Brooklyn Borough Hall209 Joralemon Street, Courtroom – 2nd

floorBrooklyn, NY 11201

March 25, 2011 10:00am – 1:00pm

NYC Department of EducationSupplemental Education Services

Orientation to the SES Contracting Process

AgendaOverview of NCLB-SESThe SES ProcessDoing Business with the DOE

Providing services in DOE schoolsConflict of Interest waiverFingerprinting/security clearanceData systems – NCLB Attendance database and PETSSES Directory

Contract Application Process

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Overview of NCLB and SES

SES GOAL:To increase eligible students’ academic achievement in English Language Arts (ELA), reading and mathematics that the state includes in its Elementary and Secondary Education Act (ESEA).

NCLB was built on four principles: • Accountability for results• More choices for parents• Local control and flexibility•Doing what works

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Overview of NCLB and SES

Supplemental Educational Services (SES) are defined in the federal No Child Left Behind Act (NCLB). Under this act, the NYC DOE – working with each eligible school – is responsible for notifying parents that their children are eligible for SES from a provider on the state approved list. Also under this act, all Title I Schools in Need of Improvement (SINI) identified by the state for improvement, corrective action or restructuring phase must offer SES. SINI schools have not made Adequate Yearly Progress (AYP) if:

They have not met state proficiency levels in ELA, math, science and/or high school graduation ratesThey have not met standards for all students including English Language Learners (ELL), low-income students and those with disabilities95% of their students did not participated in state tests

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Overview of NCLB and SES

WHO IS ELIGIBLE FOR SES? Students receiving free/reduced-lunch who are enrolled in Title I SINI schools.

WHEN/WHERE IS SES PROVIDED? Before or after school hours on weekdays and on weekends. Schools, in-home, on-line, provider sites and/or other approved locations.

Parents may select ONE provider program from the state approved list of NYC contracted providers.

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SES Implementation ProcessSINI schools are identified by the state

Schools/parents/providers notified of school eligibility by NYC DOE• Parents receive an SES Parent Guide including a notification letter,

program information, an enrollment form and provider information at the beginning of the school year.

• Other notification includes the DOE website, the provider orientation, provider fairs, PTA events and NYC Public Library postings.(Provider must market tutoring services without interfering with or disrupting school operations.)

DOE contract process begins - with NYS approved providers

Students enrolled – valid enrollments only• Enrollment forms must be completed by parents, providers sign,

date and submit forms for processing by the NYC DOE• Only complete, accurate enrollment forms will be processed• Only one application will be accepted per student. This application

must identify only one provider and one service type.

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SES Implementation ProcessAttendance, certification, payment

Providers manage student enrollment and attendance using the NCLB/SES proprietary databaseProviders certify services/attendance rendered in order to receive payment. False certification is deemed a breach of contract.Only DOE attendance forms will be processed for payment

MonitoringThe Office of the Auditor General, NYSED and SES field monitors observe and report on the quality and effectiveness of SES implementation and services as well as adherence to contractual obligations. Information gathered is reported to NYSED.

A violation of any of the provider’s responsibilities referenced in the NYSED or NYC DOE rules and regulations may be grounds for recommendation for removal from the state’s approved list and subject to DOE sanctions.

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SES Implementation Process

ReportingStudent pre-assessment must be administered for each student at the start of the program and entered into the vendor portal. The results of this assessment must be included in and drive the Student Education Plan (SEP). Assessments named in the RFQ to NYSED must be used. Providers must develop individualized SEP within the first 2 sessions. Attendance and progress reports must be issued on a quarterly basis and shared with parents, schools and the DOE SES office. (This applies to on-site, in-home and on-line providers.)Providers must submit final program reports to the NYC DOE for inclusion in the DOE’s annual report to NYSED.

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Providing Services in School BuildingsProviders must receive Principal approval and obtain a “usage” permit. Providers must complete a permit application for each school building in which

they will offer SES. The application is presented to the principal and custodian for approval which must be obtain to reserve space and arrange for any labor required for the tutoring activity.

Permit cost is calculated on per hour room usage. There is a minimum permit charge of $50.00.Any and all permit costs must be paid in full prior to the use of the building.After permit approval, the principal and provider sign an Engagement Notice. A copy of the signed Engagement Notice must be submitted to the DOE SES Office.

Complete information regarding policies, procedures and costs entailed with using school space can be found at:http://schools.nyc.gov/Offices/DFO/PayrollAdministration/AdministrativeSupportPayroll/WebEmployeeSelfService/extusecalc.htm

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Conflict of Interest WaiverThe Law: NYC Conflict of Interest law prohibits the hiring of any DOE employee by any contracted vendor without a waiver from the Conflict of Interest Board.Who Can be Hired: The NYC DOE received a blanket waiver permitting the hiring of NYC DOE teachers as instructors, tutors and lead teachers – but NOT as supervisors. (Only the DOE employee’s last active license in PETS is used to vet eligibility.)Note about Parents: If parents are hired by an SES provider, they may not work in the same school where their children receive SES. Additionally, parents hired may not have direct contact with the parents or staff of the schools in which their children are enrolled or receive SES. Who Cannot be Hired: Providers may not hire any other NYC DOE employee including, but not limited to principals, assistant principals, parent coordinators, aides, guidance counselors, secretaries, district or regional staff.

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Fingerprinting/Security ClearancePursuant to Chancellor’s Regulation C-105

All staff is required to undergo the NYC DOE’s security background – and must be cleared -- prior to commencing services with direct contact with students or access to confidential student information.

This obligation applies regardless of whether an individual has been fingerprinted by another agency such as the NYC Department of Investigations or by a private security firm.

If a staff member has been fingerprinted by the NYC DOE after July 1, 1990, pursuant to any Agreement with the DOE, the staff member does not have to be reprinted. However, the provider must add the staff member to the Personnel Eligibility Tracking System (PETS) Roster and ensure that the employee is currently cleared to work prior to providing any services or being given access to confidential student information.

Providers have a continuing obligation to send new hires for fingerprinting to the NYC DOE’s Human Resource Division at 65 Court Street and to list them in PETS.

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Fingerprinting/Security Clearance

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Staff includes all provider (and subcontractor) employees, officers, directors, members, partners, agents, tutors, volunteers or consultants who have the following contact at any time during the term of this agreement:

(i) Direct -- including on-line, phone, email or internet -- contact with students

(ii) Work in or visit a location where students are present, unless such visitation is incidental and supervised

(iii) Have regular access to student confidential information

Fingerprinting/Security ClearancePersonnel Eligibility Tracking System (PETS)

What is PETS: An on-line application managed by the NYC DOE Division of Human Resources that allows vendors to manage rosters of employees that provide services to DOE students.

Once a provider is contracted, they will be given access to PETS in order to enter their staff into the system and review clearance eligibility.

Providers must update and review their rosters continually.

Failure to have all staff members cleared prior to any contact with students or confidential student information, will result in the withholding of payment and/or the termination of contract.

Current NYC DOE teachers must also be entered in PETS and listed as eligible prior to beginning services. 13

Instructions for PETS• SES Providers must have Internet Explorer 8 to access the DOE’s PETS

application.• For returning providers, once new contracts are in place, you must copy

your current “Source Contract” PETS roster in to the “Designation Contract” roster.

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Instructions for PETS

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Instructions for PETS• All invoicing will be cross referenced to PETS

eligibility.• PETS employee IDs can range from 3 – 5 digits.

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• Reporting problems - Please use the technical request form within the PETS application to report issues. Complete the form and submit.

• Password Reset and Provider Contract Profiles – contact: jinniss@schools.nyc.gov

• Other - For any other PETS issues contact: PETSAdminSupport@schools.nyc.gov

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Instructions for PETS

NYC DOE VENDOR PORTAL:High speed Internet accessInternet explorer 6.0, 6.0+ (7 is recommended)

Cookie enabled in browserClient script enabled (java script) in browser

MS Office 2003 and 2007 are compatibleMicrosoft Excel and Adobe Acrobat Reader 6.0+ are useful for reading SES documents and information we distribute.MacBook users - Safari 2.7.1 (or higher) are compatible

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Database System Minimum Requirements

NCLB/SES Attendance Database

The database is used for: Processing SES enrollments Creating, housing and tracking Student Education Plans (SEP) Housing and tracking student progress reports Validating student enrollment Recording attendance Automating vendor payments through invoice generation Monitoring vendor program costs Providing reports to the USDOE, NYSED and NYC DOE – including internal and

external auditors

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Date Activity/Deadline3/25/11 Pre-Application Orientation for:

•Newly SED approved providers•Current providers whose contracts are expiring in August 2011•Any current provider who recently received state approval for modifying their curriculum and needs to amend their current NYC DOE contract

NOTE Current providers may re-apply with unchanged programs, prices, hours and number of students from their current contract.Providers who opt for this choice may receive quick approval by our Program and Cost/Price Analysis teams. If, after vetting, the provider is determined to be responsible, then the Division of Contract and Purchasing (DCP) will formalize the contract provided a federal budget exists for the program in FY12 and NYSED confirms funding.Revised work plans and budgets require more thorough review, take additional time and may not be approved as quickly.DCP will issue contracts to providers who are deemed responsible, complete the contract process and submit all required documentation within the timeline provided. Vendors who fail to supply requested information/materials will be delayed in enrolling students, providing services and/or obtaining payment.

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Contract Application Process: Timeline

Activity/Deadline1. Background Checks

VENDEX is required by the Mayor’s Office of Contract Services (MOCS) for all NYC vendors who will receive $100,000+ in any aggregate 12 month period in city funds. VENDEX Questionnaires are valid for 3 years. If your current VENDEX will expire by the time you submit your application, update your information now: http://www.nyc.gov/html/mocs/html/research/vendex.shtml

2. Contract FormalizationThe DOE attorney and provider review formal documents with an expected completion date of 6/30/11 to ensure a timely Fiscal Year 12 start.Again, vendors who fail to supply requested information promptly will be delayed in providing services.

3. Vendors who have completed the contracting process, and whose DOE Request for Authorization (RA), has been signed off by all signatories, may be allowed to start services. This is not guaranteed and will be determined on a case-by-case basis by DCP.

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Contract Application Process Timeline

Additional Resources

DOE SES website: http://schools.nyc.gov/RulesPolicies/NCLB/SES/

DOE DCP website: http://schools.nyc.gov/Offices/DCP/Vendor/NoChildLeftBehind/Default.htm

USDOE website: www.ed.gov

NYSED website: www.emsc.nysed.gov/nyc/SES/SES.html

Vendor portal: https://vendorportal.nycenet.edu/vendorportal/login.aspx

Program support: nclbses@schools.nyc.gov

Cheryl Kaplan: ckaplan3@schools.nyc.gov