Receivership and Non-Receivership Schools 2016-17 Continuation Plan Guidance

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Receivership and Non-Receivership Schools

2016-17 Continuation Plan Guidance

School Improvement Grant (SIG) School Innovation Fund (SIF),

and Persistently Struggling Schools Grant (PSSG)

Maximum Funding Available

Funding is to be commensurate to the needs of the school, number of students served, phase of implementation, and inclusive of district-level (central office) costs. All grants, regardless of type or dollar amount, are subject to further review, monitoring, and audit to ensure compliance. NYSED has the right to recoup funds if the approved activities are not performed and/or the funds are expended inappropriately.



16-17 YEAR

16-17 Award

Carryover Option

Budget Period Dates

SIF Cohort 3

3rd year/final



7/1/16 – 6/30/17


2nd year/final


Yes (2016-17 only)

7/1/16 – 3/31/17

SIG Cohort 3

5th year/final



9/1/16 - 8/31/17

SIG Cohort 4

4th year



9/1/16 - 8/31/17

SIG Cohort 5

3rd year



7/1/16 – 6/30/17

SIG Cohort 6

2nd year


Yes (2016-17 only)

7/1/16 – 6/30/17

Tentative funding amounts for future fund years are as follows:

SIG Cohort 4 – 5th year - $250,000

SIG Cohort 5 – 4th year - $500,000

SIG Cohort 6 – 3rd year - $500,000


SIG Cohort 5 – 5th year - $250,000

SIG Cohort 6 – 4th year - $250,000

SIG Cohort 6 – 5th year - $250,000

Application Submission and Approval Timeline

3rd Quarter Report and Continuation plan issued: March 22, 2016

Complete plans/reports due: April 29, 2016 NYSED review: May 2 to May 13, 2016

May Performance Review Calls: Weeks of May 16 to 27, 2016

Final Determinations: June 10, 2016
Documents due April 29, 2016 unless otherwise specified

  • 3rd Quarter Report/Continuation Plan or Mid-Year Report and Continuation Plan

  • Budget narrative (schools with SIG 3, 4, 5, 6, or SIF 3, and/or PSSG)

  • 2016-2017 FS-10 for each school (SIG 3, 4, 5, 6, or SIF 3, and/or PSSG)

  • Attachment D: Budget Summary Chart (SIG 3, 4, 5, 6, or SIF 3, and/or PSSG)

  • Attachment B: Performance Target Chart (Non-Receivership SIG 3, 4, 5, 6 and SIF 3 Schools). Due to no later than August 31, 2016.

  • Draft MOU for EPO/lead partner (SIG Restart model, SIF 3, SIG 6 Innovation Framework Schools) Finals will be due June 1, 2016. MOUs are to be in effect 7/1/16 – 6/30/17.

  • Sustained Activities Certification (PSSG schools only)

Allowable and Non-Allowable Costs (SIG, SIF, PSSG)

All proposed SIG, SIF, PSSG costs for the 2016-17 project period must be reasonable, directly connected and aligned to the implementation of the plan and model. All plans must contain a clear explanation and strong justification for how costs are directly connected to building the capacity of the teachers, leaders, staff, and stakeholders in the school, or to providing student access to high quality instruction and/or academic enrichment.

LEAs are discouraged from budgeting for supplies and materials (e.g., smart boards, I-pads, computers, computer software, general office supplies, etc.) that appear to be independent or ancillary to the organizational or pedagogical functioning of the plan, or that appear to be budgeted merely as a means to draw down funds or that could be conceived as supplanting local funds.
If an LEA chooses to budget for supplies and materials (e.g., smart boards, I-pads, computers, computer software, etc.), it must demonstrate the cost to be inextricably linked to identified needs, direct capacity building for adults, and/or instructional access and opportunity for students.

  • The purchase of equipment (defined as equipment items having a unit value of $5,000 or more with a useful life of more than one year) is not allowed.

  • Funds provided through a Persistently Struggling Schools Grant may not be used to fund, in whole or in part, existing programs and services, including but not limited to existing staff salaries.


  • SIG 3, 4, 5, 6/SIF 3 funding directed at district-level administration and support activities may be no greater than ten percent (10%) of the total funding for project period.

  • SIG 3, 4, 5, 6/SIF 3 funding for Supplies/Materials may be no greater than ten percent (10%) of the total funding for project period.

  • PSSG must set aside a portion of the grant (no less than 5%) to pay for an external evaluator to assess program implementation in Year 2.

NYSED Office of Innovation and School Reform (OISR) Review and Approval Process

Staff from NYSED OISR will review the 3RD Quarter Report/Continuation Plan and the Mid-Year Report/Continuation Plan to ensure the fidelity of the proposed activities to the original plan to determine if the budgeted costs are reasonable and appropriate. During the May progress monitoring calls with district staff, NYSED OISR may request that LEAs provide additional program and/or budget clarification or justification prior to approval. NYSED OISR staff will eliminate any budgeted costs that are determined to be unreasonable, non-allowable or too loosely connected to the 2016-17 plan, which will be reflected in the approved budget amount in the grant award notice issued by the NYSED Grants Finance Office.


Complete reports/plans must be submitted electronically to OISR@NYSED.GOV; with additional electronic submission sent to your OISR liaison. In addition, one original plan plus one copy must be mailed by postal service to:

New York State Education Department

Office of Innovation and School Reform – 5N EB Mezzanine

89 Washington Ave

Albany, New York 12234

Attn: Report/Continuation Plan

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