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Table of Contents
- Overview
- Accountability Framework Components
Pre-Opening Actions and Commencement of Operations
B. Academic and Student-Focused Non-Academic Success
C. Operations and Management
D. Deliverables
III. Annual Obligations
IV. Requesting Changes to the Charter
A. Changes Requiring Approval
B. Changes Requiring Notification
V. Charter School Renewal Process
A. Letter of Intent for Charter Renewal
B. Renewal Site Visit
C. Renewal Team Review
D. Office of Charter Schools' Recommendation to the University President
VI. Appendix: Key Documents
A. Pre-Opening Checklist
B. Constituent Survey and Board Self-Assessment Samples
C. Academic Walkthrough Report Sample
D. Curriculum Implementation Checklist
E. Accountability Planning: Creating Performance Goals and Measures; Resource List
F. Quarterly Reporting Document
G. Financial Reporting Instructions
H. Change Request Form
I. Reporting Compliance Summary
J. Key Accountability Questions and Data Sources
I. Overview
Charter schools are independent, self-governed public schools. Accepting the autonomy of self-governance in exchange for increased accountability, charter schools are held to the highest accountability standards by their sponsors.
Academic achievement, environment, organizational management, and financial stability are all measured as a part of the rigorous accountability program to which Ball State charter schools adhere.
Focused on outcomes and successes rather than inputs, Ball State's Accountability Framework has been developed with the belief that the accountability process should be strategic and beneficial to schools as they strive to be the best. Therefore, over the life of the charter contract accountability reviews are structured to help a school improve where improvements are needed and highlight successes that can be expanded and replicated.
Although much of this Accountability Framework is centered on the state's charter school law and state and federal accountability standards, the most important aspect is the accountability plan developed by a school.
These aggressive plans, finalized during the first semester of the second year in operation, are evaluated annually. These accountability plans build on goals contained in a school's original proposal and should be part of a school's larger strategic plan.
Accountability goals, developed in the areas of Academics, Student-Focused Non-Academics, and Organizational Management, are tools for a school to tell its story as it relates to its specific mission, vision, curriculum, and student population. Measurable goals articulate how each school defines success over the life of the charter contract.
Additional information on the format for school-specific accountability goals can be found in the appendix at the end of this framework.
Each school's charter contract is reviewed annually. Ball State, during the final year of the contract, will conduct an in-depth evaluation and determine whether a school's academic, organizational, and financial status make it a candidate for renewal.
Annual reviews of each school are conducted using a variety of tools: site visits, classroom observations, evaluation of standardized tests, school responses to site visits, and analysis of school-specific success measures.
Ball State, as a part of these evaluations, asks the following four evaluative questions that look at specific issues for analysis.
1. Has the school set the stage for academic success?
a. Teaching
b. Learning
c. Curriculum
d. Special Education
e. Assessment Strategies
f. Culture/Environment
2. Is the school organizationally sound?
a. Governance and Operations
b. Faithfulness to the Terms of its Charter
c. Parent and Community Involvement
d. Facilities
e. Stability of Enrollment
f. Retention and Enrollment Capacity
g. Compliance with the Charter and State and Federal Regulations
3. Is the school financially viable?
a. Soundness of Current Budget
b. Future Plans (including growth and alignment with current budget)
4. How is the school performing against success measures?
a. AYP as Defined by No Child Left Behind
b. Public Law 221 provisions as Defined by Indiana Department of Education
c. Goals in School-Developed Accountability Plan
II. Accountability Framework
Ball State University's charter school accountability program begins well before a school opens its doors and continues systematically through the renewal decision at the end of the charter contract. Improvement and replication of success are always the leading goals. Strengths are highlighted for all to see, and recommendations for improvement are reviewed and discussed with the intention of those changes being implemented to improve the school.
Key Components of the Framework
The key components of the accountability framework are categorized into four areas: Start-up, Academics and Student-Focused Non-Academics, Operations and Management, and Renewal Reviews. Many of the requirements for each individual area naturally overlap. The key components, defined below, are followed by a summary of the components used each year.
A. Pre-Opening Actions and Commencement of Operations
The start-up period is from the time the proposal is accepted by the President of the University through substantial completion of Pre-Opening Actions described below. The Organizer must provide documentation of substantial completion of these Pre-Opening Actions. The Organizer may not provide instruction to any student enrolled in the charter school until the Director of the Office of Charter Schools issues a written statement attesting to the substantial completion of the these Pre-Opening Actions.
Charter Proposal
An organization's Charter Proposal comprises the core of its contract with Ball State University and therefore acts as the backbone of the University's accountability system. Section IV of the Accountability Framework defines the process a school must exercise when operational, academic, and financial variances from the initial proposal are necessary.
Pre-Opening Checklist
Representatives from the Office of Charter Schools begin working with a school immediately upon approval of the proposal to clearly define expectations and help identify resources for success. The Pre-Opening Checklist reviews key preparation issues and milestones in the areas of finance, facilities, enrollment, curriculum, staffing and staff development development, and communication. This document is reviewed with each organizer immediately after the President accepts a proposal and is re-visited on a regular basis in the months leading up to the first day of school.
Many items contained in the Pre-Opening checklist are intended to assist and guide an organizer through the many tasks that must be completed in order to be prepared to open. Other items, referred to as Pre-Opening Actions, must be completed by the organizer in order to receive written approval from the Office of Charter Schools to being educating students. These Pre-Opening Actions are represented in bold typeface in the Pre-Opening Checklist and are detailed below.
See Appendix A for a sample of the Pre-Opening Checklist. Final approval to open will be documented in a letter from the Director of the Office of Charter Schools.
Pre-Opening Actions
Documentation of substantial completion of the following Pre-Opening Actions is required in order to receive written approval from the Director of the Office of Charter Schools before the Director of the Office of Charter Schools issues a written statement attesting to the substantial completion of the these Pre-Opening Actions. Pre-Opening Actions are:
School has adopted proper internal financial and accounting controls. Initial statement prepared. Organizer has adopted proper internal financial and accounting controls.
Financial plan is in place. 5-year detailed budget that also identifies start-up costs
5-year cash flow plan identifying the sources of funds available to pay start-up costs and costs of operations prior to receipt of state and local tuition support.
Comprehensive Special Education Plan. Copy of comprehensive plan that complies with applicable law and has received approval or evidence that the organizer will be joining existing Co-op. Evidence that staff are on board to provide special needs services, or evidence that arrangements have been made for contracted services. Evidence that intake process identifies special needs students (e.g., application, parent/student survey or questionnaire).
Curriculum. Detailed, specific summary of curriculum.
Transportation. A transportation plan is in place, including evidence of communication to parents and guardians, that enables the school to satisfy commitments made in the charter proposal.
School Safety and Emergency Preparedness. Specific, detailed plan including plans for preparing for/responding to emergencies; complies with applicable law; and includes monthly fire drill and 2 tornado (shelter) drills per semester.
Facility. Organizer has acquired, through purchase, lease or otherwise, the location and facility for the school and has documentation of lease or purchase agreement. All required zoning, land use or other building related permits have been obtained. All required inspections have been completed successfully.
Real and Personal Property insurance. Schedule of values for the real property in which the charter school will operate and for the personal property therein, indicating replacement values and coverage based on said values.
General Liability insurance. Coverage in the amounts of $2,000,000 aggregate and $1,000,000 per occurrence with endorsements for the following: 1) coverage for employee benefit plan administration; 2) specialized professional liability coverage for persons such as nurses and athletic trainers; and 3) coverage for groups conducting school sponsored activities, such at PTO's, booster clubs and student groups.
Vehicle insurance. Vehicle coverage is required for any vehicles owned or leased by the Organizer and used for Charter School purposes. Coverage must be as follows: Liability - $1,000,000 aggregate/occurrence; Medical - $5,000 per person per occurrence; Uninsured motorist - $1,000,000; Underinsured motorist - $1,000,000, Property damage - $50,000; Max comprehensive and collision deductible $500.
School leaders/legal professional liability. Board of Directors Errors & Omissions - $2,000,000 aggregate and $1,000,000 per occurrence.
Umbrella/excess liability. Required over the general liability policy, the vehicle coverage, and the errors and omissions coverage for the board of directors in the amount of $2,000,000.
Employee Dishonesty. Bonds are required covering the treasurer in the amount of $100,000, and bonds or crime insurance for theft and embezzlement are required in the amount of $100,000 for other employees handling money.
Workers compensation. Workers compensation insurance must be provided as required by law.
Conflict of Interest. Detailed, specific policy adopted by board and signed by all board members.
Background checks. Detailed, specific policy adopted by board; board and staff background checks have been completed.
Licenses. Evidence that all staff are appropriately licensed or are taking appropriate steps to complete licensing requirements in a timely fashion.
Charter contract. With Schedules 1-4 attached.
Certificate of Organizer's officers, and organizational documents, in form satisfactory to Sponsor. With required attachments (copy of Organizer's: (a) Articles of Incorporation, certified by Indiana Secretary of State, that includes provisions required under Sections 3.2(c) and 10.5 of the Charter; certification of existence from the Secretary of State; (b) Bylaws; and (c) Board of Directors resolution authorizing establishment of Charter School and execution of Charter documents by officers).
Copy of Organizer's Application to Internal Revenue Service for Determination of Tax-exempt status (Form 1023). With all schedules and attachments, together with copy of IRS determination letter, if issued prior to closing.
Copy of signed management agreement, if any, between Organizer and educational management organization. Including provisions required under Section 3.23 of the Charter.
Legal Opinion of organizer's counsel, in form satisfactory to Sponsor.
Amendments to the charter proposal. Many of the items contained in the Pre-Opening Actions are required, by IC 20-5.5 to be incorporated into the Charter. Those items not in place when the proposal is accepted must be incorporated by amendment. (A primary example is the school's physical location. Required by state law to be part of the charter proposal, the school's address is rarely known at the time of proposal.)
B. Academic and Student-Focused Non-Academic Success
Academic and student-focused non-academic success takes into account academic achievement and all those things happening in the classroom that provide a safe and successful learning environment for students. Tools to measure success in these areas are described below.
Academic Achievement. Ultimately, charter schools are judged like any public school – by their success in meeting adequate yearly progress as defined by the federal No Child Left Behind legislation.
Ball State's Office of Charter Schools also monitors academic growth from fall to spring and over time by requiring that schools administer the Northwest Evaluation Association's Map Test (NWEA).
Constituent Surveys. Surveys of parents, board, and staff are utilized to understand what key constituencies believe are important drivers of success and how these constituencies are performing in each important area. Teaching, learning, and the overall academic environment are included. The surveys are completed each spring. The Office of Charter Schools will provide the summary data to each individual charter school and will publish the information in the annual accountability report. See Appendix B for a sample of the surveys.
Academic Walkthroughs[1]. Each year, a qualified team of experts will conduct academic walkthroughs at each school. The team will determine if there are any major curriculum, school leader, instructional, and/or organizational issues that could compromise the school's long-term success if not addressed quickly and effectively. If there are, the team will recommend an Extended Walkthrough occur immediately.
During year seven a qualified team of experts will conduct the walkthrough as part of a renewal review.
Members of the Academic Walkthrough Team study each school's curriculum and accountability goals before the visit. With their understanding of nationally recognized "best practices," the team observes student engagement and gathers data about curriculum and instructional focus in each classroom. The Academic Walkthroughs begin in February and conclude by the end of March at the latest. After all walkthroughs are completed, the Office of Charter Schools will provide an Academic Walkthrough Report to each of the schools. The report will include areas of strength and reflective questions to help a school contemplate ways to improve. Because walkthroughs are conducted annually, each report will also include observations of growth and improvement in areas identified in the previous year's walkthrough, accountability report, and the school's accountability plan. See Appendix C for a sample walkthrough report.
Curriculum Implementation Checklist. During the Academic Walkthrough in early spring, team members will compare curriculum, instructional materials, and methods being used to the curriculum listed in the proposal. If the walkthrough team identifies a gap in the proposed curriculum and what is being implemented, the Office of Charter Schools will conduct an additional visit to the school for an in-depth study the curriculum being used. The Office of Charter Schools will provide a summary report to the school after the visit. This report will include the findings from the visit as well as action items for the school. A sample of the Curriculum Implementation Checklist can be found in Appendix D.
Accountability Plan. During the first semester of a school's second year, the organization is required to review and update the accountability goals in its original proposal. Each goal must be measurable with a definition of success at the end of the charter contract and annual benchmarks. These goals are written in three categories: Academic, Student-Focused Non-Academic, and Organizational. Academic goals must take into account Adequate Yearly Progress (AYP) as well as measures in Indiana's Public Law 221 as minimum accountability standards. Additional academic goals that will lead to success as defined by AYP are expected as well. The Office of Charter Schools, with assistance from education experts, will provide guidance and feedback on the updated plans. See Appendix E for Accountability Plan resources.
Accountability Plan Update. Annually in the November quarterly report, schools will update their accountability plan to report on measurable progress toward goals and propose changes or additions to the plan. Additionally, schools will respond to the reflective questions in the academic walkthrough or site visit report. The Office of Charter Schools, with assistance from education experts, will provide guidance and feedback on the updated plans.
C. Operations and Management
Operations and management focuses on the infrastructure necessary to provide a solid financial and operational foundation for the charter school.
Quarterly Compliance Reports. Schools will provide performance and operational updates on a quarterly basis. Quarterly Reports will serve as a vehicle to inform Ball State of any changes to a school's operation, local, state and federal compliance issues, and timely data such as enrollment figures, background checks, and key dates. The reports are circulated throughout the University. The Office of Charter schools will provide feedback if necessary. See Appendix F for a Quarterly Report sample and guidelines.
Financial Reports. Annual budgets, semi-annual updates, and year-end financial reports are required by the University and reviewed by a team from the University's Business Affairs Office. Feedback is delivered to each school within 45 days. See Appendix G for financial reporting instructions.
Constituent Surveys. Surveys of parents, board, and staff are utilized to understand what key constituencies believe are important drivers of success and how these constituencies are performing in each important area. Teaching, learning, and the overall academic environment are included. The surveys are completed each spring. The Office of Charter Schools will provide the summary data to each individual charter school and will publish the information in the annual accountability report. See Appendix B for a sample of the survey.
Board Self-Assessment. Surveys of board members in which the board's activities are rated will be used to determine strengths and identify perceived gaps to help improve its functioning as a governing body. Where there is an indication of concern through a score of 3.5 or below, the school will be asked to address these issues in the accountability plan updates. If deemed necessary, the Office of Charter Schools will conduct focus groups and on-site assessments. These surveys are conducted in the spring of years one, two, four, and six of a seven-year contract. The results of the survey are provided to each school and included in the Office of Charter Schools annual report. See Appendix D for a sample of the survey.
Reporting Compliance Summary. A compliance summary will be performed to confirm that a school is in compliance with the applicable laws and that all documentation and reports have been filed with Ball State University and the Indiana Department of Education as per the charter contract. The compliance summary will be completed at the end of each school year and will result in a compliance report. This report will be provided to the schools and is part of their accountability binder. This information will assist in the renewal or non-renewal decision at the end of the charter contract. See Appendix I for the Reporting Compliance Summary.
Operations Review. Reviews of non-academic functions related to the successful operation of any non-profit will be performed including review of management functions, board leadership, and financial management. This review will be conducted in a school's fourth year, or earlier if other reviews suggest a need.
Accountability Plan. During the first semester of a school's second year, the organization is required to review and update the accountability goals in its original proposal. Each goal must be measurable with a definition of success at the end of the charter contract and annual benchmarks. These goals are written in three categories: Academic, Student-Focused Non-Academic, and Organizational. Academic goals must use Adequate Yearly Progress and measures in Indiana's Public Law 221 as minimum accountability standards. The Office of Charter Schools, with assistance from education experts, will provide guidance and feedback on the updated plans.
Extended Reviews. If any of the regular reviews, described above, suggest a charter school is experiencing difficulty with financial management, operations and management, governance, or leadership, to a degree that the Office of Charter Schools believes the school's potential for success is being compromised, an Extended Review will be conducted.
Such a review may focus on any or all of these areas, depending on recommendations of the experts utilized by the Office of Charter Schools. Independent experts will conduct these reviews, utilizing customized versions of standard tools developed for this purpose.
Experts will report findings and make recommendations for improvement. School leaders, including staff and the board, will be expected to respond to these recommendations with action items and timelines for implementation. Office of Charter Schools staff will then monitor implementation of these action items.
D. Deliverables
Ball State Accountability Report
Each year Ball State University will publish an accountability report for all charter schools authorized by the University. This report will include test scores, results of constituent surveys, progress toward goals, and results of the academic walkthrough as well as other accountability data gathered throughout the course of the year. The report will also include specific deliverables that relate to the operations and management of the school such as; board self-assessment surveys, compliance reports, and financial reports. The report is organized around the four questions mentioned earlier in the framework.
Accountability data provided to the school
- NWEA data and analysis
- Constituent Survey results
- Academic Walkthrough results
- Board Self-Assessment Survey results
- Charter Compliance Report
- Financial Review results
Accountability data provided by schools
- Accountability Plans and Updates
- ISTEP data
- Demographic information
- Compliance reports
- Student, Teacher and Board Retention
III. Annual Obligations
Pre Operational
- Statement of Intent to Propose
- Proposal
- Pre-Opening Actions
Year One
1. Quarterly Reports
2. Constituent Surveys
3. Academic Walkthrough
4. Compliance Review
5. Financial Reports
6. Board Self-Assessment Survey
Year Two
1. Quarterly Reports
2. Accountability Plan Development
3. Constituent Surveys
4. Academic Walkthroughs
- Compliance Review
- Financial Reports
- Board Self-Assessment Survey
Year Three
1. Quarterly Reports
2. Accountability Plan Updates
3. Constituent Surveys
4. Academic Walkthrough
5. Compliance Review
6. Financial Reports
Year Four
1. Quarterly Reports
2. Accountability Plan Updates
3. Constituent Surveys
4. Academic Walkthrough
5. Operations Review
6. Compliance Review
7. Financial Reports
8. Board Self-Assessment Survey
Year Five
1. Quarterly Reports
2. Accountability Plan Updates
3. Constituent Surveys
4. Academic Walkthrough
5. Compliance Review
6. Financial Reports
Year Six
1. Quarterly Reports
2. Accountability Plan Updates
3. Constituent Surveys
4. Academic Walkthrough
5. Compliance Review
6. Financial Reports
7. Board Self-Assessment Survey
Year Seven
1. Quarterly Reports
2. Accountability Plan Updates
3. Letter of Intent to Renew
4. Renewal Review
5. President's Renewal Decision
IV. Requesting Changes to the Charter
An organizer's Proposal to Charter and Accountability Plan are incorporated by reference into the organizer' Charter Contract. An organizer wanting to deviate from the terms and conditions set for in its Charter Agreement must complete a Change Request Form, included as Appendix H. Documentation that the change request has been discussed and positively voted on by the school's board must accompany each request.
Unless the amendment must occur immediately, amendment requests should be submitted with the school's quarterly report. The Director of the Office of Charter Schools shall endeavor to review requests and receive University approval or denial within 30 days after receiving such requests. If an emergency situation exists, the amendment may be submitted separately from the quarterly report with a written notice specifying the nature of the emergency and the exact date a decision is needed from the University. The Director shall endeavor to provide a response by the requested date.
The Model Contract differentiates between changes that require approval and those simply requiring notification. Those changes and the process for their review and consideration is summarized below.
A. Changes Requiring Approval
If a charter school organizer plans to make any changes to its Proposal with respect to the following, the Board of Directors shall submit, in writing to the Charter Schools Director a request for amendment to the proposal, utilizing the Change Request Form. These amendments must be mutually agreed upon and signed by the Vice President for Business Affairs, in the case of the University, and the Chairman of the Board of Directors, in the case of the Organizer. Such changes include, but are not limited to the following:
- Projected enrollment
- Ages or grade ranges of pupils to be enrolled
- Changes in: the Organizer's certificate of occupancy for the Charter School's physical plant and other health and safety-related certifications or permits
- Educational philosophy, mission, or purpose
- Organizational structure
- School management contract
- Admissions process, procedures, and/or timeline (includes lottery procedures and timelines)
- Accountability goals
- Governance structure
- Any changes or modifications to the by-laws
- Changes to applications, filings, or IRS determinations related to seeking and maintaining the Organizer's tax-exempt status
- Changes to applications, filings, or state determinations to seeking and maintaining the Organizer's not-for-profit corporation status
- Compliance with desegregation order
- Methods of pupil assessment
- Curriculum and instructional methods
- Collective bargaining agreements
- Criminal history checks for continuing employees
- Changes Requiring Notification
If a charter school organizer plans to make any changes to its Proposal with respect to the following, the Board of Directors shall submit, in writing, to the Charter School director a Change Request Form as a means of notifying the University of the planned change. The notification must be submitted 30 days prior to effective date of change. While these changes do not require written approval from the Director, Ball State does reserve the right to restrict changes, if necessary. Changes requiring notice, rather than approval, include:
- School calendar
2. Transportation plan
3. Code of conduct (discipline plan)
4. Staff responsibilities
5. Staff or board memberships including background checks
6. School name
7. Staff and teacher benefits
8. Personnel plan
9. Budget and financial plans
V. Charter School Renewal Process
Renewal of a charter contract is based on proven success in relation to a school's accountability plan, success in meeting annual requirements, and evidence that the school is organizationally and financially viable. Finally, the decision for revocation or renewal will be informed by data gathered during the renewal site visit.
A. Letter of Intent for Charter Renewal
In the final year of the charter contract, each school wishing to continue its charter must submit a Letter of Intent indicating the desire to renew its charter. The Letter of Intent, to be submitted no later than October 1 of the final year of a charter contract, must clearly articulate affirmative answers to questions listed below.
1. Has the school achieved its accountability goals?
a. Academic
b. Student-Focused Non-Academic
c. Organization and Management
2. Is the school organizationally sound?
a. Stability of Enrollment
b. Near Capacity
c. Sound Governance
d. Capable Staff
e. Compliance
3. Is the school financially sound?
a. Sound Budget
b. Evidence of Building Appropriate Cash Reserves
4. In the context of the expiring accountability plan, what is the organization's vision and goals for the next seven years?
B. Renewal Site Visit
After receiving a Letter of Intent, the Office of Charter Schools will conduct a Renewal Site Visit. The Renewal Site Visit Team will be comprised of the Academic Walkthrough Team and augmented with expertise in organizational management and finance.
This evaluative visit will be guided by data collected over the life of the contract as well as the school's Letter of Intent to Renew. Team members will conduct an in-depth evaluation of teaching and learning, curriculum, leadership, operations and management, governance, and financial management.
The team's findings will be submitted to the Office of Charter Schools within thirty days of the site visit. Staff of the Office of Charter Schools will utilize this information as the culminating component of a Renewal Report, which will be reviewed by a Renewal Review Team.
C. Renewal Review Team
Comprised of members of the Proposal Review Team, the Renewal Review Team will receive a detailed report from the Office of Charter Schools as the basis for making a charter renewal recommendation to the Dean of the Teachers College, and ultimately the University President.
The Renewal Report and Recommendation will summarize all accountability data collected over the life of the contract and provide measurable results in the form of a Renewal Rubric[2]. Results of the Renewal Site Visit will also be summarized in the Renewal Report and Recommendation document.
D. Recommendation to the University President
Ball State's President will receive the Renewal Report and Recommendation as the summary portion of an in-depth report on the success of a charter school completing its final year. A recommendation from the Dean of the Teachers College, based on the Renewal Review Team's report will accompany this report.
The University President will make his or her final decision within thirty days of receiving the Report and Recommendations. All renewal decisions will be made by April 1 of the final year of a charter contract.
E. Public discussion
Office of Charter Schools staff will share the Renewal Report and Recommendations with each school's leadership and present the findings at a public meeting of each school's Board of Directors.
V. Appendix
A. Pre-Opening Checklist
B. Constituent Survey and Board Self-Assessment Samples
C. Academic Walkthrough Report Sample
D. Curriculum Implementation Checklist
E. Accountability Planning: Creating Performance Goals and Measures; Resource List
F. Quarterly Reporting Document
G. Financial Reporting Instructions
H. Change Request Form
I. Reporting Compliance Summary
J. Key Accountability Questions and Data Sources
[1] Academic walkthroughs are adapted from the work of Carolyn J. Downey and Larry E. Frase (@2001 Curriculum Management Services, Inc.)
[2] Renewal Rubric is under development and will be submitted to operating charter schools for review and comment in the spring of 2006.
