Illinois State Board of Education 100 North First Street Springfield, Illinois 62777-0001 www.isbe.net James T. Meeks Chairman Tony Smith, Ph.D. State Superintendent of Education June 14, 2017 TO: Eligible Applicants FROM: Tony Smith, Ph.D. State Superintendent of Education SUBJECT: NOTICE OF FUNDING OPPORTUNITY (NOFO) / REQUEST FOR PROPOSALS (RFP): Fiscal Year 2018 Educational Surrogate Parent Training Program CSFA Number: 586-64-0417 CSFA Title: Special Education Grants to States CFDA: 84-027 CFDA Title: Special Education Grants to States Eligibility and Application Information Eligible Applicants: Entities experienced in providing statewide training and volunteer recruitment activities are eligible to apply. Such entities include not-for-profit organizations, institutions of higher education, professional organizations, school districts, cooperatives, and other joint agreements with a governing body or board of control (e.g., education for employment systems, area vocational centers, special education cooperatives), and educational service regions (Regional Offices of Education and Intermediate Service Centers). NOTE: The State of Illinois Grant Accountability and Transparency Act (GATA) requires applicants to complete pre-award requirements for an FY 2018 grant. This includes completion of the Applicant Registration, Applicant Pre-qualification, and Fiscal and Administrative Risk Assessment (ICQ) available at the Illinois GATA Web Portal at http://www.illinois.gov/sites/gata/grantee/pages/default.aspx and completion of a Programmatic Risk Assessment through the ISBE Web Application Security (IWAS) system. Grant applications must be submitted by the deadline indicated in this NOFO/RFP. Dun and Bradstreet Universal Numbering System (DUNS) Number and System for Award Management (SAM): Each applicant (unless the applicant is an individual or federal or state awarding agency that is exempt from those requirements under 2 CFR
25.110(b) or (c) or has an exception approved by the federal or state awarding agency under 2 CFR 25.110(d)) is required to: (i) Be registered in SAM before submitting its application. If you are not registered in SAM, you may do so at www.sam.gov; (ii) Provide a valid DUNS number in its application; and (iii) Continue to maintain an active SAM registration with current information at all times during which it has an active federal, federal pass-through, or state award or an application or plan under consideration by a federal or state awarding agency. ISBE may not consider an application for a federal pass-through or state award to an applicant until the applicant has complied with all applicable DUNS and SAM requirements. Code of Federal Regulations / Title 2 - Grants and Agreements / Vol. 1 / 2014-01-01192: Guidance is found at https://www.gpo.gov/fdsys/pkg/cfr-2013-title2- vol1/pdf/cfr-2013-title2-vol1.pdf. This grant is subject to the provisions of: Grant Accountability and Transparency Act (GATA), 30 ILCS 708/1 et seq. http://www.ilga.gov/legislation/ilcs/ilcs3.asp?actid=3559&chapterid=7 Administrative Rules for GATA, 44 Ill. Admin. Code Part 7000 ftp://www.ilga.gov/jcar/admincode/044/04407000sections.html Merit-Based Review and Selection Process for Competitive Grants: The Illinois State Board of Education (ISBE) is required to design and execute a merit-based review and selection process for applications. This process is incorporated by reference in all applicable funding opportunities. The full text of the ISBE merit-based review policy can be found at https://www.isbe.net/documents/isbe-merit-based-review.pdf. Applicants are advised to refer to the policy document. Grant Award/Cost Sharing or Matching: One grant will be awarded in FY 2018 (year 1 of the project) in an amount not to exceed $115,000. It is the intention of the State Board of Education to fund this program for five years (through FY 2022). The annual grant awards in subsequent years of the grant period will be $115,000 and are contingent upon federal funding, successful completion of grant activities, and completion and submission of a continuing application, an approvable budget, and performance reports. This NOFO/RFP does not have a cost-sharing or matching requirement. Grant Period: The grant period will begin no sooner than July 1, 2017, and will extend from the execution date of the grant until June 30, 2018. Funding in the subsequent years will be contingent upon a sufficient appropriation for the program and satisfactory progress in the preceding grant period. Submission Dates and Times/Other Submission Requirements: Applications may be submitted by mail or in person. The original and three copies must be received by the due date in order for the proposal to be considered. No electronic submissions, including facsimiles, will be accepted. Late or substantively incomplete proposals will not be eligible for consideration. - 2 -
To submit by mail, send original and three copies to the Illinois State Board of Education, Special Education Services, Attn: Erin Cray, 100 N First Street, N-253, Springfield, IL 62777-0001 to ensure receipt no later than 4 p.m. July 25, 2017. Applications may also be hand-delivered to the following locations: Springfield Office Chicago Office Guard Station Reception Area 1st Floor Suite 14-300 100 North First Street 100 West Randolph Street Applications must be received by 4 p.m. July 25, 2017. Grant Award Notice: It is anticipated that successful applicants will receive a Notice of State Award (NOSA) from the state superintendent via email or the U.S. Postal Service approximately 90 days after the application deadline. The NOSA is NOT an authorization to begin performance or expenditures. Applicants must sign and return a copy of the NOSA to confirm acceptance of the terms of the award. A Uniform Grant Agreement will be prepared and sent to the applicant after the signed NOSA is received by ISBE. Awardees will receive additional information from the programmatic contact approximately one week later via the U.S. Postal Service or email. This information will include important programmatic dates. Monies spent prior to programmatic approval are done so at the applicant s own risk. Changes to NOFO/RFP: ISBE will post any changes made to the NOFO/RFP prior to June 25, 2017, at https://www.isbe.net/pages/request-for-proposals.aspx. Applicants are advised to check the site before submitting a proposal. Agency Contact/Contact to Request Application Package: For more information on this NOFO/RFP, contact Erin Cray at 217/782-5589 or ecray@isbe.net. Program Description Program Description: The Educational Surrogate Parent (ESP) Training Program focuses on the recruitment and training of volunteers across Illinois to increase the pool of qualified and trained individuals available to be appointed by the State Board of Education as educational surrogate parents. This program has four areas of focus: recruitment, training, resource development, and collaboration. Federal Description: The federal Individuals with Disabilities Education Act requires assurances from states receiving federal funds for the provision of special education that educational surrogate parents will be appointed for pupils with disabilities who are without parental representation in special education procedures. Additionally, Section 300.519 of the Code of Federal Regulations (34 CFR 300.519) provides further information about surrogate parents. - 3 -
Program Background/History: The Illinois State Board of Education created the Educational Surrogate Parent Training Program with the purpose of developing a statewide system responsible for the recruitment and training of volunteers willing to embrace this role and represent eligible students in the planning of their education. An educational surrogate parent is an individual who has been appointed by the State Board of Education to represent the educational interests of a child with disabilities when a parent(s) (as defined under 34 CFR 300.30) cannot be identified or located, the child is a youth in care, or they are unaccompanied homeless youth. The intent of the program is to build a system that supports student representation in the matters relating to the identification, evaluation, and educational placement of the child and the provision of a free appropriate public education to the child. The program has two parts: 1. The recruitment and training of individuals to ensure an adequate pool of qualified and trained educational surrogate parents is available across the state to meet students representation needs. 2. The assignment of educational surrogate parents. (Assignments are completed by agency staff at ISBE.) Recruitment efforts are extremely important as there are areas of the state that have low numbers of educational surrogate parents. Additionally, volunteers who wish to become an educational surrogate parent must complete a six-hour training, pass a written assessment, and complete a background check. The training includes content that gives the volunteer the opportunity to acquire or expand knowledge and skills necessary to exercise the responsibilities of appointed ESPs. The following is a limited listing of ESP responsibilities: Learns about the student s educational needs by getting acquainted with the student, communicating with personnel involved in the student s education and/or care, and observing the student at school; Acts as the student s advocate for educational matters; Provides or withholds consent for assessment and services/placement; Attends educational meetings on the student s behalf; Works with school staff to develop an Individualized Education Program (IEP) for the student; Negotiates for appropriate services on behalf of the student; Abides by the laws of confidentiality when sharing information about the student; Requests complaint, mediation, or due process procedures, if necessary; and Reports services twice a year (also basis for reimbursement). The ESP program provided services to 1,193 students during the first half of FY 2017. The total number of requests for either the assignment or withdrawal of an ESP during FY 2017 was 977. Recruitment efforts have included community outreach, mailings to private facilities, communication with existing ESPs, and other related activities. Thirty-one trainings were scheduled across the state to help maintain an adequate pool of volunteers. Currently, 317 volunteers are available to serve in this capacity. For more information about ESPs, you may visit https://www.isbe.net/pages/special- Education-Surrogate-Parent-Program.aspx. - 4 -
Policy Requirements: Each State Education Agency (SEA) must ensure the rights of a child are protected when a parent cannot be identified or located, they are a youth in care, or they are an unaccompanied homeless youth, according to 34 CFR 300.519. In these instances, an educational surrogate parent must be assigned to the child. The educational surrogate parent who is selected cannot be an employee of the SEA or the Local Education Agency (LEA) or any other agency that is involved in the education or care of the child, is to have no personal or professional interest that conflicts with the interest of the child that he/she would represent, and should have knowledge and skills ensuring adequate representation of the child. The surrogate parent may represent the child in all matters relating to the identification, evaluation, educational placement of the child, and the provision of a Free Appropriate Public Education. The state educational agency must ensure that a surrogate parent has been assigned no more than 30 days from the request for representation. Section 226.550 of the Illinois Administrative Code additionally requires all reasonable efforts shall be made to secure a surrogate parent whose racial, linguistic, and cultural background is similar to the child s and be trained by the State Board. Program Objectives: The focus of the Educational Surrogate Parent Training Program is to increase the pool of qualified and trained individuals to serve as educational surrogate parents. Four components have been identified for the program to be carried out in consultation and, when applicable, collaboration with ISBE Educational Surrogate Parent Program staff. The four components are: 1. Conduct various and, when necessary, rigorous recruitment efforts throughout specific regions of the state in order to enlist volunteers interested in being trained for the ESP program, as well as individuals to deliver ESP training. It is anticipated that the successful applicant will establish and implement a comprehensive plan for trainer and volunteer recruitment for the duration of the grant that is reflective of statewide needs and legislative directives. Plan shall demonstrate continuous and timely process from volunteer point of interest to certified and qualified ESP. 2. Conduct various trainings throughout the state to prepare individuals to support students with IEPs who are without parental representation in special education procedures. It is anticipated the successful grantee will provide at a minimum the following: semiannual ESP trainer meeting in collaboration with ISBE, 20 (six-hour) ESP volunteer trainings representative of statewide need for new volunteers, and retraining of existing certified and qualified volunteers (required every three years). 3. Develop resources to provide up-to-date information and tools for surrogate parent trainers, surrogate parents, communities, and schools. - 5 -
It is anticipated that the successful applicant will develop a complete ESP training manual that includes trainer qualifications, responsibilities, and evaluation procedures, at a minimum. Development of special education procedures and advocacy resources for ESP volunteers is also anticipated. Resources shall be relevant, easily accessible, and delivered in a variety of formats (e.g., web-based, newsletters, online, etc.). A component of resource development includes awareness and access of resources along with technical assistance to support and encourage utilization. 4. Collaborate with ISBE in general and on other ISBE initiatives, such as the Harrisburg Project, to utilize and interpret data for recruitment efforts, placement needs (geographic, racial, linguistic, and cultural), and requirements of surrogate parent training and qualifications. It is anticipated the successful applicant will maintain regular communication with the ESP grant administrator regarding and including employment/contractor recommendations, resource development and review prior to dissemination, and updates to ESP data. Deliverables and Milestones: Develop and deliver ESP trainings for trainers, volunteer/esp, and ESP refresher/retraining across the state using new or updated resources. Complete two new and/or updated resources that are accessible for use by educational surrogate parent trainers, surrogate parents, communities, and schools annually. Maintain regular communication with ISBE grant administrator and other staff, as necessary. Goals and Measurements (Performance Measures): Educational surrogate parent trainer and volunteer recruitment and training activities are continuous and reflective of statewide need. A data tracking system of newly certified and qualified volunteers available to be appointed by ISBE as ESPs to support a minimum of 325 available volunteers. Quarterly and comprehensive year-end performance and financial reports will be submitted to ISBE reflecting the progress of recruitment, training, resource development, and collaboration. Performance Standards: A statewide cadre of 300 certified and qualified volunteers available to be appointed by the State Board of Education as educational surrogate parents is maintained at 100 percent. Funding Information One grant will be awarded for FY 2018 in an amount not to exceed $115,000. The initial and subsequent grant awards are contingent upon federal funding, successful completion of grant activities, and completion and submission of a continuing application, an approvable budget, and performance reports. Subsequent yearly funding will not exceed $115,000. - 6 -
Cost-Sharing or Matching: This grant does not have a cost-sharing or matching requirement. Indirect Cost Rate: The Governor s Office of Management and Budget has granted ISBE an exception to the federal Uniform Guidance and GATA regarding the determination of indirect cost rates that may be utilized by all grantees that receive a state award or federal pass-through award for grant programs administered by ISBE in accordance with a Delegation Agreement between the U.S. Department of Education and ISBE and pursuant to its authority under GATA and administrative rules. LEAs may utilize either the indirect cost rate the LEA negotiates annually with ISBE (school districts) or the statewide average indirect cost rate calculated by ISBE (Regional Offices of Education, Intermediate Service Centers, special education cooperatives, area vocational centers, charter schools, and university laboratory schools approved by ISBE). These LEAs will also utilize the ISBE-established indirect cost rates for state and federally funded grant programs administered by other state agencies. Not-for-profit agencies, community/faith-based organizations, and for-profit entities may utilize the statewide average indirect cost rate calculated by ISBE for all state and federal grant programs administered by ISBE. Colleges and universities will be restricted to a maximum indirect cost rate of 8 percent or other indirect cost rate calculated by their cognizant federal agency, whichever is less, for state and federal grants administered by ISBE. These non-lea entities may choose to negotiate a separate indirect cost rate to utilize for state and federally funded grant programs administered by other state agencies. Funding Restrictions: Allowable expenditures include: Project coordinator, project support staff salaries, benefit provisions; Trainer stipend/fee/contract; Background checks; Training space rental; Food cost for participants at trainings with working lunch requirements; Program and office supplies directly related to the purposes of the project; Financial cost of printing/copying training materials, envelopes, and all brochures and fliers; Related travel costs (limited to community trainings or services, team meetings, volunteer, and trainer recruitment activities). Non-allowable expenditures include: Out-of-state travel, and Other expenditures that are not directly related to the purpose of the project. Applicants are encouraged to familiarize themselves with the ISBE State and Federal Grant Administration Policy, Fiscal Requirements, and Procedures document available on the ISBE website. - 7 -
For purposes of compliance with Section 511 of P.L. 101-166 (the Stevens Amendment ), applicants are advised that 100 percent of the funds for this program are derived from federal sources. The total amount of federal funding involved is $115,000. Content and Form of Application Submission Each proposal must be submitted in the format outlined below. Please use the following as a checklist in assembling your completed proposal. 1. Uniform Application for State Grant (Attachment 1): Include the entity name, address, telephone and fax number, email, name, and telephone number of the contact person; Federal Employer Identification number; DUNS number; SAM Commercial and Government Entity (CAGE) Code; and all other listed information. The Application page must be signed by the official authorized to submit proposals. 2. Project Narrative (Attachment 2): Describe the capacity of the applicant to carry out the grant components as identified in the program objectives and proposal narrative requirements section of the NOFO/RFP. Identify how project staff, including consultants/contracts as applicable, will be identified, utilized, and evaluated. 3. Program Narrative Abstract (Attachment 3) Complete the requested information to encapsulate the overall proposed project. 4. Project Plan (Attachment 4): Use the space provided to complete the Problem Statement Narrative, Objectives, Activities, and Continuous Improvement Plan information for each of the four Project Components. Please refer to narrative requirements within this NOFO/RFP prior to completion. 5. Federal Budget Summary (Attachment 5): The budget MUST be submitted on this form. No other budget form will be accepted. District budgets MUST be signed by the district superintendent. Other applicants should have the authorized official sign the form. The payment schedule should be based on the projected date of expenditures. Salaries and fringe benefits should be requested in equal intervals on the schedule. Supplies, equipment, contracted services, and professional development should be requested in the month for which the expenditure is anticipated. 6. Budget Summary Breakdown (Attachment 6): The budget breakdown MUST include descriptions of the anticipated expenditures, correlated to the line items on the Federal Budget Summary. The Budget Summary Breakdown should also include subcontract information, if applicable. Please see Attachment 9 for further information about subcontracting. 7. Indirect Cost Itemization (Attachment 7): If indirect costs are requested for reimbursement, complete the attachment. If no reimbursement is being requested, leave blank and return with application. - 8 -
8. Amendment Budget Summary Breakdown (Attachment 8): The Amendment Budget Summary Breakdown form should NOT be included in the application. It should be kept by the applicant and will only be used after the final awards are determined during budget negotiations, as necessary. 9. Certifications and Assurances (Attachments 9 through 15): Each applicant, including each entity that is participating in a joint application, is required to submit the attachments below. A. Program-Specific Terms of the Grant (Attachment 9) B. Grant Application Certifications and Assurances (Attachment 10) C. General Education Provisions Act 442 Assurances (Attachment 11) D. Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion (Attachment 12) E. Certificate Regarding Lobbying (Attachment 13) F. Disclosure of Lobbying Activities (Attachment 13 A-C) G. General Education Provisions Act 427 Notice (Attachment 14) H. Federal Funding Accountability and Transparency Act (Attachment 15) Application Review Review and Selection Process: The selection of the grantees will be based upon the overall quality of the application. The scoring is based upon the following criteria: Need is defined as the identification of stakeholders, facts, and evidence that demonstrate the proposal supports the grant program purpose; Capacity is defined as the ability of an entity to execute the grant project according to the project requirements; Quality is defined as the totality of features and characteristics of a service, project, or product that indicate its ability to satisfy the requirements of the grant program. Criteria: These overall criteria are built into the evaluation rubric below. The attachment number(s) in the parenthesis following the criteria identifies the portion of the proposal that will be referenced to evaluate if the criteria has been met. - 9 -
Not Provided Very Limited Somewhat Limited Moderate Strong Very Strong 0 1 2 3 4 5 Proposal Proposal is Proposal Proposal provides unclear and provides provides very few lacks enough moderate good detail details to evidence to detail and and strong meet the meet project conveys evidence to project outcomes. potential to meet project outcomes. meet project outcomes. outcomes. Proposal requirements are absent. Proposal exceeds expectations and provides a solid plan to meet project outcomes. Section 1:Experience and Qualifications 20 Points Possible Points The proposal describes applicant's prior experience in providing successful volunteer recruitment activities. (Project Narrative-Attachment 2) 5 The proposal describes applicant's prior experience in providing successful statewide training activities. (Project Narrative-Attachment 2) 5 The proposal includes how staff (including consultants/contractors) will be identified, utilized, and evaluated. (Project Narrative-Attachment 2; Project Plan- Attachment 4) 5 The proposal provides a framework of staff with expertise to deliver the objectives of the grant. Each position is identified in the proposed budget detail and costs are reasonable and necessary for position requirements. (Project Narrative-Attachment 2; Budget Summary Breakdown- Attachment 6) 5 Section 2: Recruitment (Conduct various and, when necessary, rigorous recruitment efforts throughout specific regions of the state in order to enlist volunteers interested in being trained for the ESP program, as well as individuals to deliver ESP training.) 20 Points Possible Points The proposal recruitment plan describes the utilization of data to guide innovative regional recruitment activities that elicit high-quality, viable candidates to be trained as ESP trainers. (Project Abstract-Attachment 3; Project Plan-Attachment 4, Component 1) 5 The proposal recruitment plan describes the utilization of data to guide innovative regional recruitment activities that elicit high-quality, viable candidates to be trained as volunteer ESPs. (Project Abstract-Attachment 3; Project Plan-Attachment 4, Component 1) 5-10 -
Proposal recruitment activities clearly support project recruitment plan. (Project Plan-Attachment 4, Component 1) 5 The proposal describes a continuous and timely process from volunteer point of interest to certified and qualified ESP. (Project Plan-Attachment 4) 5 Section 3: Training (Conduct various trainings throughout the state to prepare individuals to support students with IEPs who are without parental representation in special education procedures.) 20 Points Possible Points The proposal describes a work plan that supports ESP trainer preparation. (Project Plan-Attachment 4, Component 2) 5 The proposal describes a training schedule that supports training of new volunteers and retraining of current ESP volunteers across the state. (Project Plan-Attachment 4, Component 2) 5 The proposal describes a plan to provide technical assistance to certified and qualified ESP volunteers. (Project Plan-Attachment 4, Component 2) 5 Proposal training activities clearly support project training plan for ESP trainers and volunteers interested in being ESPs. (Project Plan-Attachment 4, Component 2) 5 Section 4: Resource Development (Develop resources to provide up-to-date information and tools for surrogate parent trainers, surrogate parents, communities, and schools.) 25 Points Possible Points Resource development plan supports proposed recruitment and training plan timeline. (The plan establishes priority in development of comprehensive ESP Trainer manual.) (Project Plan-Attachment 4) 5 Proposal describes how resources will be developed, expanded, and maintained to support the training of adult volunteers to act on behalf of students with disabilities. (A minimum of two new and/or expanded resources each year of the grant for use as professional learning, technical assistance, and outreach for educational surrogate parents are included.) (Project Plan-Attachment 4, Component 3) 5 Resource development plan incorporates a variety of formats that are easily accessible to targeted audience(s). (Project Plan-Attachment 4, Component 3) 5 The proposal describes how technical assistance will be provided to support and encourage utilization of developed resources. (Project Plan-Attachment 4) 5 The proposal budget supports resource development and implementation (e.g., trainings, website portal, newsletters). (Project Plan-Attachment 4; Budget Summary Breakdown-Attachment 6) 5-11 -
Section 5: Collaboration (Collaborate with ISBE in general and on other ISBE initiatives, such as the Harrisburg Project, to utilize and interpret data for recruitment efforts, placement needs (geographic, racial, linguistic, and cultural) and requirements of surrogate parent training and qualifications.) 15 Points Possible Points The proposal describes the process to maintain ongoing communication with the ISBE grant administrator. (Project Plan- Attachment 4) 5 The proposal describes strategies to build partnerships across the state to support diverse recruitment efforts to fulfill data supported ESP needs. (Project Plan- Attachment 4) 5 The proposal describes anticipated changes in the scope or nature of services in continuation years 2-5. (Project Plan-Attachment 4) 5 Following the notification of grant awards, an applicant may request copies of reviewer comments by contacting Erin Cray at ecray@isbe.net. - 12 -