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									  Application for Short-Term
   Planning Year Renewal

For charter schools authorized by the Board of Trustees
          of the State University of New York




                                                  Updated: July 2008


                                              Charter Schools Institute
                                         State University of New York
                                              41 State Street, Suite 700
                                             Albany, New York 12207
                                    518/433-8277, 518/427-6510 (Fax)
                                            www.newyorkcharters.org
This application should be used by those charter schools, currently in operation, that have taken one or more
planning years and are applying for Short-Term Planning Year Renewal.
It is not for use by schools that are applying for any other type of renewal.
Please note that schools should not apply for Short-Term Planning Year Renewal during their planning
year(s). Rather they should wait until later in their charter term when they are actually in operation.
Should a school have any questions regarding which renewal application is appropriate, please see the
Practices, Policies and Procedures for the Renewal of Charter Schools Authorized by the State University
Board of Trustees (last updated on June 9, 2008, and available on the Institute’s website at:
www.newyorkcharters.org/documents/renewalPractices.doc) or contact the Institute directly.


                      All renewal applications are available on the Institute’s website at:
                              www.newyorkcharters.org/schoolsRenewApp.htm.
                       All updates/modifications to this document will be posted online.
                                             Table of Contents

Introduction …………………………………………………….………………….… 1

Charter Renewal Application Process …………………………………………...…. 3

General Instructions: Preparing the Application for
Short-Term Planning Year Renewal ……………………………………..………….5

Formatting and Submitting the Hard-Copy of the Application for
Short-Term Planning Year Renewal ………………………………….………….....7

Formatting and Submitting the Electronic Copy of the Application for
Short-Term Planning Year Renewal ………………...………………………….…..8

Application for Short-Term Planning Year Renewal

   A. Transmittal Form and Cover Sheet ….………………………..…………....9
   B. Statistical Overview of Current Charter Period ………..……....................11
   C. Executive Summary ...……………………. ……………..….........................12
   D. Renewal Questions/Requests for Information
      and Related Guidance……………………………………………..………....12

      1. Is the School an Academic Success? ........................................................12
      2. Is the School an Effective, Viable Organization? …...............................13
      3. Is the School Fiscally Sound? ...................................................................13
      4. If the School’s Charter is Renewed, What are its Plans for the
         Term of the Next Charter Period, and are they Reasonable,
         Feasible and Achievable? .........................................................................14

Appendix A
Part I: Required Format for Detailed Financial Statements …………………………...18
Part II: Suggested Budget Format ………………..……………………………………21

Appendix B
School Board of Trustees Organizational Chart ………....……………………………25
                                                           INTRODUCTION

In order to be fully prepared to begin operation of a new charter school—with systems and personnel already
in place—many charter schools request and take one or more planning years. The planning year(s) may be
part of a school’s original application or later requested through a revision to the school’s charter. In this way,
the schools have the benefit of being chartered (and existing as a legally recognized corporate entity) without
having to delve into opening a school within a few months of having been approved. Indeed, the Charter
Schools Institute (the ―Institute‖) encourages all applicants for charters to think carefully about exercising this
option and recommends it routinely as sound practice.

Unfortunately, the New York Charter Schools Act (the ―Act‖), while in no way prohibiting planning years,
does not take this very helpful strategy into account. Instead, once a school is chartered (which is the date the
Board of Regents approves or issues the charter and the date on the school’s provisional charter), the Act
provides that the five-year clock on its charter begins to run—whether or not the school is in operation. As
such, schools that have taken one or more planning years ordinarily come to renewal having been in operation
for three years or less and with limited data regarding school and student performance, especially those
schools beginning in the primary grades for which no state assessments exist until the third grade.1 In turn,
this lack of student assessment data prejudices a school’s ability to make a compelling case for renewal based
on the success of its educational program.

To address this issue, the Board of Trustees of the State University of New York (the ―State University
Trustees‖) permits schools that have taken one or more planning years to apply for a Short-Term Planning
Year Renewal. Under this renewal option, a school may apply for and be granted a renewal that is equal to the
number of planning years it has taken (plus any additional months that would cause the charter date to end
during the summer and not during the school year).2

As set forth in this application, in the case of a Short-Term Planning Year Renewal, the Institute takes a
somewhat abbreviated route in determining its recommendation to the State University Trustees’ Charter
Schools Committee regarding the renewal of the school’s charter, both with respect to the information that the
school must submit and the evidence that the Institute gathers and analyzes. In particular, the Institute does
not generally conduct a renewal visit as part of its review.

While the option of a Short-Term Planning Year Renewal was created with the expectation that schools that
have taken a planning year should not be prejudiced—and that therefore, the expectation is that they should be
generally permitted a full four years of operation to gather data that will allow them to make a compelling case
for renewal—it should be clear that a Short-Term Planning Year Renewal is not automatic.

Schools that seek a Short-Term Planning Year Renewal must be able to provide sufficient evidence (though
naturally limited by the time they have been in operation) of academic success and fiscal and organizational
viability. A school that applies for a Short-Term Planning Year Renewal that is in academic, organizational

1
  Applicants for charters that are approved can choose to have the effective date of the charter delayed until March of the year preceding their
schools’ start-date. For example, if a school wishes to open in fall 2012, it could delay its effective date until March 2011. This helps
eliminate the difference between the year of the charter and the year of operation. However, for most applicants, due to financial and legal
constraints, not having a school incorporated (so that it can do such simple but basic things such as start a bank account) until shortly before
opening is simply not an option. The March date corresponds to the Act’s requirement that a charter school must be formed on or before
March 14 or it cannot commence instruction until ―July of the second school year next following‖ (school years running from July 1 – June
30 each year).
2
  This renewal option is known as a ―Short-Term Planning Year Renewal‖ to distinguish it from a ―Short-Term Renewal‖ that is the result of
the school having had four full years to build a record for renewal but not being able to make a strong enough case for renewal that would
warrant a Full-Term Renewal of five years. For further information on Short-Term Renewals and other aspects of renewal, please see the
State University Renewal Practices available on the Institute’s website at: www.newyorkcharters.org/documents/renewalPractices.doc.


Charter Schools Institute  Application for Short-Term Planning Year Renewal                                                                   1
and/or fiscal disarray cannot expect to have its charter renewed even for the short period that a planning year
renewal would permit. To allow otherwise would neither be consonant with the State University Trustees’
charge under the Act, nor faithful to its larger mission of providing the highest-quality education to the
students enrolled in SUNY authorized charter schools. Therefore, if during its review the Institute finds
grounds for revocation of a school’s charter, or deficiencies of such magnitude and number in the educational
program as to make clear that the enterprise is not educationally, organizationally or fiscally sound (and
cannot make the legal and other findings it is required to make), the Short-Term Planning Year Renewal will
not be granted. The State University Trustees also reserve the right to seek termination of the charter before
expiration and to visit the school as part of the renewal process.

Timing for Filing an Application for Short-Term Planning Year Renewal
In general, a charter school that is currently in operation and has taken one planning year should file its
application for a Short-Term Planning Year Renewal in January of the calendar year during which the third
year of instruction ends. Similarly, a charter school that is currently in operation and has taken two planning
years should file its application for a Short-Term Planning Year Renewal in January of the calendar year
during which the second year of instruction ends.3 Please note that the State University Trustees reserve the
right to defer action on an Application for Short-Term Planning Year Renewal and/or to ask the school to take
other actions related to the renewal of its charter, such as submitting a regular renewal application, or asking a
school to withdraw its Application for Short-Term Planning Year Renewal and re-submitting it or a regular
renewal application at another time.

Contents of the Application for Short-Term Planning Year Renewal
As noted above, a school seeking Short-Term Planning Year Renewal is not required to submit the full array
of evidence and supporting documentation that schools seeking a full-term renewal are required to submit.
As a result, a school seeking Short-Term Planning Year Renewal creates its application in large measure by
revising those parts of its original charter application that have changed since being chartered, and making
such changes as may be needed or applicable to the (short) extended term.
The balance of the application is created by incorporating certain elements required by the Act. Detailed
instructions for preparing the application for Short-Term Planning Year Renewal follow.4




3
  In the rare case of a school that takes three planning years, the school should file its application in January of the calendar year during which
its first year of operation ends.
4
  Please note that the Short-Term Planning Year Renewal charter will be an extension of the school’s initial charter (and follow that format)
rather than being a true renewal charter, which has a different format.


Charter Schools Institute  Application for Short-Term Planning Year Renewal                                                                     2
                              CHARTER RENEWAL APPLICATION PROCESS


                  Action                                                Description

      Submission of the             A school—currently in operation—submits an application for Short-Term
      Application for Charter       Planning Year Renewal to the Albany office of the Charter Schools Institute
      Renewal                       by 5 p.m. on January 15th.

      Opportunity for Public        Pursuant to the Charter Schools Act, within 30 days of receipt of a renewal
      Comment                       application, the Institute notifies the school district of location and public and
                                    private schools in the same geographic area as the school regarding the
                                    application and when the State University Trustees might act on it. The Institute
                                    invites and considers written comments and forwards school district comments to
                                    the State University Trustees and, if the application is approved, to the Board of
                                    Regents. In some cases, the Charter Schools Institute may ask the school to
                                    respond to such comments.
                                    Within 30 days of the above notice, the school district of location holds a hearing
                                    in, and to solicit comments from, the ―community potentially impacted by the
                                    charter school.‖ The failure of a school district (or the Board of Regents) to hold
                                    a hearing will not prevent the issuance of a renewal charter.
      Application Review            The Institute reviews the application and the existing data and records in its files.
                                    It may request that the school provide additional documents and information.

      Renewal Inspection            Unless there are extraordinary circumstances, the Institute does not conduct a
      Visit                         renewal inspection visit when a school applies for Short-Term Planning Year
                                    Renewal. Where warranted, however, such a visit, usually for one or two days,
                                    will be conducted. The Institute would notify the school well in advance of the
                                    visit and provide a protocol for such visit.
      Institute Action              Based on the application and evidence gathered, the Institute may take the
                                    following actions:
                                            Prepare a final report, which contains the Institute’s recommendation of
                                             a Short-Term Planning Year renewal equal to or less than the number of
                                             planning years taken by the school.
                                            Ask the school to withdraw its application, or deny the application.
                                            Defer action on the application to another year (in which case the
                                             application would have to be updated).
                                            Prepare a draft report with a recommendation of charter revocation, and
                                             send the report to the school for its comment and review.
                                    In the very rare case that the Institute’s preliminary recommendation is charter
                                    revocation, the Institute, at the school’s invitation, will appear at the school to
                                    listen to any presentation that the school wishes to make in addition to any
                                    additional written comments that the school submits to the Institute in response to
                                    the draft report. Thereafter, if the Institute’s recommendation is still charter
                                    revocation, the final report would be forwarded to the State University Trustees’
                                    Charter Schools Committee and then the State University Trustees for action
                                    consistent with the procedures in the Charter Schools Act for charter revocation
                                    (Education Law section 2855).




Charter Schools Institute  Application for Short-Term Planning Year Renewal                                                3
                                                                       Description
                Action

      Charter Schools               The Charter Schools Committee will consider the Institute’s recommendation, the
      Committee Action              renewal report, and any comments provided by the school district of location of
                                    the charter school. The Committee may approve, disapprove or modify the
                                    Institute’s recommendation. The Committee’s action is final.

      Board of Regents’             If a renewal of any term is approved, a renewal charter will be sent to the school
      Action                        for signature and, thereafter, be forwarded to the Board of Regents for a review
                                    period of 90 days or action (consisting of approval by the Regents or return of the
                                    proposed renewal charter to the State University Trustees for further
                                    consideration). If returned by the Board of Regents, the Charter Schools
                                    Committee may either resubmit the proposed renewal charter with or without
                                    modification (in which case the charter would be deemed approved by operation
                                    of law after 30 days) or recommend to the State University Trustees that the
                                    proposed renewal charter be abandoned. Modifications will be approved by the
                                    school prior to resubmission to the Board of Regents.




Charter Schools Institute  Application for Short-Term Planning Year Renewal                                              4
                     GENERAL INSTRUCTIONS: PREPARING THE APPLICATION
                         FOR SHORT-TERM PLANNING YEAR RENEWAL

A charter school’s application for renewal must contain the following elements in the order
set forth below:

        A.       Transmittal Form and Cover Sheet

        B.       Statistical Overview

        C.       Executive Summary

        D.       Responses to four major renewal questions (limited to no more than 20 pages):

                   1.   Is the School an Academic Success?
                   2.   Is the School an Effective, Viable Organization?
                   3.   Is the School Fiscally Sound?
                   4.   If the School’s Charter is Renewed, What are its Plans for the Term of
                        the Next Charter Period, and are they Reasonable, Feasible and Achievable?

Preparing Responses:

       In the application, each question/request for information is printed in bold typeface. Immediately
        following each request is any guidance (requirements or restrictions) regarding that request. All
        guidance is printed in italic typeface. Both the actual question/request for information and the
        guidance should be read carefully before responses are developed.
       Each response is required to be submitted either as an ―Attachment‖ or an ―Exhibit.‖ In a box below
        each request is specific direction indicating whether that response is to be an Attachment or an Exhibit.
        As set forth in more detail below, it is important that each response is correctly identified and
        submitted. As also set forth in more detail in the section on submitting and formatting the application,
        all Attachments should be placed together in one binder, and all Exhibits should be placed together in
        another separate binder.
       There are two types of Attachments for the Application for Short-Term Planning Year Renewal:
        1. Requested Attachments will essentially be the narrative responses.
        2. Charter Attachments, as explained in more detail in the specific guidance regarding the response to
           Question 4, will simply be amended attachments from the school’s original application for a
           charter (as those attachments were modified during the charter application process). Charter
           Attachments will be incorporated into the new charter, should the application be approved.
             -   Each of the Charter Attachments should be provided in numerical order by Attachment number
                 and identified as such. Rather than a running pagination throughout the application, each
                 separate Attachment should be individually numbered at the bottom of the page. The
                 numbering notation should be the number of the Attachment followed by the page number for
                 that Attachment. For instance, the fifth page of the third Attachment would be numbered



Charter Schools Institute  Application for Short-Term Planning Year Renewal                                   5
                 ―Attachment 5-3.‖ Of course, as not every attachment in a school’s original application for a
                 charter will need to be amended, there will be gaps in the numbering. Therefore, a school
                 might only need to submit 10 attachments from the charter application because only 10 of the
                 original attachments require amendment.

       Exhibits differ from the Requested Attachments and the Charter Attachments in that they are not
        revisions to attachments in the original charter application, but rather new data or information that
        support the narrative; unlike the Charter Attachments, Exhibits will not be incorporated into the new
        charter. They are provided to allow the Institute to better conduct its review or because the law
        requires that they be part of the charter renewal application.

        -   Certain exhibits are required of all schools:
            Exhibit A: Detailed Financial Statements (see Appendix A of this Application)

            Exhibit B: Board of Trustees Organizational Chart (see Appendix B of this Application)
       It is possible to provide supplemental information in the form of Additional Exhibits to avoid any
        break in the flow of the narrative. While there is no limit on the number or size of Additional Exhibits,
        please note that material should not be submitted as an Additional Exhibit unless it is discussed (and
        not just in passing) in the narrative response and is referenced with specificity.




Charter Schools Institute  Application for Short-Term Planning Year Renewal                                     6
                       FORMATTING AND SUBMITTING THE HARD-COPY
               OF THE APPLICATION FOR SHORT-TERM PLANNING YEAR RENEWAL5

         In addition to an electronic copy submitted on CD-Rom or Flash Drive, a total of five (5) hard copies
          of the application must be provided to the Institute; four (4) copies submitted in binders as directed
          below and one (1) unbound copy.

         Please print only on one side of the paper.

         The hard-copy application should be submitted in two binders, one labeled ―Attachments,‖ which will
          consist of the narrative responses and Charter Attachments; and the second labeled ―Exhibits,‖ which
          will include Exhibits and any Additional Exhibits. Please limit the number of binders to two, varying
          the size of the binders as necessary to accommodate all Attachments and all Exhibits in each binder.
         Rather than a running pagination throughout the application, each separate Attachment and Exhibit
          should be individually numbered at the bottom of the page. The numbering notation for Attachments
          should be consistent with the numbering of the school’s initial application. All Exhibits and Additional
          Exhibits should be listed numerically as indicated in the application.
         Applications for Short-Term Planning Year Renewal should be submitted to:

                                                      Charter Schools Institute
                                                    State University of New York
                                                      41 State Street, Suite 700
                                                      Albany, New York 12207




5
  Applications for charter renewal must be submitted in hard-copy and electronically; instructions for submitting the application
electronically immediately follow these instructions for submitting the application by hard-copy.




Charter Schools Institute  Application for Short-Term Planning Year Renewal                                                        7
                     FORMATTING AND SUBMITTING THE ELECTRONIC COPY
                OF THE APPLICATION FOR SHORT-TERM PLANNING YEAR RENEWAL

      Schools should submit an electronic version of their application on CD-ROM or flash drive set-up as
       follows:
       -   Create a folder on the CD-ROM or flash drive called Short Term Planning Renewal [School Name].
       -   Within that folder, create the following sub-folders and save the noted information:
                   Transmittal Form and Cover Sheet
                    Save herein A. Transmittal Form and Cover Sheet.
                   Statistical Overview
                    Save herein B. Statistical Overview.
                   Executive Summary
                    Save herein C. Executive Summary.
                   Renewal Question No. 1
                    Save herein all Attachments and Exhibits relating to Question No. 1
                   Renewal Question No. 2
                    Save herein all Attachments and Exhibits relating to Question No. 2
                   Renewal Question No. 3
                    Save herein all Attachments and Exhibits relating to Question No. 3
                   Renewal Question No. 4
                    Save herein all Attachments and Exhibits relating to Question No. 4
                   Additional Exhibits
                    Save herein any Additional Exhibits as described in the Instructions: Preparing an Application
                    for Short-term Planning Year Renewal.
       -   Acceptable electronic formats for the files to be saved are Microsoft Word ® and Microsoft Excel®.
           Note: In submitting the projected budget for the next charter period please be sure to prepare the file
           in Microsoft Excel.® 6
       -   Should the application be approved, the Attachments will be used in the actual renewal charter (and
           therefore will possibly need to be amended just as attachments to the original application were
           amended). Since the Adobe Acrobat® .pdf format does not allow sufficient flexibility in reorganizing
           files, it should be avoided if possible. However, the Institute recognizes that some items required or
           useful in the application for renewal are not already available in Microsoft Word ® or other compatible
           format. In that case, files may be scanned into the Adobe Acrobat® .pdf format.
       -   As with all renewal application questions, please contact the Charter Schools Institute at
           518/433-8277 with questions about electronic formatting requirements.




6                       ®
    The Microsoft Excel format allows the Institute to check computations and conduct its review electronically.


Charter Schools Institute  Application for Short-Term Planning Year Renewal                                         8
                         Application for Short-Term Planning Year Renewal

                         A. TRANSMITTAL FORM AND COVER SHEET


Name of Charter School: ___________________________________________________________

School Board Certification Statement
(to be signed by chairperson of the school board or his/her designee):

I hereby certify that the information submitted in this Application for Renewal is true to the best of
my knowledge and belief; that this application has been reviewed by the school’s board of trustees;
and that, if awarded a renewed charter, the school shall be operated in a manner consistent with the
description outlined in the Application for Renewal.

Signature of Chair of Board of Trustees (or designated signatory authority):
_________________________________________________________________________________


Date: ____________________________________________________________________________


Print/Type Name: __________________________________________________________________


Title (if designated): ________________________________________________________________

Contact Information

Contact Name: ____________________________________________________________________

Title: ____________________________________________________________________________

Mailing Address: __________________________________________________________________

Telephone: _______________________________________________________________________

Facsimile: ________________________________________________________________________

E-mail:___________________________________________________________________________

Management Company (if any): _______________________________________________________
                                  Name               Contact     Phone #
Partner Organization (if any): _________________________________________________________
                                      Name               Contact     Phone #




Charter Schools Institute  Application for Short-Term Planning Year Renewal                        9
School Summary

Grades to be served in the term of the next charter: ________________________________________

From which districts will the school likely draw children?: __________________________________

Are you seeking approval of the renewal charter by the Board of Regents (as opposed to the charter
taking effect by operation of law)? Note: Regents approval is not guaranteed and requires at a
minimum curriculum for, and implementation of, all 28 learning standards in the seven learning
standards areas. Yes ______ No _____


                                  Completed Application Must be Submitted to:
                                              Charter Schools Institute
                                            State University of New York
                                              41 State Street, Suite 700
                                              Albany, New York 12207


                                  The Transmittal Form and Cover Sheet should
                            be submitted as Attachment A in Binder No. 1-Attachments.




Charter Schools Institute     Application for Short-Term Planning Year Renewal                   10
                                                     Application for Short-Term Planning Year Renewal
                                     B. STATISTICAL OVERVIEW OF CURRENT CHARTER PERIOD

       Requested Data                       Year 1                     Year 2             Year 3           Year 4    Year 5
                                            200_-__                    200_-__            200_-__          200_-__   200_-__

                  Grades Served

Total Enrollment (Sept.-June)
      % of Students Returning
           from Previous Year
   # Students with Disabilities

       # Students who are ELL
         # Students Eligible for
          Free/Reduced Lunch
                      # Teachers
        # Uncertified Teachers
          # Teachers Returning
           From Previous Year
     # Other Professional Staff
            # Paraprofessionals
         School Leader (Name)

   Trustees (List by Name and
     Office, e.g., Board Chair)



                                                         The Statistical Overview should be submitted as
                                                          Attachment B in Binder No. 1-Attachments.



Charter Schools Institute   Application for Short-Term Planning Year Renewal                                                   11
                            Application for Short-Term Planning Year Renewal
                                         C. EXECUTIVE SUMMARY

             The Executive Summary should provide a very concise but concrete overview of
              the extent to which the school has met the State University of New York Charter
              Renewal Benchmarks (“State University Renewal Benchmarks”).

             As the application for renewal is both backward and forward looking, the
              Executive Summary should articulate how the vision, design, and implementation
              of the school’s original charter application has proven effective in improving
              student achievement, and what, if any, changes are envisioned if the charter is
              renewed.

             Where appropriate, the executive summary should also touch upon any
              significant shortcomings, identifying them as well as the steps the school has
              taken to address and ameliorate them and any additional steps planned for the
              next charter period.

             While the thrust of the executive summary should be directed at the school’s
              record of improving student learning and achievement, the executive summary
              should cover all aspects of the school’s operation, e.g., governance, financial
              stability, plans for the next charter period, etc.

                               The Executive Summary should be submitted as
                                Attachment C in Binder No. 1-Attachments.


                   D. RENEWAL QUESTIONS/REQUESTS FOR INFORMATION

                            1. IS THE SCHOOL AN ACADEMIC SUCCESS?

             The school’s response to this question should clearly outline how it has met State
              University Renewal Benchmarks 1A-1H.

             The school should provide a brief discussion of its progress in meeting each of its
              Accountability Plan goals (it is understood that the school may have little data to date).

             Where the Institute’s most recent evaluation report has identified one or more significant
              and material weaknesses as to the educational program’s effectiveness, the school should
              discuss what specific steps the school has taken to correct those deficiencies and provide
              as an exhibit any data that it deems necessary to demonstrate that such corrective action
              has resulted in better student outcomes.

             The Charter Schools Act requires that a school submit each of its Annual Reports as part
              of its application. As the Institute has these reports on file, a school need not re-submit
              them. However, it is necessary that a school specifically state somewhere in its response
              that the reports are incorporated by reference. This can be done in a footnote. A school
              that has not filed all such reports will not be eligible for renewal.

Charter Schools Institute   Application for Short-Term Planning Year Renewal                           12
                      The narrative response to Question No. 1 should be submitted
                             as Attachment D in Binder No. 1-Attachments.

             Any additional data supporting action taken to address evaluation findings
                  should be submitted as Exhibit No. 1 in Binder No. 2-Exhibits.


                2. IS THE SCHOOL AN EFFECTIVE, VIABLE ORGANIZATION?

             In responding to Question No. 2, the school should frame its answer in light of State
              University Renewal Benchmark 2F.
              The school must submit evidence of indications of parental and student satisfaction.
              While surveys of students and parents can be important indicators of satisfaction, the
              Institute views the rate at which parents choose to have their children re-enroll year after
              year to be the single best indicator of student satisfaction. Accordingly, a school should
              provide that information over the life of the charter through the date of application. A
              school should also provide evidence of current waiting lists (if any). If submitting
              surveys, the school should provide background information on how the survey was
              conducted, response rate and the survey instrument itself.

                     The narrative response to Question No. 2 should be submitted
                            as Attachment E in Binder No. 1-Attachments.

                   Any detailed survey results should be submitted as Exhibit No. 2
                                      in Binder No. 2-Exhibits.

       Any retention data should be submitted as Exhibit No. 3 in Binder No. 2-Exhibits.


                                  3. IS THE SCHOOL FISCALLY SOUND?

             In responding, please frame the answer in light of State University Renewal Benchmarks
              3A-3D.

             The school must submit a completed detailed financial statement that discloses the cost of
              administration, instruction and other spending categories. This statement is required by
              law and the form it must take is determined by the Board of Regents. A sample of the
              form and further instructions are set forth in Appendix A, Part I.

                      Any narrative response to Question No. 3 should be submitted
                             as Attachment F in Binder No. 1-Attachments.

                            The detailed financial statement should be submitted as
                                    Exhibit No. 4 in Binder No. 2-Exhibits.




Charter Schools Institute    Application for Short-Term Planning Year Renewal                          13
                4. IF THE SCHOOL’S CHARTER IS RENEWED, WHAT ARE ITS PLANS
                     FOR THE TERM OF THE NEXT CHARTER PERIOD, AND ARE
                        THEY REASONABLE, FEASIBLE AND ACHIEVABLE?

             The response to question No. 4 should contain the school’s plans for the short-term
              renewal period, which must be reasonable, feasible and achievable. In general, the
              response should be divided into two parts:
              4.a.          Narrative Overview
                      -     The first part of the response should be a concise narrative overview of any
                            significant changes that the school is making in terms of its operations, whether
                            in the educational program, the organizational structure or its fiscal practices.
                            Topics covered might include significant changes in pedagogy, curriculum,
                            organizational structure, grades and enrollment changes.

                          The narrative response to Question No. 4.a. should be submitted
                                  as Attachment G in Binder No. 1-Attachments.


              4.b.          Amended Attachments from the Charter Application

                  -        The second part of the response will be to submit those portions of the original
                           charter application that the narrative response indicates will change or that are
                           inapplicable.
                  -        Please note that ideally schools should work off of the application as it was
                           amended during the initial charter application process. Almost all schools, for
                           example, will need to submit a new enrollment chart that shows the enrollment
                           and grade structure for only those years for which the charter will be renewed.
                  -        Similarly, all schools are required to submit new budgets for the year or years for
                           which they are requesting charter renewal. A suggested budget format is attached
                           to this application form as Appendix A, Part II.
                  -        While many schools will need to modify quite a few of the attachments from their
                           original applications, there is more work to be done by those schools that are
                           planning on adding a grade that has not been previously authorized
                  -        Some common areas of the original charter application that may need to be
                           changed for submission as part of the Application for Short-Term Planning Year
                           Renewal are discussed below. Responses that in almost every instance (if not in
                           fact all instances) will have to be submitted as part of the Application for Short-
                           Term Planning Year Renewal are marked with an asterisk (*).

                  -        Note that the Attachments listed below follow the numbering conventions from the
                           New Charter School Application Kit (5th Edition). If the original charter school
                           application was filed using a subsequent edition of the New Charter School
                           Application Kit, please follow the numbering conventions of the original charter
                           application.



Charter Schools Institute      Application for Short-Term Planning Year Renewal                                14
                       Attachment 4: Term:* Indicate the term of the Short-Term Planning Year
                       Renewal sought, which is limited to the number of planning years taken. The
                       Institute will not approve a shorter term than the number of planning years taken,
                       i.e. requesting one year when two planning years were taken.
                       Attachment 5: Grades, Ages and Numbers of Students to be Served
                       (Projected Enrollment Structure):* In chart form, provide for each year of the
                       proposed renewal charter the grades the school will serve, the number of students
                       in each grade, the total number of students and the ages of the students the school
                       will serve. If the school will be serving kindergarten for the first time during the
                       Short-Term Planning Year Renewal charter term, please indicate the date by
                       which a child must reach age five in order to be eligible to attend the school.
                       Attachment 6: Rationale for Grade Expansion: If the school will be adding
                       grades during the renewal term that were not included in the original application,
                       or significantly expanding enrollment in the grades it is currently serving, please
                       provide the rationale for the school’s growth plan. The information provided
                       should be consistent with the proposed budgets, staffing plan and facilities
                       information to be submitted.
                       Attachment 9: Management Company and Contract (if applicable): If a
                       school will not be changing management companies and its current management
                       contract term coincides with or exceeds the term of the Short-Term Planning Year
                       Renewal charter term, no new information need be submitted.

                       However, if the school has contracted with an educational service provider and
                       that contract will expire prior to or during the Short-Term Planning Year Renewal
                       charter period, or the school wishes to change management companies, please
                       provide the fully negotiated (but not executed) management contract for the
                       Institute’s review and approval. If a contract has yet to be negotiated with the
                       present management company, please provide an explanation and timetable for
                       that process to be completed. If the school intends to not renew its management
                       contract, please provide detailed information and revised budgets to show how the
                       services provided by the management company will be provided by the school. A
                       school may also, if it wishes, defer its decision on this issue and so indicate. In
                       such cases, renewal will be granted, but a condition of such renewal may be that
                       the school submit information and documentation in this regard at a date in the
                       future at or about the time when its initial charter period is due to expire.
                       Attachment 12: Proposed School Calendar and School Day: If the school will
                       be changing the length of its school calendar or school day, or modifying its
                       school day for new grades, please provide copies of each for the renewal term
                       including a count of the number of days in the school year.
                       Attachment 13: Student Achievement Goals:* If the school will be using a
                       portion or the remainder of its current Accountability Plan, it should so state and
                       need not include a copy of it. However, new grades will, and other circumstances
                       may, necessitate a revised Accountability Plan, which must be revised in
                       accordance with the Institute’s ―Guidelines for Creating an Accountability Plan‖
                       available at: www.newyorkcharters.org.



Charter Schools Institute   Application for Short-Term Planning Year Renewal                              15
                       Attachment 14-17: Educational Program: The school should outline any
                       changes to the curriculum and assessments the school will implement during the
                       term of its next charter, along with its plans for providing professional
                       development to instructional staff to ensure their understanding and enhance their
                       ability to institute the proposed changes. Similarly, schools that seek to add grade
                       levels not included in the approval of the original charter must provide an outline
                       of the curriculum and specific assessment plans for the term of the school’s next
                       charter per the Institute’s Curriculum Framework (available on the Institute’s
                       website at: www.newyorkcharters.org/SUNYCurriculumTemplate.doc). Also
                       indicate in the outline whether the school will be employing a particular
                       commercial or generally accepted curricular approach (such as Advanced
                       Placement English Literature, Everyday Math or Direct Instruction). If the school
                       is proposing to offer grades it has not previously offered, the school’s staffing
                       plans should be discussed in detail and a detailed roster should be provided, see
                       Attachment 42 below. The school should be sure to reflect any changes in the
                       educational program in its proposed budgets.
                       Attachments 26, 29: Governance: If the school has made any organizational
                       changes, please submit an updated organizational chart. If applicable, discuss any
                       changes the school intends to make in the governance structure from the current
                       charter period, and how that structure will better serve the school during the new
                       term. Such changes might include changes in leadership or board structure,
                       changes in grades that require separation of the school into academies, etc.
                       Attachments 31-40: School Policies: If the school will be changing existing
                       policies, including personnel policies, in a material way, or adding new policies,
                       e.g., a discipline policy for upper grades, please provide the updated/new policies.
                       Attachment 42: Staffing Plan: If the school has or will be altering its staffing
                       plan, for example, adding new instructors for new grades, please provide an
                       updated school roster, and any specific attributes required for new positions, such
                       as middle school principal.
                       Attachments 44-49: Fiscal: Present detailed budgets for the years that the school
                       is seeking to have the charter renewed. A template for providing that budget is
                       attached at Appendix A. The budget should reflect the current and future fiscal
                       reality of the school, i.e., moving to a planned new facility, etc. The budget should
                       clearly lay out assumptions from which the budget is built.
                       Attachments 50-55: Facility:* If the school will be changing or expanding into
                       new facilities during the term of the charter extension, please provide all required
                       information set forth in the original charter agreement, including a detailed facility
                       completion schedule and unexecuted lease or purchase agreement.
                       Attachment 56: Conversion from a Private to Public Charter School: If any
                       of the school’s answers to Request 56 in the original application were positive,
                       then the school must answer the questions posed in Education Law subdivision
                       2852(3)(c) and (d).

     All amended Charter Attachments in response to Question No. 4.b. should be submitted
                as Charter Attachments in Binder No. 1-Attachments, keeping the
       respective number formatting from the original charter application as shown above.


Charter Schools Institute   Application for Short-Term Planning Year Renewal                               16
                              Application for Short-Term
                               Planning Year Renewal


                                             APPENDICES




Charter Schools Institute   Application for Short-Term Planning Year Renewal   17
                                                   APPENDIX A:

                                                    PART I of II:

                                  REQUIRED FORMAT FOR DETAILED
                                      FINANCIAL STATEMENTS

                               Notes on Preparing the Financial Statements


Detailed Financial Statement:

The following template for the detailed financial statement is in the form prescribed by the Board of
Regents as required by Education Law subdivision 2851(4)(b). The statement must present, in
reasonable detail, the nature of expenses incurred in each category of program and supporting
services reported. The attached template shows the typical level of detail expected. Schools are
encouraged to add additional categories if it will enhance the readers’ understanding of the statement.
Likewise, classifications not used or not material to the schools presentation may be eliminated. If
not otherwise presented, schools employing management companies should obtain and provide in
note disclosure a breakdown of contracted service fees in a similar format to the attached statement.

Summary of Total Expenses:

The school should also prepare a summary of total expenses covering the term of the charter about to
expire, in the attached suggested format.




Charter Schools Institute   Application for Short-Term Planning Year Renewal                        18
                     REQUIRED FORMAT FOR DETAILED FINANCIAL STATEMENTS
                             (Please complete as a Microsoft Excel® worksheet)

                                                School Name:______________________
                                                Summary of Detailed Financial Statements
                                                            Total Expenses for the Years Ended June 30                   Total
            Functional Expenses                      20xx                20xx            20xx            20xx           Expenses
Personnel Services                                                                                                              -
Employee Benefits and Payroll Taxes                                                                                             -
Accounting/Auditing Fees                                                                                                        -
Board Expenses                                                                                                                  -
Consultants (specify)                                                                                                           -
Contracted Services - Management Co.                                                                                            -
Contracted Services - (specify)                                                                                                 -
Depreciation and Amortization                                                                                                   -
Field Trips                                                                                                                     -
Food Service                                                                                                                    -
Insurance                                                                                                                       -
Interest                                                                                                                        -
Janitorial                                                                                                                      -
Lease – Equipment                                                                                                               -
Lease – Facility                                                                                                                -
Legal                                                                                                                           -
Maintenance & Repairs                                                                                                           -
Office Expense                                                                                                                  -
Postage/Printing/Copying                                                                                                        -
Security                                                                                                                        -
Staff Development                                                                                                               -
Staff Recruitment                                                                                                               -
Student Recruitment and Marketing                                                                                               -
Student Testing                                                                                                                 -
Supplies & Materials                                                                                                            -
Telephone & Communications                                                                                                      -
Textbooks                                                                                                                       -
Transportation (Student)                                                                                                        -
Travel                                                                                                                          -
Utilities                                                                                                                       -
Total Expenses                                   $          -        $          -    $          -   $           -   $          -




      Charter Schools Institute   Application for Short-Term Planning Year Renewal                                        19
                                                 School Name:______________________
                                                 Detailed financial statement for the year ended June 30, _____
                                                                  Program Services                            Supporting Services            Total
                                                      Regular           Special             Other         Fundraising     Management        Expenses
           Functional Expenses                       Education         Education          Education       and Special      & General
                                                                                                            Events
Personnel Services                                                                                                                                 -
Employee Benefits and Payroll Taxes                                                                                                                -
Accounting/Auditing Fees                                                                                                                           -
Board Expenses                                                                                                                                     -
Consultants (specify)                                                                                                                              -
Contracted Services - Management Co.                                                                                                               -
Contracted Services - (specify)                                                                                                                    -
Depreciation and Amortization                                                                                                                      -
Field Trips                                                                                                                                        -
Food Service                                                                                                                                       -
Insurance                                                                                                                                          -
Interest                                                                                                                                           -
Janitorial                                                                                                                                         -
Lease – Equipment                                                                                                                                  -
Lease – Facility                                                                                                                                   -
Legal                                                                                                                                              -
Maintenance & Repairs                                                                                                                              -
Office Expense                                                                                                                                     -
Postage/Printing/Copying                                                                                                                           -
Security                                                                                                                                           -
Staff Development                                                                                                                                  -
Staff Recruitment                                                                                                                                  -
Student Recruitment and Marketing                                                                                                                  -
Student Testing                                                                                                                                    -
Supplies & Materials                                                                                                                               -
Telephone & Communications                                                                                                                         -
Textbooks                                                                                                                                          -
Transportation (Student)                                                                                                                           -
Travel                                                                                                                                             -
Utilities                                                                                                                                          -
Total Expenses                                   $          -      $          -          $       -    $            -     $          -   $         -

    Charter Schools Institute   Application for Short-Term Planning Year Renewal (Operating)                                                    20
                                                    APPENDIX A

                                                    PART II of II:

                                      SUGGESTED BUDGET FORMAT

                                   Notes on Preparing the Projected Budget

Budget Projection:

The following template shows the suggested format for the school's budget.

The budget should be the cornerstone of the school's fiscal plan for the proposed new charter period.
Ideally, the school will closely align the functional expenses shown in its budget projection with the
detailed financial statements for the previous charter period.

A description of any assumptions made for changes in revenues and expenses should be provided.
Because the school is applying for a Short-Term Planning Year Renewal, the number of years
covered by the budget should match the number of years of the renewal (typically 1 or 2 years).




Charter Schools Institute   Application for Short-Term Planning Year Renewal (Operating)             21
                                        SUGGESTED BUDGET FORMAT
                                  (Please complete as a Microsoft Excel® worksheet)


                                                                                      Renewal Year
                                                             20XX          20XX          20XX        20XX       20XX
Enrollment (projected)
Actual Student Enrollment
Total Paid Student Enrollment


Revenues
Per Pupil Aid
Title Funding
IDEA
State Excess Cost (Special Ed)
School Nutrition Program
Grants (specify)
Contributions
In-Kind Contributions
Investment Income
Other Revenue (specify)
     Total Revenues                                                  -            -             -           -          -


Expenditures


Administrative Staff Personnel Costs
Principal
Business Manager
Administrative Staff


Instructional Personnel Costs
Teachers Salaries
Special Ed Teachers
Substitute Teachers
Teaching Assistants
Specialty Teachers
Aides


Non-Instructional Personnel Costs
Nurse
Librarian
Custodian
Security



   Charter Schools Institute   Application for Short-Term Planning Year Renewal                                  22
                                                                                      Renewal Year
                                                             20XX          20XX          20XX        20XX       20XX

                   Subtotal Personnel Services Costs                 -            -             -           -          -


Payroll Taxes and Benefits
Payroll Taxes
Employee Benefits (specify)


                  Subtotal Payroll Taxes and Benefits                -            -             -           -          -


Total Personnel Costs                                                -            -             -           -          -
Contracted Services
Accounting/Auditing Services
Consultants (specify type)
Food Service
Legal
Management Fee
Nurse Services
Other (specify)
Payroll Services
Special Ed Services
Specialty Services
Title 1 Services
Total Contracted Services                                            -            -             -           -          -
School Operations
Board Expenses
Classroom Supplies & Materials
Special Ed materials/supplies
Textbooks
Food Service Supplies
Telephone & Communications
Minor equipment
Postage/Printing/Copying
Student Testing
Field Trips
Office Expense
Staff Development
Staff Recruitment
Student Recruitment/Marketing
Transportation (student)
Travel



   Charter Schools Institute   Application for Short-Term Planning Year Renewal                                  23
                                                                                      Renewal Year
                                                             20XX          20XX          20XX        20XX       20XX
Total School Operations Costs                                        -            -             -           -          -
Facility Operation & Maintenance
Insurance
Janitorial
Lease – Equipment
Lease – Facility
Maintenance & Repairs
Security
Utilities
Total Facility Operation & Maint.                                    -            -             -           -          -


Depreciation & Amortization


    TOTAL EXPENSES                                                   -            -             -           -          -


     Net Surplus (Deficit)                                           -            -             -           -          -


CASH FLOW ADJUSTMENTS
Operating Activities
Example - add back depreciation
Investing Activities
Example - subtract capital expenses
Financing Activities
Example - add proceeds from a loan


Total Cash Flow Adjustments                                          -            -             -           -          -


     Net Surplus (Deficit)                                           -            -             -           -          -

Beginning Cash Balance

                                                                     -            -             -           -          -
Ending Cash Balance




   Charter Schools Institute   Application for Short-Term Planning Year Renewal                                  24
                                                    APPENDIX B:
                                             SCHOOL BOARD OF TRUSTEES
                                               ORGANIZATIONAL CHART

      Name of Charter School:
      Form Completed By:
      Date Form Completed:

                       Preferred method of
                                                                 Position            Voting or Non-
                       contact (indicate
                                                   Date          Held                Voting or
Name of Trustee        Home or Work)                                                                    Committee Assignment(s)
                                                   Term          (Chair,             other
                       Address, Telephone                                                               (if any)
                                                   Expires       Secretary,          restrictions (if
                       and Fax Numbers,
                                                                 etc.)               any)
                       and E-mail




      Charter Schools Institute   Application for Short-Term Planning Year Renewal                                     25

								
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