Local Government Records Management Improvement Fund

Local Government Records Management Improvement Fund

USNY RFP #01-2009

University of the State of New York / DO NOT WRITE IN THIS SPACE
Smart Scholars ECHS Program
Bid Proposal Cover Sheet / Log Number / Date Received

USNY-RFP #01-2009

Applicant LEAor IHE(Name) / Department/Unit, if applicable / County
Chief Administrative Officer(Last Name, First Name, Dr./Mr./Ms.)
Title / Telephone Number/Extension
() / Fax Number
() / E-mail Address
Address (Street, City, Zip Code)
Project Director(Last Name, First Name, Dr./ Mr./Ms.)
Title / Telephone Number/Extension
() / Fax Number
() / E-mail Address
Address (Street, City, Zip Code)
Contact Person / Same person as Project Director
Title / Telephone Number/Extension
() / Fax Number
() / E-mail Address
Address (Street, City, Zip Code)

Application Type(Check one): Individual Consortia

Amount Requested:

Certification and Approval

I hereby certify that I am the applicant’s Chief Administrative Officer, and that the information contained in this application is, to the best of my knowledge, complete and accurate. I further certify, to the best of my knowledge, that any ensuing program and activity will be conducted in accordance with all applicable application guidelines and instructions, and that the requested budget amounts are necessary for the implementation of this project. I understand that this application constitutes an offer and, if accepted by the University of the State of New York(USNY) or renegotiated to acceptance, will form a binding agreement. I also understand that immediate written notice will be provided to USNY if at any time I learn that this certification was erroneous when submitted, or has become erroneous by reason of changedcircumstances.

Signature (in blue ink) / Date
Type or print the name and title of the Chief Administrative Officer
Reviewed by ______Date ______

Complete Proposal Check-Off List

A complete proposal consists of several documents. Please check- off boxes in the first column to indicate that you have included all required forms and documents. Please order your proposal package in the same order as the checklist below.

Applicant / USNY Staff
--Bid Proposal Cover Sheet / 
--Complete Proposal Check-Off List / 
-- Proposal Summary and Proposal Narrative / 
--Other Required Submission Documents
(See Page 18) / 
--Cost Proposal: RR-Fiscal Form-01 Proposal Budget (Provide Cost Proposal in separate sealed envelope) / 

The University of the State of New York (USNY)

Title: The Smart Scholars Early CollegeHigh School Program


Through this Request for Proposal (RFP), the University of the State of New York (USNY) seeks to identify Local Education Agencies (LEAs)[1], especially those serving students in high need/very high need schools, and two and/or four year Institutions of Higher Education (IHEs)[2]that are committed to the rigorous work required to redesign a number of high schools in partnerships with one another. Community-based organizations (CBOs) serving high need/very high need communities are also encouraged to participate in the Smart Scholars Early College High School (ECHS) program in support of the partnerships between the schools and the colleges. Each Smart Scholars ECHS partnership will be designed to provide an accelerated program of study in which students complete a high school diploma while earning an average of 20 college credits.

Over a four-year period it is anticipated that $12,000,000 will be available for this purpose, in two distinct $6,000,000 increments. A typical award may range from approximately $300,000 to $500,000. The amount of the award is contingent on the number of successful applicants. It is anticipated that approximately twenty-three (23) SmartScholarsEarlyCollegeHigh School partnerships will be established through two discrete RFP cycles in order to support two cohorts of Smart Scholars ECHS partnerships. Each funded partnership is required to work with a statewide intermediary organization that will provide technical assistance to the developing Smart Scholars ECHS partnerships as well as administrative services to the Board of Regents and the University of the State of New York (USNY). It is anticipated that one or possibly two statewide intermediaries will be determined by USNY.

This first RFP includes $6,000,000 in funding and corresponds to the first cohort. Approximately eleven (11) contracts will result from this RFP, with an expected start date of December 1, 2009 for a planning phase, and will enroll the first cohort of students in September 2010.

The second RFP is contingent on an additional $6,000,000 appropriation from the legislature in the 2010-2011 New York State budget. If this funding is successful the second cohort, consisting of approximately 12 partnerships (12 contracts), will begin its planning phase in September of 2010, and will enroll the second cohort of students in September 2011.

The Smart Scholars ECHS partnerships are encouraged to set aside grant funds to support the growth and development of at risk students in high need/very high need schools beginning as early as the 6th grade, in preparation for entering the Smart Scholars ECHS program, in grades 9-12. Partnerships may allocate funds to provide greater resources during the first or planning year and less in out years, if desired. Applying LEAs and IHEs are encouraged to collaborate with local community-based organizations (CBOs) throughout this process.

The state-wide purposes of the Smart Scholars Early College High School Program are to increase high school graduation rates and the number of students who complete a postsecondary credential or degree, especially among groups of students in high need/very high need schoolswho traditionally attend college at disproportionally low rates. This initiative will do so by:

  • Creating approximately 23 early college high schools that support students toachieve high rates of high school graduation and college degree completion
  • Developing practices that can be adapted by other types of high schools and a broadarray of private and public post-secondary institutions

Components contained in Proposal USNY RFP #01-2009are as follows:

1.)Bid Proposal Cover Sheet and Complete Proposal Check-Off List

2.)Description of Services To Be Performed


4.)Evaluation Criteria and Method of Award

5.)Submission Documents

6.)AppendicesA, A-1, C, D-1, D-2, E and F

7.)Appendix B: Cost Proposal, RR Fiscal Form-01 Proposal Budget

Bidders Conference by Webinar

The University of the State of New York will host a Bidders Conference by Webinar on Thursday, August 13, 2009, from 10 am until 12 pm. To reserve a spot in the webinar, send an e-mail to: , Subject: Bidders Webinar Reservation.

All interested bidders should consider attending this webinar because critical project information will be shared, followed by a question and answer period.

Important Dates:

RFP Webinar is scheduled for Thursday,August 13, 2009

Proposals must be postmarked by October 1, 2009

Applicants will be informed by November 1, 2009

Partnership Cohort 1 start date:

Planning Period: December 1, 2009

Student Entry: September 1, 2010


Any questions regarding this request for proposal must be submitted by e-mail to no later than the close of business on August31, 2009,in which case answers will be posted to

Questions regarding this request should be identified as either Program or Fiscal.

Program Matters / Fiscal Matters
Joseph P. Frey / Mary Drzonsc
(518) 486-3633 / (518) 486-2423
E-mail: / E-mail:

Four (4) copies of each complete proposal* (one bearing an original signature in blue ink) must be received no later than:

Date: October 1, 2009 / At: Kathleen Egan/Gloria Bartowski
University of the State of New York
Time: 5:00 pm / Room 5N Mezzanine
89 Washington Avenue
Albany, NY12234
A complete proposal consists of:
1) Bid Proposal Cover Sheet, 2) Complete Proposal Check-Off List, 3) ProposalSummary, 4) Proposal Narrative, 5) All required Submission Documents—See Page 18 and 6) Cost Proposal, RR Fiscal Form-01 ProposalBudget
Facsimile copies of the proposals are NOT acceptable.
Submit Bid Proposal and all required submission documents excluding budget or cost proposal in a sealed envelope labeled
Bid Proposal –USNY RFP #01-2009 Do Not Open
Submit Cost Proposals in a separate sealed envelope labeled

Cost Proposal – USNY RFP #01-2009 Do Not Open
Mandatory Requirements:

  • College credits earned are transferable as defined in completed or “in development” articulation agreementsbetween the LEA and the IHE. Signed Letters of Intent to establish articulation agreements are acceptable in lieu of a completed agreement. The completed agreement or a copy of the agreement that is in development [Memorandum of Understanding (MOU)] or Letter of Intent must accompany the proposal.
  • To implement a Smart Scholars Early College High School, executed MOUs, those ”in development” or Letters of Intent establishing roles and responsibilities between the LEA, IHE and CBO (if applicable) must accompany the proposal.
  • Meeting terms of Mandatory Requirements. Please sign the agreement found in Appendix E, part of this RFP document.

Eligibility: Definitions:

  • Eligible Local Education Agency (LEA): An eligible LEA is a public high school, acharter school or a BOCES (LEA). Preference will be given to schools classified as “high need” and “very high need.” See:Appendix D-1 for a listing of New YorkStatehigh need schools, and Appendix D-2 for a listing of very high need schools (Schools Under Registration Review (SURR).

For purposes of this RFP:

A “high need school” is defined as a school that had an Overall State Accountability Statusin 2008-09 of Requiring Academic Progress - Year 1 through Year 6.


A“very high needschool” is defined as a school that had an Overall State Accountability Status of Requiring Academic Progress - Year 7 or above, or if the school was identified as a School Under Registration Review (SURR).

  • Eligible Institution of Higher Education (IHE): An eligible IHE is a New YorkState, two- or four-year college or university that is:

1)recognized by the United States Department of Education (USDE),

2)accredited by an appropriate accrediting body, and

3)offers academic programs registered by the New York State Education Department, Office of College and University Evaluation,

The University of the State of New York can make funding directly available to either the local education agency (LEA) or to the institution of higher education (IHE). However, the funding must be contingent on a defined collaborative agreement, a Memorandum of Understanding, MOU in development, or Letter of Intent between the LEA and the IHE that defines the roles and responsibilities of each entity in the partnership.

  • Memorandum of Understanding (MOU): An MOU is a written document or agreement between the LEA and the IHE that delineates all roles and responsibilities to which the parties will commit in the contract resulting from this RFP (See Appendix C).
  • Eligible Partnerships: An eligible partnership is defined through a signed MOU, MOU in development or Letter of Intent as a formal partnership between one or more local education agencies (LEAs), and one or more institutions of higher education (IHEs). Regional consortia are eligible to participate in the Smart Scholars ECHS program. An eligible partnership may also include a local 501(c)3 community-based organization (CBO).
  • Community-based organization (CBO): An eligible CBO will be a private non-profit 501(c)3 organization which is representative of a community or significant segments of a community and which provides educational or other related basic human services to individuals in the community. CBOs are encouraged to participate in Smart Scholars ECHS partnerships but cannot be an applicant to the RFP, since they are not authorized to award college credit in New YorkState.
  • Eligible Statewide Intermediary: The intermediary(ies) will coordinate much of the work of the selected Smart Scholars ECHS partnerships, and will assist them in establishing successful high schools. The University of the State of New York will select this organization(s) through a separate RFP. This information is provided in this RFP in an effort to provide sufficient detail to inform the development of all bidders’ proposals.

The eligible statewide intermediary(ies) will be a research and consulting organization that has demonstrated technical experience within an early college high school context and in the recruitment of highly qualified educators and personnel; academic support related to college readiness; curriculum development for both the IHE and the LEA; and significant, documented skill in developing, implementing and evaluating educational assessment tools. The statewide intermediary(ies) will also promote best practices across the schools, coordinate statewide leadership and training opportunities, and will import and translate best practices from other states. The statewide intermediary must meet minimum requirements established by the Board of Regents.

Eligibility: Requirements

  • All public schools (especially those identified as high need/very high need), charter schools and BOCES in New York State and their eligible public, independent or proprietary IHE partners in New York State may respond to this RFP.
  • New YorkState has a number of existing early college high schools. These schools are eligible to respond to this RFP. However, funds made available to such schools must result in a new or expanded level of service, including the development of demonstration sites that communicate best practices, or an expansion in the number of students served. Furthermore, this RFP allows these schools to partner with community-based organizations as applicable.
  • Smart Scholars ECHS Partnerships must provide strategies and/or collaborative endeavors designed to seek financial stability for the long-term operation of the Smart Scholars ECHS, beyond the life of the grant.
  • Community-based organizations (CBOs) are encouraged to participate in Smart Scholars ECHS partnerships. However, since the outcome of the grant will be the awarding of high school and college credit, the actual applicant to the RFP must be either the partner LEA or IHE.
  • USNY reserves the right to award contracts to partnerships rated comparably by reviewers, and that meet RFP requirements, in order to achieve geographic distribution of awards.An eligible CBO must have 501(c)3 status.

Eligible Activities:

The course of creating a new Smart Scholars ECHS generally evolves in two distinct phases: Pre-Opening and Implementation. Fundable activities in each phase of this process include:

a.Pre-Opening Planning Phase

  • Hiring a Smart Scholars program director/leader/principal
  • Establishing a staffing plan and hiring staff
  • Developing a budget and business plan
  • Establishing a suitable site/facility for the school
  • Writing a detailed Memorandum of Understanding with the IHE, including transfer of earned credits to the IHE partner
  • Engaging the LEA and IHE faculty and staff to design an aligned curriculum and standards and a sequence of courses that allow students to earn an average 20 college credits while completing high school and required Regents exams
  • Conducting outreach activities to and education of staff and families at middle and elementary schools
  • Conducting outreach activities to community-based organizations seeking support, and in recruiting students at risk of not completing high school or going on to postsecondary education
  • Planning student recruitment and selection criteria and strategies consistent with the goals of this initiative
  • Coordinating high school and college faculty, support services, calendars, and transportation and establishing on-going governance structures
  • Developing assessment tools and instruments under the guidance of the statewide intermediary(ies). This will include a plan for using results of the assessment process to evaluate student college-readiness, student outcomes and program success, as well as improvements needed, and to refine the assessment model throughout the progressive development of the Smart Scholars ECHS

b.Implementation Phase: Successful partnerships serve their initial class of students, adding additional classes each year. Successful partnerships will provide:

  • Academic and social support services (e.g. counseling staff, advisors)
  • Support for college-high school partnership liaisons who oversee joint planning with the LEA and support the SmartScholarsEarlyCollegeHigh Schooldirector’s/leader’s/principal’s coordination with the IHE
  • Data collection, sharing, reporting, and evaluation
  • Student recruitment and community education and engagement
  • Joint professional development for high school and college faculty
  • School design and planning team activities (e.g. curriculum development)
  • Travel and fees for relevant professional development opportunities

University of the State of New York (USNY) Consortium Policy

Smart Scholars ECHS applicants/participants can form a partnership or consortium to apply for funds under USNY-RFP #01-2009. In order to do so, the partnership or consortium must meet the following requirements:

The partnership or consortium must designate one of the applicants/participants to serve as the applicant and fiscal agent for the grant. The applicant agency must be an eligible applicant as defined in this RFP. All other consortium members must be eligible participants as well, per the definition provided in this RFP (See Eligibility: Definitions). In the event a contract is awarded to a partnership/consortium, the contract will be prepared in the name of the applicant agency/fiscal agent, not the partnership/consortium, since the group may not be a legal entity.

The applicant agency/fiscal agent must meet the following requirements:

  1. Must be an eligible grant recipient as defined by this RFP.
  2. Must receive and administer the grant funds and submit the required reports to account for the use of contract funds.
  3. Must require consortium partners to sign an agreement with the fiscal agent that specifically outlines all services each partner agrees to provide (See Eligibility: Definitions, andAppendix C).
  4. Must be an active member of the partnership/consortium, except where SUNY or CUNY Research Foundations are the fiscal agent.
  5. Cannot act as a flow-through for contract funds to pass to other recipients. USNY may establish a minimum level of direct service to be provided by the fiscal agent.
  6. Is PROHIBITED from sub-granting contract funds to other recipients. The fiscal agent is permitted to contract for services with other consortium partners or consultants to provide services that the fiscal agent cannot provide itself.
  7. Must be responsible for the performance of any services provided by the partners, consultants, or other organizations and must coordinate how each plan to participate.


USNY RFP #01-2009

1.)Description of Services to be Performed