Contracts for Excellence
Frequently Asked Questions
Contents Page
Contract for Excellence Calculation Examples
Contract for Excellence Basics
Allowable Programs and Expenses (general)
Class Size
Reduction
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Teacher
and Principal Quality Initiatives
Middle
School/High School Restructuring
Maintainance of Existing Programs Independent Auditor Certification9 Contracts for Excellence Frequently Asked Questions Please
Note: these questions are actual questions the Education Department has
received. They have been paraphrased for
clarity in some instances. Contract for Excellence Calculation
Example 1.
How
does NYSED determine the dollar amount that C4E districts must use for new or
expanded programs? The amount of Foundation Aid that is restricted to allowable
new or expanded programs is the district’s Foundation Aid increase over the
prior year less an inflationary adjustment, increased payments to charter
schools, an amount allowed for maintenance of existing programs, and any amount
allowed for experimental programs if approved by the Commissioner. The following are examples
of a Contract for Excellence calculation using the Contracts for Excellence Basics 2.
What
are the Regents expectations about districts’ compliance with C4E requirements? A: The
Regents expect districts to
implement C4E consistent with the law and regulations and in a way that
fulfills the intent of the legislation: to improve student achievement, and
predominately benefit students with the greatest educational needs and students
in low-performing schools with concentrations of such pupils. Districts must target funds to students with
the greatest educational needs, including but not limited to students with
disabilities, students with limited English proficiency or who are English
language learners, and students living in poverty, and give priority to schools
serving concentrations of such students.
Programs and activities that are implemented as part of the C4E must be
aligned with schools’ achievement needs and have the greatest likelihood of
positively impacting student achievement.
Districts must not supplant existing district programs beyond the 25
percent of the Contract Amount that is allowed for 2007-08. 3.
Who
is required to file a Contract for Excellence (C4E) with the State Education
Department? A: Districts which receive a Foundation Aid increase
over the prior school year of at least $15 million or 10 percent, whichever is
less, and in which at least one school is currently identified as requiring
academic progress, in need of improvement, in corrective action, or in
restructuring status (low-performing schools).
In addition, any district that receives a Supplemental Educational
Improvement Plan Grant must file a contract for excellence. In 2007-08, 56 districts must complete
contracts for excellence. See a list of
these districts at: http://www.emsc.nysed.gov/attachmenta.htm. 4. How will districts file C4E’s? A: Every district required to complete a C4E must
submit to the Department a contract on a form prescribed by the Commissioner
and consistent with Commissioner’s regulations.
The Department has developed a straightforward and streamlined web-based
system for districts to file contracts.
In the first year, the system requires the Superintendent of Schools to
complete the C4E. 5.
What
is the timeline for submitting and approving Contracts for Excellence? A: For
the 2007-08 school year, districts had to submit their C4Es by July 16,
2007. The Department will review these
and inform districts no later than August 15, 2007 whether the C4E is approved.
See question 14 concerning the process
if Contracts for Excellence are disapproved. 6.
Will
the Department publish examples of best practices that districts have used to
improve student achievement? A: Yes, current
information regarding best practices will be posted on the Senior Deputy Commissioner for P-16 Education web site (www.emsc.nysed.gov). 7.
What
is the role of the school board regarding approval of the contract for
excellence? A: The school board is
responsible for setting policy, and has a central role in determining how
contract for excellence funds will supplement local funds and be targeted to
improve student achievement. However,
the statute requires the Commissioner and not boards of education to formally
approve the district's C4E. 8.
Can
a district return a portion of its Foundation Aid increase to the State and in
that way, avoid the C4E requirement? For
example, a district with one school in need of improvement receives a 10.4
percent increase in aid. Could the district
return .5 percent of the aid to and not complete a C4E? A:
No. There is no provision
in law to allow this. 9.
What
if one of my schools is currently identified as requiring academic progress, in
need of improvement, in corrective action, or in restructuring, but change its
accountability status before the start of school? A: The State Education Department interprets
"currently identified" to mean the time the law was effective, which
for the 2007-08 school year was April 9, 2007.
The statute does not afford the Department any latitude for waiving eligibility
requirements. 10.
Are
there provisions for exempting districts which made adequate yearly progress
last year (2005-06) but need one more year to get off the list of schools in
need of improvement? A: No, for the reasons set forth above. However, districts will be able to present
achievement gains as supporting evidence in their contracts. 11. Will I be asked to provide
academic indicators on my C4E? If yes,
why? A: Yes. You will be asked to provide certain baseline
data to measure the area you are expanding for the base year and projected
(2007-08) year. For example, if you
choose class size reduction, you must state the class size for the targeted students
in 2006-07 (e.g., 26) and the planned class size for 2007-08 (e.g., 22). You will also be asked to identify research
and have an evaluation plan if you choose the experimental option for up to 15
percent of your contract amount. A major
direction of C4E is to connect resources to achievement. The goals of this accountability effort are
to tell the public where the money is spent, to demonstrate the money was spent
on programs that have a track record of contributing to student achievement
growth, and to actually demonstrate that the money resulted in increased
learning. 12.
What
are the criteria for approval of contracts for excellence? A:
Approval will be given to contracts demonstrating to the satisfaction of
the Commissioner that the allowable programs selected by the district: (1) predominately benefit those students with the greatest educational
needs, including but not limited to: (a)
students with limited English proficiency and students who are English
language learners; (b) students in
poverty; and (c) students with disabilities;
(2) predominately benefit those students
in schools identified as requiring academic progress, or in need of
improvement, or in corrective action, or restructuring and address the most
serious academic problems in those schools; and (3) are based on practices supported by research
or other comparable evidence in order to facilitate student attainment of State
learning standards. 13.
How
will compliance or lack of compliance with a C4E be determined?
A:
Compliance with statutory and
regulatory requirements will be determined by Department approval and
independent auditor certification that school districts have used contract
funds to supplement and not supplant existing district effort. In addition, the law requires qualifying
school districts to assure that procedures are in place by which parents or
persons in parental relation may bring complaints concerning implementation of
the district's contract for excellence, including procedures for filing
complaints and for appeals to the board of education, or, in the 14.
If
the Department determines that a C4E is not acceptable, what happens? A: The
Department will provide detailed guidance to the affected school district
explaining why the contract does not meet requirements and what aspects the
district can amend to gain compliance. Department staff is on-hand to answer
questions and offer advice to impacted districts as they develop their
C4Es. Allowable Programs and Expenses
(general) 15.
How
may C4E districts use Foundation Aid? A:
The statute requires districts subject to a C4E to expend the portion of their
Foundation Aid increase in excess of 103 percent of base year funding and the
increase in basic charter school tuition payments on allowable programs and
activities to improve student achievement.
The law specifies five categories of allowable programs and
activities: § class
size reduction; § increased
time on task; § teacher
and principal quality initiatives; § middle
and high school restructuring; and § full-day
pre-kindergarten and kindergarten. With prior approval of the Department,
districts may spend up to 15 percent of the contract amount on other
“experimental” programs to improve student achievement. The Department strongly encourages
partnerships with institutions of higher education in the development and
evaluation of experimental programs. Experimental
programs must have a research and theoretical basis and include an evaluation
plan based on empirical evidence to assess the impact of the program on student
achievement. In
the 2007-2008 school year, districts may use up to 25 percent or $30 million of
the contract amount, whichever is less, to maintain investments in existing
programs and activities in the above categories (See question #48 below for
more information on "maintenance of existing programs".) In all cases, districts must also affirm
that the new or expanded programs shall predominately benefit students with the
greatest educational needs including, but not limited to, students with limited
English proficiency or who are English language learners, students in poverty,
and students with disabilities. Any
or all of these programs can be the focus of a district’s C4E. C4E money cannot supplant but rather, must
supplement current funding. Foundation
Aid not subject to the contract may be used for any legal purpose. 16.
Is the three percent
inflation factor (i.e., a district's Foundation Aid increase in excess of 103 percent of base year funding) based upon the 2006-07 Foundation Aid or the 2007-08
Foundation Aid? A: The three percent inflation factor is applied
to the 2006-07 (base year) foundation aid amount. 17.
Chapter
57 of the Laws of 2007 identifies a number of allowable programs and activities
that districts can implement to comply with the C4E requirement. Can a district anticipate that its C4E will
be approved as long as it includes any or all of these? A: Not necessarily. The purpose of the law and regulation is to
improve student achievement, and predominately benefit students with the
greatest educational needs and students in low-performing schools. Therefore, any spending of C4E dollars must
come with a high expectation and likelihood that these goals will be achieved. The Department recommends that school
districts plan their C4E expenditures with regard to three issues: § Are
the planned programs and activities likely to improve the most significant
student achievement needs of schools in the district, particulary those in
improvement status? § Will
expenditures predominately benefit students with the greatest educational needs
and schools with concentrations of such students? § Will
the expenditures supplement and not supplant existing district effort? 18.
Is
buying computer hardware considered an allowable C4E expenditure? If so,
is it the total amount or only the increase from the previous year? A:
In certain cases the purchase of computer hardware
may be allowable. Total
technology expenses are allowable C4E expenditures if they are an incidental
component of one of the five allowable programs and activities, or an approved
experimental program, and if the district can make a case that it would improve
student achievement, predominately benefit students in low performing schools
and students with the greatest educational needs, and supplement but not
supplant current district effort. 19.
In the Regents P-16 Plan for Action (http://usny.nysed.gov/summit/p-16ed.htm) there is specific reference on page 5 to
increase the literacy of children and parents by expanding proven programs in
libraries. It refers to librarians as being the critical piece to help
strengthen the reading and writing for our children. In our district we
do not have librarians in all buildings. We would propose to use some of
the funding under the Contract to be able to staff each of the buildings’
libraries, as well as give professional development to librarians to help them
develop instructional strategies to reinforce and/or teach reading. Where
would this fall under the C4E? A: In order for this to be an allowable expense, the district would
have to make a compelling case that it relates to one of the five allowable
programs and activities or an approved
experimental program and will improve student achievement in the
district. The additional library
media specialists must be used predominantly for students in low performing
schools and students with the greatest educational need, and supplement but not
supplant existing district effort. These
programs will increase student time on task for students with the greatest
educational needs. 20.
If
new programs are being added to support increased academic rigor, can those
costs be offset by Foundation Aid? A:
The school district must make a compelling case
that these programs would increase student time on task or restructure the
middle or high school to improve student achievement and would predominately
benefit students in low performing schools and students with the greatest educational
needs. Associated training might also be
deemed a teacher and/or principal quality initiative. 21.
Could
student fees be included? A. Yes,
if covering such fees was necessary to ensure program viability, if the
programs will improve student achievement and predominately benefit students
with the greatest educational needs and students in low-performing schools with
concentrations of such pupils, and provided the Foundation Aid would supplement
and not supplant district effort. 22.
What are the class size reduction numbers for A: The
Commissioner will appoint an expert panel later this
year and charge it to conduct a review of existing class size research and make
a recommendation to the Commissioner. The Commissioner, after
consideration of the recommendation, will prescribe prekindergarten through
grade 12 class size targets for school years 2008-2009, 2009-2010, 2010-1011
and 2011-2012. For the 2007-2008 school
year, 23.
Class Size Reduction in the rest of the State. Example: We are a district in need of improvement with
a need for additional teachers at the high school level for English and Social
Studies. The district believes that a lowering of class sizes in these
areas would enhance literacy acquisition for our most at-risk population.
Would extra teachers in these areas at the high school level be
allowable? A: Yes,
a C4E should specify for this program how money is being spent and how that
expenditure will improve the manner in which the reduced class size will
enhance instruction (e.g., greater individualization of instruction, more
intensive interventions for some students) and thereby increase student
achievement, predominantly benefit students with the greatest educational needs
and students in low-performing schools with concentrations of such pupils and supplement and not supplant existing district effort. Conversely, if a middle school is identified
it would be permissible to use a portion of funds to reduce class size at the
elementary level if the district could demonstrate in its C4E how lower class
size will translate into improved results in the middle grades. 24.
Class Size Reduction
Funding – Example: Is it permissible to
use Foundation Aid to reduce class size at the middle and/or high school level
by increasing the number of sections of English Language Arts and/or Math? A: Yes, a C4E should specify for this
program how money is being spent and how that expenditure will improve student
achievement and predominantly benefit students with the greatest educational
needs and students in low-performing schools with concentrations of such pupils. Conversely, if a middle school is identified
it would be permissible to use a portion of funds to reduce class size at the
elementary level IF the district could demonstrate in its C4E how lower class
size will translate into improved results in the middle grades. 25.
Will class–size definitions be part of the Regulations currently
being worked on? A: No.
More precise definitions of class size requirements will follow the work of an
expert panel that the Commissioner will appoint during the 2007-08 school year
to conduct a review of existing class size research and make a recommendation
on class sizes to the Commissioner. The Commissioner, after consideration of the
recommendation, will prescribe prekindergarten through grade 12 class size
targets. The result of this work
is expected to affect C4E districts beginning with the 2008-09 school year. 26.
Does increasing after school positions and/or expenditures qualify
as increased time on task (promoting student engagement to improve
performance)? A: Yes, if you can make a case that it will improve student achievement,
will predominately benefit students with the greatest educational needs and
students in low-performing schools with concentrations of such
pupils and will not supplant existing district
effort. 27.
Lengthened school day and year. The Department's previously issued
guidance only specifically mentions middle and high school. Would this
exclude programs implemented at the elementary school? A: The intent is to allow increased time on task activities at the
elementary level as well provided the program/activity will improve student
achievement, predominately benefit students with the greatest educational need
and students attending low-performing schools with concentrations of
such pupils.
