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Persistently Struggling Schools Grant (PSSG) Application Education Law 211-f and Commissioner’s Regulation 100.19
Funding Period: July 1, 2015 – March 31, 2017
Announcement of Funding Opportunity


Grant Application Documents

Application in PDF PDF icon (1.22 MB) | Application in Word Word document icon (150 KB)

Background

Education Law Section 211-f designates current Priority Schools that have been in the most severe accountability status since the 2006-07 school year as “Persistently Failing Schools” and vests the superintendent of the district with the powers of a receiver.  Pursuant to Commissioner’s Regulation 100.19, these schools have been identified as “Persistently Struggling Schools.” Section 211-f of Education Law provides persons or entities vested with the powers of a receiver new authority to, among other things, develop a school intervention plan; convert schools to community schools providing wrap-around services; reallocate funds in the school’s budget; expand the school day or school year; establish professional development plans; order the conversion of the school to a charter school consistent with applicable state laws; remove staff and/or require staff to reapply for their jobs in collaboration with a staffing committee; and negotiate collective bargaining agreements, with any unresolved issues submitted to the Commissioner for decision. 

Purpose

Beginning on July 1, 2015, schools identified as Persistently Struggling will be eligible for a portion of $75 million to support and implement turnaround efforts over a 21 month period.  The superintendent is given an initial one-year period to use the enhanced authority of a Receiver to make demonstrable improvement in student performance at the Persistently Struggling School or the Commissioner will direct that the school board appoint an Independent Receiver and submit the appointment for approval to the Commissioner. Independent Receivers are appointed for up to three school years and will enter into a contract with the NYS Education Department.

The Department shall reserve the larger of $200,000 or an amount equivalent to ten percent of a school’s Persistently Struggling Schools Grant (PSSG) to pay for potential 2016-17 school year activities and/or the contracted costs of the Independent Receiver.  NYSED will provide guidance at a later time on the application process to access schools' contingency reserve funds if no Independent Receiver is appointed.  Click link below for information on Commissioner’s Regulation 100.19.

http://www.p12.nysed.gov/accountability/de/documents/Section100.19oftheRegulationsoftheCommissionerofEducation.pdf PDF icon (93 KB)

Eligibility and Grant Allocation

As defined in Section 211-f of Education Law and Commissioner’s Regulation 100.19, there are 20 Persistently Struggling Schools eligible for these grants. 

Education Law requires that the Commissioner shall determine the school-specific allocation based on factors including enrollment. School Districts must apply for the allocation for each school separately. Funds shall be distributed according to the following formula:

Allocation Methodology

Allocation

Dollars Per Pupil

Weightings

Base School Allocation

$100,000

Student enrolled in the school as of BEDS Day 2014

$2,575.00 per student

1.00

Student enrolled in grades 6, 7, and 8

$128.75 per student

0.05

Student enrolled in grades 9, 10, 11, and 12

$257.50 per student

0.10

English language learner enrolled in grades K-6

$643.75 per student

0.25

English language learner enrolled in grades 7-12

$1,287.50 per student

0.50

Low-Income Student

$1,287.50 per student

0.50

Student with disability enrolled for 40% or less of the day in a special class

$1,931.25 per student

0.75

Student with disability enrolled for more than 40% of the day in a special class

$2,575.00 per student

1.00

Note: These are duplicated counts so a low income high school student who was an English language learner would generate $5,407.50 ($2575+$257.50+$1,287.50+$1,287.50) towards the school’s allocation.

Persistently Struggling School Allocations

School

District

 

Enrollment Weighting

Two-Year Total Transformation Allocation

WILLIAM S HACKETT MIDDLE SCHOOL

ALBANY CITY SD

1.550

$2,625,818

BUFFALO ELEM SCH OF TECHNOLOGY

BUFFALO CITY SD

1.633

$2,783,408

PS 37 FUTURES ACADEMY

BUFFALO CITY SD

1.625

$2,317,976

BURGARD VOC HIGH SCHOOL

BUFFALO CITY SD

1.685

$2,407,715

SOUTH PARK HIGH SCHOOL

BUFFALO CITY SD

1.670

$3,829,115

WEST HERTEL ELEMENTARY SCHOOL

BUFFALO CITY SD

1.665

$3,881,388

HEMPSTEAD HIGH SCHOOL

HEMPSTEAD UFSD

1.640

$9,499,394

JHS 162 L RODRIGUEZ DE TIO

NYC GEOG DIST # 7 - ISC-BRONX

1.806

$1,811,345

JHS 22 JORDAN L MOTT

NYC GEOG DIST # 9 - ISC-BRONX

1.846

$2,405,526

PS 64 PURA BELPRE

NYC GEOG DIST # 9 - ISC-BRONX

1.783

$1,449,944

IS 117 JOSEPH H WADE

NYC GEOG DIST # 9 - ISC-BRONX

1.822

$2,999,193

JHS 80 MOSHOLU PARKWAY

NYC GEOG DIST #10 - ISC-BRONX

1.781

$3,058,675

AUTOMOTIVE HIGH SCHOOL

NYC GEOG DIST #14 - ISC-BROOKLYN

1.767

$1,902,114

PS 328 PHYLLIS WHEATLEY

NYC GEOG DIST #19 - ISC-BROOKLYN

1.655

$1,318,876

SCHOOL 9-DR MARTIN LUTHER KING JR

ROCHESTER CITY SD

1.672

$3,328,664

CHARLOTTE HIGH SCHOOL

ROCHESTER CITY SD

1.834

$2,216,135

EAST HIGH SCHOOL

ROCHESTER CITY SD

1.839

$7,644,235

JAMES MONROE HIGH SCHOOL

ROCHESTER CITY SD

1.893

$5,647,580

GRANT MIDDLE SCHOOL

SYRACUSE CITY SD

1.704

$3,145,453

ROOSEVELT HIGH SCHOOL (Early College)

YONKERS CITY SD

1.714

$3,763,581

 

Application Options

For each identified school, the district must choose either application Option 1 or Option 2. 

Option 1:  Request funding to be used for planning activities (Complete Appendix A) and then submit a full application (Appendix B) for the remaining amount of the Persistently Struggling School Grant at a later date. 

Superintendent Receivers can request planning funds (for a period of three months), equal to no more than 10% of a school’s Persistently Struggling Schools allocation.   Superintendent Receivers will need to provide the Department with a school-specific budget and a detailed plan for how they will:

  • Conduct a needs-assessment of the school and the community to determine what issues must be addressed to positively impact student achievement.  The Superintendent Receiver may choose to use the results of the school’s most recent Diagnostic Tool for School and District Effectiveness (DTSDE) review, if the review is less than a year old.
  • Engage local stakeholders (the Community Engagement Team, community based organizations, etc.) in the creation of a new School Comprehensive Education Plan (SCEP) or revision of an existing Department approved plan such as the School Comprehensive Education Plan (SCEP), 1003(g) School Improvement Grant (SIG), or School Innovation Fund(SIF). 
  • Begin conversations with local collective bargaining units regarding any elements of the SCEP that require changes to the collective bargaining agreement. 

The Department will review the application and release planning funds if the application is approvable.  As a condition of approval, the Superintendent Receiver must commit to provide bi-weekly updates on the progress made in planning.
Once the school district has completed the required planning activities, the Superintendent Receiver may submit a full application (using the template in Appendix B) for the remaining Persistently Struggling Schools Grant allocation.   With the full application, the Superintendent Receiver will be required to submit a new or revised SCEP or, if applicable, the 1003(g) S IG or SIF Continuation Plan.  This SCEP or SIG/SIF Continuation Application must address any issues identified during the planning period and describe the activities to be funded with the Persistently Struggling Schools Grant allocation, and include a school-specific budget.   If the Receiver is submitting a revised SCEP, SIG or SIF, the revisions or additions must be highlighted in yellow.
The remaining amount of the Persistently Struggling Schools Grant allocation will not be given to Receivers who fail to show evidence of adequate planning and community engagement.  Instead, such Receivers will be offered additional short term planning funds for an amount that is no more than ten percent of the remaining allocation, for a period of no more than three months.

Option 2:  Submit a full application for the total amount of the Persistently Struggling Schools Grant allocation, (Complete Appendix B), with evidence that the appropriate planning activities have already taken place prior to submission of the application.

The Receiver may submit an application for the full amount of the Persistently Struggling Schools Grant allocation, as long as evidence is provided that the following planning activities are included in the application or have been completed prior to submission of the application:

  • Conduct a needs-assessment of the school and the community to determine what issues must be addressed to positively impact student achievement.  The Superintendent Receiver may choose to use the results of the school’s most recent Diagnostic Tool for School and District Effectiveness (DTSDE) review, if the review is less than a year old.
  • Engage local stakeholders (the Community Engagement Team, community based organizations, etc.) in the creation of a new SCEP or revision of an existing Department approved plan such as the SCEP, 1003(g) (SIG, or SIF. 
  • Begin conversations with local collective bargaining units regarding any elements of the SCEP that require changes to the collective bargaining agreement. 

The Superintendent Receiver will be required to submit a new or revised SCEP or, if applicable, the SIG/SIF Continuation Application.  This SCEP or SIG/SIF Continuation Application must address any issues identified during the planning period and describe the activities to be funded with the Persistently Struggling Schools Grant, and include a school-specific budget.   If the Superintendent Receiver is submitting a revised SCEP, SIG or SIF, the revisions or additions must be highlighted in yellow.
Districts should ensure that the CET at each identified school is consulted when preparing the planning and full grant applications.  Schools will be required to show evidence of consultation with the CET as part of their application.
The Persistently Struggling Schools Grant allocation will not be given to Receivers who fail to show evidence of adequate planning and community engagement within the full application.  Instead, such Receivers will be offered planning funds.

Allowable Grant Activities

Districts receiving these funds must set aside a portion of the grant (no less than 5% of the total allocation) to pay for an independent evaluator to assess program implementation over the period of the grant. 

Activities that can be supported by these funds include, but are not limited to:

  • Converting school buildings into community hubs to deliver co-located or school-linked academic, health, mental health, nutrition, counseling, legal and/or  other services to students and their families;
  • Expanding, altering or replacing the school's curriculum and program offerings;
  • Extending the school day and/or school year;
  • Providing professional development to teachers and administrators;
  • Mentoring  of at-risk students;
  • Paying for the actual and necessary expenses of the independent receiver of the school;
  • Any other activity aligned with the school's approved SCEP, SIG or SIF, as approved by the Commissioner.

Each eligible activity must be aligned with the school’s approved intervention model, comprehensive education plan or school intervention plan. 

A district may allocate up to 25 percent of a school’s grant allocation to support approved activities in struggling “feeder schools.”  A “feeder school” is defined as a school identified by the Commissioner as "struggling" pursuant to Commissioner's Regulations 100.19 from which at least 20 percent of the students in the persistently struggling school matriculated.   If the district chooses to use a portion of the Persistently Struggling School’s allocation in a Struggling feeder school, the district must complete a grant application for each feeder Struggling School to be served.

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 staff salaries.

The funding can be spread over Year 1 and Year 2, but schools should anticipate receiving no more than 50 percent of their allocation for the 2015-16 school year.  If a school would like to access more than 50 percent of the allocation in the first year, the school district must request that all or a portion of the Persistently Struggling School Grant funds otherwise dedicated to the second year be advanced to the first year.  Such requests must include documentation to demonstrate to NYSED's satisfaction that the costs of the plan's activities are reasonable and that the school district has developed a plan to maintain improvements in the 2016-17 and 2017-18 school years without additional State grant funding.

Budget Requirements

Budget (FS-10)

Applicants must submit a proposed budget on the FS-10 Budget Form (available online at http://www.oms.nysed.gov/cafe) with this application for the project period of either option 1 (planning period up to 3 months) or option 2 full application for the 1st year period of 07/01/2015 – 06/30/2016. Budgeted costs must be reasonable and necessary to cover program expenses and be in compliance with applicable State laws and regulations and the Department’s Fiscal Guidelines for Federal and State Aided Grants (available at http://www.oms.nysed.gov/cafe/guidance/guidelines.html).  School districts must use the restricted indirect cost rates calculated by the Department.

For more information on indirect rates, go to http://www.oms.nysed.gov/cafe/guidance/faqs.html#indirect.
The FS-10 must bear the original signature of the Chief School/Administrative Officer.

Sustained Activities Certification

Districts must submit with the grant applications a certification that activities funded by the Persistently Struggling Schools Grant will be sustained in the 2016-17 and 2017-18 school years (See Appendix C: Sustained Activities Certification).  In addition, if a district submits a Persistently Struggling Schools Grant budget that includes additional staff positions at the Persistently Struggling School, funding for those positions will not be approved unless the district can provide evidence of sustainability past the grant period.  Additionally, the Department intends to review all school specific budgets to ensure that the activities supplement and do not supplant school program responsibilities.

Reporting Requirements
Submit a quarterly report to the board of education, the Commissioner and the Board of Regents no later than October 30, January 31, April 30, and July 31 of each year, as required by Commissioner’s Regulations. Quarterly Reports, together with a plain-language summary thereof, must be made publicly available in the school district’s offices and posted on the school district’s website, if one exists. These reports will be used as the basis for Performance Management calls with districts regarding progress in implementing receivership plans and achieving selected Demonstrable Improvement indicators.  The Quarterly Report Template and guidance can be found at:  http://www.p12.nysed.gov/accountability/de/SchoolReceivership.html.

NYSED’s Reservation of Rights

NYSED reserves the right to: (1) reject any or all proposals received in response to the RFP; (2) withdraw the RFP at any time, at the agency’s sole discretion; (3) make an award under the RFP in whole or in part; (4) disqualify any bidder whose conduct and/or proposal fails to conform to the requirements of the RFP; (5) seek clarifications of proposals; (6) use proposal information obtained through site visits, management interviews and the state’s investigation of a bidder’s qualifications, experience, ability or financial standing, and any material or information submitted by the bidder in response to the agency’s request for clarifying information in the course of evaluation and/or selection under the RFP; (7) prior to the bid opening, amend the RFP specifications to correct errors or oversights, or to supply additional information, as it becomes available; (8) prior to the bid opening, direct bidders to submit proposal modifications addressing subsequent RFP amendments; (9) change any of the scheduled dates; (10) waive any requirements that are not material; (11) negotiate with the successful bidder within the scope of the RFP in the best interests of the state; (12) conduct contract negotiations with the next responsible bidder, should the agency be unsuccessful in negotiating with the selected bidder; (13) utilize any and all ideas submitted in the proposals received; (14) unless otherwise specified in the solicitation, every offer is firm and not revocable for a period of 90 days from the bid opening; (15) require clarification at any time during the procurement process and/or require correction of arithmetic or other apparent errors for the purpose of assuring a full and complete understanding of an offeror’s proposal and/or to determine an offeror’s compliance with the requirements of the solicitation; (16) to request best and final offers.

Minority and Women-Owned Business Enterprise (M/WBE) Participation Goals Pursuant to Article 15-A of the New York State Executive Law

The following M/WBE requirements apply when an applicant submits an application for grant funding that exceeds $25,000 for the full grant period.

All forms referenced here can be found in the M/WBE Documents section at the end of this RFP.

All applicants are required to comply with NYSED’s Minority and Women-Owned Business Enterprises (M/WBE) policy.  Compliance can be achieved by one of the three methods described below.  Full participation by meeting or exceeding the M/WBE participation goal for this grant is the preferred method. 

M/WBE participation includes services, materials, or supplies purchased from minority and women-owned firms certified with the NYS Division of Minority and Women Business Development.  Not-for-profit agencies are not eligible for this certification.  For additional information and a listing of currently certified M/WBEs, see
https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp?TN=ny&XID=4687

The M/WBE participation goal for this grant is 30% of each applicant’s total discretionary non-personal service budget over the entire term of the grant.   Discretionary non-personal service budget is defined as total budget, excluding the sum of funds budgeted for:

  1. direct personal services  (i.e., professional and support staff salaries) and  fringe benefits;
  2. rent, lease, utilities and indirect costs, if these items are allowable expenditures; and
  3. that portion of the budget in purchased services used for direct educational services provided by public or not for profit organizations.   

For multi-year grants, applicants should use the total budget for the full multi-year term of the grants in the above calculation.  The M/WBE Goal Calculation Worksheet is provided for use in calculating the dollar amount of the M/WBE goal for this grant application. 

M/WBE participation does not need to be the same for each year of a multi-year grant. 

All requested information and documentation should be provided at the time of submission. If this cannot be done, the applicant will have thirty days from the date of notice of award to submit the necessary documents and respond satisfactorily to any follow-up questions from the Department. Failure to do so may result in loss of funding.

METHODS TO COMPLY
An applicant can comply with NYSED’s M/WBE policy by one of three methods: 

  1. Full Participation - This is the preferred method of compliance.  Full participation is achieved when an applicant meets or exceeds the participation goals for this grant. 

    COMPLETE FORMS: 
    M/WBE Goal Calculation Worksheet
    M/WBE Cover Letter
    M/WBE 100 Utilization Plan
    M/WBE 102 Notice of Intent to Participate

  2. Partial Participation, Partial Request for Waiver - This is acceptable only if good faith efforts to achieve full participation are made and documented, but full participation is not possible.

    COMPLETE FORMS: 
    M/WBE Goal Calculation Worksheet
    M/WBE Cover Letter
    M/WBE 100 Utilization Plan
    M/WBE 101 Request for Waiver
    M/WBE 102 Notice of Intent to Participate
    M/WBE 105 Contractor’s Good Faith Efforts

  3. No Participation, Request for Complete Waiver - This is acceptable only if good faith efforts to achieve full or partial participation are made and documented, but do not result in any participation by M/WBE firm(s).  

    COMPLETE FORMS: 
    M/WBE Goal Calculation Worksheet
    M/WBE Cover Letter
    M/WBE 101 Request for Waiver
    M/WBE 105 Contractor’s Good Faith Efforts

GOOD FAITH EFFORTS
Applicants must make a good faith effort to solicit NYS certified M/WBE firms as subcontractors and/or suppliers to achieve the goals for this grant.  Solicitations may include, but are not limited to:  advertisements in minority and women-centered publications; solicitation of vendors found in the NYS Directory of Certified Minority and Women-Owned Business Enterprises (see https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp?TN=ny&XID=4687); and the solicitation of minority and women-oriented trade and labor organizations. 

Good faith efforts include actions such as setting up meetings or announcements to make M/WBEs aware of supplier and subcontracting opportunities, identifying logical areas of the grant project that could be subcontracted to M/WBE firms, and utilizing all current lists of M/WBEs who are available for and may be interested in subcontracting or supplying goods for the project.

Applicants should document their efforts to comply with the stated M/WBE goals and submit this with their applications as evidence. Examples of acceptable documentation can be found in form M/WBE 105, Contractor’s Good Faith Efforts. NYSED reserves the right to reject any application for failure to document “good faith efforts.”

REQUEST FOR WAIVER
When full participation cannot be achieved, applicants must submit a Request for Waiver (M/WBE 101).  Requests for Waivers must be accompanied by documentation explaining the good faith efforts made and reasons they were unsuccessful in obtaining M/WBE participation. 

NYSED reserves the right to approve the addition or deletion of subcontractors or suppliers to enable applicants to comply with the M/WBE goals, provided such addition or deletion does not impact the technical proposal and/or increase the total budget.

All payments to Minority and Women-Owned Business Enterprise subcontractor(s) should be reported to the NYSED M/WBE Program Unit using the M/WBE 103 Quarterly M/WBE Compliance Report. This report should be submitted on a quarterly basis and can be found at

www.oms.nysed.gov/fiscal/MWBE/forms.html

NYSED’s M/WBE Coordinator is available to assist applicants in meeting the M/WBE goals.  The Coordinator can be reached at MWBE@.nysed.gov.

Application Submission Instructions

Complete Application for Planning Grant – Appendix A   or Full Amount Application Submission – Appendix B for each eligible school, including any Struggling feeder schools that the district has identified.

Complete applications along with revised department approved plans must be submitted electronically to Receivership@nysed.gov  by no later than 5 p.m. on November 12, 2015.

In addition, the original application and revised department approved plan must be mailed by postal service to:

New York State Education Department
Attn:  Office of Accountability
Accountability, Policy and Administration Team
55 Hanson Place
Brooklyn, NY 11217

A pre-recorded applicant informational webinar will be posted at http://www.p12.nysed.gov/accountability/de/SchoolReceivership.html by October 26, 2015.

Appendices

See grant application documents below for additional information, forms and appendices.

Grant Application Documents

Application in PDF PDF icon (1.15 MB) | Application in Word Word document icon (151 KB)

Last Updated: October 19, 2015