THE STATE EDUCATION DEPARTMENT / THE UNIVERSITY OF THE STATE OF NEW YORK / ALBANY, NY 12234

 

TO:	EMSC-VESID Committee
FROM:	Jean C. Stevens
SUBJECT:	Proposed Amendment to the Regulations of the Commissioner Relating to Supplemental Educational Services
DATE:	January 23, 2007
STRATEGIC GOAL:	Goals 1 and 2
AUTHORIZATION(S):

 

SUMMARY

 

Issue for Action

 

Should the Board of Regents approve the proposed amendment to section 120.4 of the Regulations of the Commissioner relating to the provision of supplemental educational services (SES) under the No Child Left Behind Act?

 

Reason(s) for Consideration

 

Revision to policy.

 

Proposed Handling

 

This question will come before the Regents EMSC-VESID Committee for approval at its February 12, 2007 meeting.

 

Procedural History

 

The proposed amendment was submitted to the Committee for discussion in December 2006.

 

 

 

 

Background Information

 

The proposed amendment to section 120.4 of the Regulations of the Commissioner will regulate the use of rewards and incentives by SES providers by prohibiting them from using financial rewards or incentives to solicit enrollment, encourage parents to switch providers once students are enrolled, or attempt to influence parents, students, local educational agencies (LEAs), LEA staff or school staff. Only nominal rewards or incentives may be offered to students.  Nominal rewards or incentives are defined as an award or incentive that: (1) does not exceed a total value of $25 per student per year; (2) is directly linked to documented meaningful attendance benchmarks and/or completion of assessment and program objectives; and (3) is approved by the Commissioner as part of the provider's instructional program.  The proposed amendment will also amend the reporting dates for SES and LEAs and correct inaccurate references in current regulations.

 

A Notice of Proposed Rule Making was published in the State Register on December 6, 2006.  Supporting materials for the proposed amendment are available upon request from the Secretary to the Board of Regents. 

 

Recommendation

 

VOTED:  That paragraph (2) of subdivision (d) of section 120.4 of the Regulations of the Commissioner of Education be amended; that a new paragraph (3) of subdivision (d) of section 120.4 be added; and that subdivision (f) of section 120.4 be amended, as submitted, effective March 8, 2007.

 

Timetable for Implementation

 

Upon approval by the Board of Regents, the proposed amendment will become effective March 8, 2007.

 

AMENDMENT OF THE REGULATIONS OF THE COMMISSIONER OF EDUCATION

          Pursuant to Education Law sections 101, 207, 305, 308, 309 and 3713

1.  Paragraph (2) of subdivision (d) of section 120.4 of the Regulations of the Commissioner of Education is amended, effective March 8, 2007, as follows:

          (2)  The commissioner shall approve an eligible applicant for inclusion on the department's list of approved supplemental educational service providers, upon the commissioner's determination that its application satisfies each of the following criteria:

          (i)  .   .   .

          (ii)  .   .   .

          (iii)  .   .   .

          (iv)  .   .   .

          (v)  .   .   .

          (vi)  .   .   .

          (vii)  .   .   .

          (viii)  .   .   .

          (ix)  the applicant is fiscally sound and will be able to fulfill its agreement to provide services to the eligible child and the local educational agency pursuant to paragraph [(f)(6)] (f)(8) of this section;

          (x)  .   .   .

          (xi)  .   .   .

          (xii)  .   .   .

          (xiii)  the applicant shall provide additional assurances that:

          (a)  .   .   .

          (b)  .   .   .

          (c)  .   .   .

          (d)  .   .   .

          (e)  the applicant will provide parents and teachers of eligible students receiving supplemental educational services and the appropriate title I LEA with information on the progress of such students in increasing achievement in a format, and to the extent practicable, in a language or other mode of communication that such parents can understand; [and]

          (f)  the applicant has adequate insurance for liability, property loss and personal injury involving students receiving supplemental educational services from the applicant; and

          (g)  the applicant shall not make any offer or advertisement of rewards, gifts, incentives, gratuities, payments, or compensation of any kind to parents, students, LEAs, LEA staff and/or school staff for purposes of, or tending to have the effect of, soliciting enrollment, encouraging parents to switch providers once students are enrolled, and/or attempting to influence parents, students, LEAs, LEA staff and/or school staff; provided that nothing herein shall be deemed to prohibit the use, as part of the instructional program, of nominal rewards or incentives as defined in subparagraph (xvii) of paragraph (8) of subdivision (f) of this section.

2.  A new paragraph (3) of subdivision (d) of section 120.4 of the Regulations of the Commissioner of Education is added, effective March 8, 2007, as follows:

(3)  Where an applicant uses alternate methods for delivery of services, which may include online, Internet-based approaches, as well as other distance-learning technologies, the provision of equipment, including computers, to students to use or keep as a means of receiving such supplemental educational services, must be approved by the commissioner as part of the applicant's instructional program. 

3.  Subdivision (f) of section 120.4 of the Regulations of the Commissioner of Education is amended, effective March 8, 2007, as follows:

          (f)  Local educational agency responsibilities.  A title I LEA that is required to arrange for the provision of supplemental educational services with an approved provider pursuant to section 1116(e) of the NCLB, 20 U.S.C. section 6316(e) (Public Law, section 107-110, section 1116[e], 115 STAT. 1491-1494; Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402-9328; 2002; available at the Office of Counsel, State Education Building, Room 148, Albany, NY 12234) shall:

          (1)  .   .   .

          (2)  .   .   .

          (3)  .   .   .

          (4)  .   .   .

          (5)  .   .   .

          (6)  .   .   .

          (7)  .   .   .

          (8)  contact providers selected by the parents and enter into a contractual agreement with each such provider that includes:

          (i)  .   .   .

          (ii)  .   .   .

          (iii)  .   .   .

          (iv)  .   .   .

          (v)  .   .   .

          (vi)  .   .   .

          (vii)  .   .   .

          (viii)  .   .   .

          (ix)  .   .   .

          (x)  .   .   .

          (xi)  .   .   .

          (xii)  .   .   .

          (xiii)  .   .   .

          (xiv)  .   .   .

          (xv)  .   .   .

          (xvi)  a requirement that the provider submit to the title I LEA, [commencing on May 31, 2003 and annually thereafter,] annually on or before September 30, a final written report in a form prescribed by the commissioner that summarizes the progress of eligible students provided with supplemental educational services during the preceding academic year, pursuant to its agreement(s) with the local educational agency;

(xvii)  a provision stating: "The provider is prohibited from making any offer or advertisement of rewards, gifts, incentives, gratuities, payments, or compensation of any kind to parents, students, LEAs, LEA staff and/or school staff for purposes of, or tending to have the effect of, soliciting enrollment, encouraging parents to switch providers once students are enrolled, and/or attempting to influence parents, students, LEAs, LEA staff and/or school staff; provided that nothing herein shall be deemed to prohibit the use, as part of the instructional program, of nominal rewards or incentives as defined in 8 NYCRR section 120.4(f)(8)(xvii)."

For purposes of this subparagraph, a nominal reward or incentive is defined as an award or incentive that:

(a)  does not exceed a total value of $25 per student per year;

(b) is directly linked to documented meaningful attendance benchmarks and/or completion of assessment and program objectives; and

(c) is approved by the commissioner as part of the provider’s instructional program.

          (9)  monitor the following:

          (i)  .   .   .

          (ii)  the responsibilities of each approved provider with which the title I LEA has contracted with to:

          (a)  .   .   .

          (b)  .   .   .

          (c)  .   .   .

          (d)  .   .   .

          (e)  comply with the applicable contractual agreement pursuant to paragraph [(5)] (8) of this subdivision;

          (10)  notify the State Education Department of any noncompliance by an approved provider with respect to the provider's responsibilities as listed in subparagraph [(7)(ii)] (9)(ii) of this subdivision, including immediate notification of the department of any noncompliance involving a threat to the health and/or safety of students;

          (11)  [commencing on June 30, 2003 and annually thereafter,] submit to the State Education Department, annually on or before October 31, a monitoring report of supplemental educational services provided during the preceding academic year, in a form prescribed by the commissioner, together with a copy of each provider's report prepared pursuant to subparagraph [(5)(xvi)] (8)(xvi) of this subdivision.