability Plan.

Fiscal Controls Details pertaining to: §2851(2)(f)  petty cash §2854(1)(c)  inventory management §5 of Charter Agreement  accounts receivable Charter pg.  check signing Grants contracts.  A specific person other than principal is designated to oversee financial matters. RL: If SUNY  Annual budget adopted by BOT. change citation  Purchasing polices comport with charter & from BOR charter applicable law. agreement to  Accounting and auditing processes comport their version with charter & applicable law.  Internal control policies are adequate to and/or ensure safety of school’s assets. Accountability  Equipment purchased with public funds is Plan. properly tagged & inventoried.  All audit findings are corrected by the BOT.  Grant funds are used appropriately.

Charter School Questionnaire Fiscal Condition 1. Did the Charter School show a negative Fund Balance on their audited financial statements for any of the past three years (or the years of existence of the Charter School if less than three)? 2. Does the Charter School have a long-term financial plan for operating expenses and capital items that is updated at least annually? 3. Has the Board appointed an individual with responsibility for the Charter School’s financial management? 4. Are there adequate separation of duties, particularly in the areas of receipts, disbursements, and authorization of transactions? 5. Is there a Finance Committee that meets regularly and presents reports on the financial status of the Charter School to the full Board? 6. Does the Charter School maintain adequate documentation to support billings to school districts and are payments from the school districts regularly received? 7. Are bank reconciliations prepared and signed timely and by an individual not involved in the handling or recording of cash receipts or disbursements? Does another individual, who is independent of the preparer, review and

13 sign the bank reconciliations? Are the bank reconciliations presented to the Finance Committee and the full Board? 8. Are all disbursements reviewed and approved by an independent individual or the Board before payment is made? Are two signatures required on checks? 9. Is the Charter School current in all reporting requirements made to the Department’s Grants Finance Unit? 10. Does the Charter School use a management company? If so, does the agreement stipulate the services to be rendered? Does it identify the fee or percentage to be paid? If the payment is a percentage of receipts, are the items to be included in the calculation identified? Is the Charter School current in its obligations to the management company? 11. Does the Charter School use credit cards? If so, is there a control and approval process in place to review charges against the credit cards? 12. Is there a purchasing process in place requiring approved purchase orders, multiple quotes for purchases at a certain level and bidding for larger amounts? 13. Does the Charter School maintain a petty cash fund? If so, is the amount limited to $100? Has someone designated as the custodian and does an independent individual verify it periodically? 14. Does the Charter School collect for school lunches/breakfasts from students who are not eligible for free or reduced-price meals? All records are kept on-site.  Oversight Plan Section II(D)

14 RL: If SUNY change citation from BOR charter agreement to their version and/or Accountability Plan. Other (Specify): 

Dissolution Policies  In the amount of $25,000/$75,000.  As per Section 8.5 of the charter agreement, the School is required to establish a dissolution account in the amount of $______.  School has a dissolution policy in the case it faces closure.  The School maintains an escrow account for dissolution per Section 8.5 of its charter agreement. BOT Fiscal Policy Procedures  Money received from School  Districts Timing of payments… (six substantially equal installments each year beginning on the first business day in July and every two months thereafter.) Money received from private  The school anticipates receiving contributions sources/ of $ through Year XX. Status of fundraising  Year 1: $  Year 2: $  Year 3: $  Year 4: $

15  Year 5: $ Contract(s) for Provision of  The School contracts for services with the Services following vendors (services/ amounts):  Contracts between the School and its institutional partner/Charter Management Organization are current, signed and in accordance with approved charter.

Students Admissions Policy  Copy of policy. §2854(1), -(2)  “ At-Risk” Preference &  Comports with charter & applicable law. §2.2 & 2.3 of Definition  At-risk definition includes measurable Charter Agreement  Lottery Procedures academic criterion. Charter page.  Lottery conducted after April 1, as per charter law. RL: If SUNY  Preference guidelines, as per charter change citation application. from BOR  Comports with charter & applicable law. charter agreement to their version and/or Accountability Plan. Student Recruitment Materials  Attract & retain SWDs & ELLs. §2854(1), -(2)  Does not inappropriately target any one §2.2 & 2.3 of group or population. Charter Agreement  Non-discriminatory. Charter page.

RL: If SUNY change citation from BOR charter agreement to their version and/or Accountability Plan. Procedures Used to Verify Student  Similar to that of district(s). §2856(1) Residency  Adequate to ensure correct district is CR 119.1 billed. Charter page Class Registers  Are accurate. FERPA  Comport with class sizes, (25) other Charter page requirements of charter.  Confidential information safeguarded. Enrollment Reports Submitted on  Time Student Roster by Grade  Students are enrolled in accordance with §2854(1), (2) preferences per statute & charter. §2.2 & 2.3 of Charter Agreement Charter page.

RL: If SUNY change citation from BOR charter agreement to their version and/or Accountability Plan. Waiting List by Grade  Comports with charter & applicable law. §2854(1), (2) §2.3 of Charter Agreement Charter page 1

RL: If SUNY change citation from BOR charter agreement to their version and/or Accountability Plan. Student Demographics  By gender, ethnicity. BEDS reports

18 List of Discharges to Date with  The School maintains organized discharge Reason(s) for discharge data to indicate reason for students’ departures.  Involuntary transfer is not offered as an option. 

Students (con’t) Student Code of Conduct  Updated at least annually. §2851(2)(h)  Comports with charter & applicable law. §2854(1)(b) §2.8 of Charter Agreement Charter page.

RL: If SUNY change citation from BOR charter agreement to their version and/or Accountability Plan. List of Student Suspensions with  Parents notified of both in-school & out- §2854(1)(b) Parent Notifications of-school suspensions. Charter page.  Parent notification includes provision of alternate instruction. Evidence that Suspended Students  Lesson plans, assignments. §2854(1) Received Alternate Instruction,  Teacher log showing days & times of Comm. Dec. Not Just Assignments (In-School alternate instruction, & to which students. #12,383 Charter page. and Out-of-School Suspensions)  Documentation of parent refusal of alternate instruction.

19 Evidence of Due Process  The School retains evidence that due process procedures are followed for all disciplinary action. All records are kept on-site.  All student records are kept on-site. FERPA  Access to student records is granted Oversight Plan appropriately. Section II(D) RL: If SUNY change citation from BOR charter agreement to their version and/or Accountability Plan.

Provision of Services to Limited English Proficient Students LEP Profile  Roster of identified students. Charter page.  Identification process comports with charter.  Services provided comport with charter.  The School maintains a Home Language Survey for every student enrolled. All records are kept on-site  All records are kept on-site. Oversight Plan Section II(D)

RL: If SUNY change citation from BOR charter agreement to their version

20 and/or Accountability Plan.

Special Education Services Individualized Education Program  At the beginning of each school year, the IDEA (IEP) charter school must have in effect a current IEP for every student with a disability.  The charter school assures that, prior to its implementation, a copy of the IEP is provided to all regular education teachers, special education teachers and related service providers; and that access is afforded to all other service providers who are responsible for implementing a student’s IEP.  The charter school assures that, prior to its implementation, teachers, related service providers and other individuals with IEP implementation responsibility are informed of their specific responsibilities related to implementing the IEP and specific accommodations, program modifications and supports to be provided to a student in accordance with the IEP.  The charter school immediately initiates CSE referrals on students enrolled in the program who are determined to require updated IEP goals and objectives, further evaluation, changes in program and/or related service recommendations and/or have incomplete or incorrect IEPs. Description of CSE referral  The School immediately initiates CSE procedures referrals on students enrolled in the program who are determined to require updated IEP goals and objectives, further evaluation, changes in program and/or related service

21 recommendations, and/or have incomplete or incorrect IEPs. IEP Responsibilities,  The School assures that each appropriate Communication of teacher, related service provider, and other individuals with IEP implementation responsibility are informed of their specific responsibility related to implementing the IEP and specific accommodations, program modification, and supports that need to be provided to the student. Due Process  Parents are notified immediately by IDEA telephone, if possible, and receive written notice within 24 hours if the suspension is for five days or less. Notice should describe the incident, length of suspension, the student’s rights and the parent’s rights, consistent with the discipline policy set forth in the school charter.  Alternative instruction is provided during the first 10 days of any suspension or removal and is provided to the same extent as to a nondisabled student of compulsory school age.  A student with a disability is provided education services necessary to progress in the general education curriculum and appropriately advance toward achieving his or her IEP goals if suspended or removed for more than 10 school days in a school year.  A student with a disability is provided services to address the behavior that resulted in the disciplinary action if removed to an interim alternative educational setting.  The charter school refers a student with a disability to the CSE when a pattern of suspension is noted that reflects a change in

22 placement or whenever a suspension of more than 10 days is imposed. Free Appropriate Public  Programs and services for students with IDEA Education/Lease Restrictive disabilities provided by the charter school are Environment (FAPE/LRE) implemented within required timelines and in accordance with students’ IEPs.  Special education programs and services are provided by qualified personnel who have met NYSED approved or NYSED recognized certification, licensing, registration or other comparable requirements that apply to the area in which the individuals are providing special education or related services.

Comprehensive Health and Pupil Services

23 School Health Services Cumulative health records for each student §2851(2)(r)  Immunization procedures §2854(1)(b)  Immunization policies reflect current law FERPA  DOH immunization survey §2.16 of  Immunization documentation Charter  Health history Agreement  Special care needs and interventions Charter page. Infectious/Communicable Disease Control RL: If SUNY  Exposure Control Plan change  Infection control and precaution procedures citation from  Staff development programs on right to know BOR charter Administration of Medications agreement to  Policies and procedures cover prescription, their version nonprescription, and emergency medications and/or  Overseen by nurse Accountability  Safe and secure storage of medications Plan.  Medication log is kept  Health services personnel assure that students report for medications, inform parents if medications are not given, and work with students and parents to assure timely dosing

Comprehensive Health and Pupil Services (con’t.) School Health Services (con’t.) Individualized Health Care Plans  Cover students with complex health conditions and/or modified school environments  Plans guide health teaching Confidentiality of records  Staff receive instruction in laws and policy Specialized Health Care Needs  Health services personnel participation in CSE and 504 committees Emergency Procedures  Emergency information cards for all students  Readily available to school nurse  Reviewed annually  Revised as changes occur  Included in school safety plan Emergency Plan  Provides direction for management and transportation of ill/injured students and staff Health services staff have up-to-date certification in first-aid and CPR  Reports are completed for all serious accidents/injuries

Comprehensive Health and Pupil Services (con’t.) School Health Services (con’t.) Physical Examinations  Student health appraisals  Student athletic participation  Working papers Screening Procedures  Vision  Hearing  Scoliosis Drug and Violence Prevention  School submitted Violent and Title IV Disruptive Incident Reporting (VADIR) data in a timely fashion.  School meets all requirements of the safe and drug-free schools program School Safety/Emergency Response  School plan meets all requirements §2854(1)(b) Plan (SAVE)  Board of Trustee minutes reflect SAVE annual review Charter page.  Designated Educational Official  Description of emergency drills including the date and type of drill that occurred. All plans & records are kept on-site  All plans & records are kept on-site Oversight Plan Section II(D)

RL: If SUNY change citation from BOR charter agreement to their version and/or Accountability Plan.

26 Transportation  Description of how transportation is provided, especially for extended days/year.  Transportation services provided for all days of mandatory attendance. Food Services  Food services provided as described in the approved charter.

Student Support Services List of students eligible for   Comports with charter & Section 504 accommodations under Section 504 applicable law. Charter page. and copies of plans Accommodations provided under   Comports with charter & Section 504 Section 504 and all other appropriate applicable law. Charter page. programs and services Support Services (non-special   Comports with charter & Section 504 education) applicable law. Charter page. Records kept on-site   All records are kept on-site Oversight Plan Section II(D)

RL: If SUNY change citation from BOR charter agreement to their version and/or Accountability Plan.

School Facilities Map of the School  Facility is appropriate for the School to operate the programs and services detailed in its charter.  Charter school does not house any grade at more than one site. Condition of Physical Plant  Classroom, office, and other space is §2851(2)(j) adequate/appropriate for its intended §2853(1)(b-1) use. §2853(3) §2853(4)(c)  All rooms have the necessary §2854(1)(b) furnishings and equipment §1.4 of appropriate for their intended use. Charter  The building is in good repair. Agreement  The building is clean. Charter page.  Doorways, walkways, & other means of egress are not blocked. RL: If SUNY  Soap, paper towels/hand dryers, & hot change citation from water is evident in students’ BOR charter bathrooms agreement to their version and/or Accountabilit y Plan.

Emergency Plans  Emergency plans have been §2854(1)(b) developed and shared with staff. Oversight  Plans are kept on-site Plan Section II(D) Charter page.

RL: If SUNY change citation from BOR charter agreement to their version and/or Accountabilit y Plan. Copy of Certificate of Occupancy  Current §2853(3)  On-site §1.4 of Charter Agreement Oversight Plan Section II(D)

RL: If SUNY change citation from BOR charter agreement to their version and/or Accountabilit y Plan.

Insurance Coverage Copy of Policy  Includes liability, property loss, §2851(2)(o) and personal injury of students. Oversight Plan  Policies kept on-site Section II(D) Charter page.

RL: If SUNY change citation from BOR charter agreement to their version and/or

29 Accountability Plan.