State Preschool Program

Overview

New York operates two state-financed prekindergarten initiatives -- the Universal Prekindergarten Program (UPK) and the Targeted Prekindergarten Program (TPK). TPK programs will be merged into UPK beginning in 2007-2008, although they can choose to continue to operate under TPK standards. The two programs have been governed by different statutory and regulatory provisions and will be discussed separately, where appropriate. TPK began in 1966 (as EPK, the Experimental Prekindergarten Program) and emphasizes the provision of comprehensive services, such as social services, nutrition, and parent involvement, to low-income families.

In 1997, the state legislature voted to make access to prekindergarten universal by the 2002-03 school year, resulting in the establishment of UPK. UPK has been serving only about 30% of the state's four-year-olds due to inadequate state funding, but an additional $50 million was made available to expand the program for 2006-2007. Another $146 million was added for 2007-2008, and the governor’s goal is to fund UPK for all eligible children by 2010-2011.

Beginning in 2007-2008, full-day prekindergarten is being emphasized as one of a handful of initiatives to boost student achievement that may be adopted by Contract for Excellence districts. These are poorly performing districts that have received a substantial increase in foundation aid and are required to develop plans for using these aid increases to establish new programs to benefit students with the greatest needs.

According to the National Institute for Early Education Research, the UPK and TPK programs served approximately 29 percent of New York's four-year-olds in 2005-2006. For 2007-2008, the state expects to serve a total of 116,745 prekindergarteners—an increase of 44,489 over the 2006-2007 enrollment—utilizing $438 million in state aid.

State Policy

There are no New York statutes or regulatory provisions that expressly acknowledge the importance of preschool education, but the state has funded comprehensive preschool for at-risk children since 1966 and has expressed an intent to provide universal access to preschool for all four-year-olds since 1997. In 2007, Governor Spitzer announced his intent to fully fund universal preschool for four-year-olds within four years.

The state Board of Regents’ policy on early education recognizes the urgent need “to ensure that all students get a good start in school” through educational programs “that start early and are high quality and developmentally appropriate; standards-based; staffed by highly qualified teachers and administrators; and embracing of the multicultural and diverse communities that they serve.”

Eligibility Criteria

Eligibility for a UPK program requires that a child reside in the school district that operates the program and be four-years-old by December 1st of the year of enrollment or be eligible to enter public school kindergarten the following year.  Until the program is able to serve all eligible children, programs must establish a random selection process to fill available slots. 

Although no new TPK programs may be started after 2006-2007, eligibility for existing TPK programs is based on age and educational need; priority is given to four-year-olds whose educational attainment on a screening device is below age level, and some three-year-olds may also be served. At least 80% of the children served by the program should be economically disadvantaged, defined as eligible for a federal assistance program.

Program Length/Duration

The UPK school year must run for 180 days.  Programs may be full or half-day.  Full-day programs must operate 5 days per week for the full day scheduled for elementary grades.  Half-day programs must operate for a minimum of 2 ½ hours, 5 days per week.  If a district lacks available space to operate a school-year UPK program, it may run a summer-only program in July and August.

A district choosing to include pre-K in its Contract for Excellence plan must establish a full-day program, and can also add wrap-around care.

The TPK school year must also run for 180 days and programs must provide activities for at least 2 ½ hours per day, 12 hours per week.

The commissioner of education awards grants for the establishment and implementation of UPK programs.  Districts are provided annually with projected allocations and projected numbers of children to be served based on a funding formula.  The formula calculates a grant per pupil amount generally equal to half the district’s per pupil foundation aid amount for K-12 students. For 2007-2008, the state’s per pupil pre-K reimbursement ranges from $2,700 to $5,771, depending on school district resources, with a statewide average of $3,751. Program Funding above that level comes from local resources. Participation in the UPK program is free of charge to families.

Starting in 2007-2008, TPK programs are being merged into the UPK system and will be funded through the same state aid funding formula.

Also beginning in 2007-2008, schools that are required to have a Contract for Excellence plan may use some of their aid increases to fund full day prekindergarten programs. Contract for Excellence plans are required for districts (1) with schools in need of improvement or requiring academic progress that (2) receive substantial increases in total foundation aid (over $15 million or 10%). The full day pre-K and/or other allowable programs are funded out of the state aid that exceeds 103% of the base year aid.

In a national survey of quality standards, the National Institute for Early Education Research (NIEER) gave the UPK program standards a rating of 5 out of 10. Although teacher certification requirements for public school programs meet NIEER’s benchmark of a bachelor’s degree, community providers that are not licensed by the Education Department will not need to meet this standard until 2008. There is a maximum class size of 20 and a staff-child ratio of 1:9 for classes of 18 children and 3:20 for classes of 19 or 20 children, which meet NIEER’ s benchmarks for a high quality program. The UPK program also has basic facilities requirements. The UPK program meets NIEER’s benchmarks for vision, hearing, and health screenings, and program monitoring via site visits, but the meal requirement for half-day programs is not met..

Although the TPK program is merging into UPK beginning in 2007-2008, TPK programs that existed in 2006-2007 are allowed to continue to follow TPK program standards. (Programs that opt to continue operating under TPK cannot, however, receive any additional funding.) NIEER rated the TPK program standards an 8 out of 10.  Programs are required to have a maximum class size of 20 and   a staff-child ratio of 1:8 or 3:20, depending on class size. Program standards also include provisions regarding parental involvement, student discipline, health and nutrition, and facilities. Teachers are required to have at least a BA and specialization in early childhood education. The TPK does not meet NIEER’s benchmark for assistant teachers of a CDA credential or an equivalent degree.

In 2005, the New York State Department of Education issued core curricula applicable to prekindergarten programs, but they were not efective in the program year evaluated by NIEER. Beginning in 2007, UPK programs must implement a curriculum aligned with state learning standards and incorporating an early literacy program that includes evidence-based instructional practices.

UPK funds flow through public school districts, but districts are encouraged to serve eligible children through collaborative efforts between the school district and other eligible agencies.  Not less than 10% of the total grant award to school districts must be set aside for subcontracts with Head Start, private childcare agencies and other community providers, including libraries and museums.  Eligible agencies are selected through a competitive process.  Programs collaborating with the district must meet the state's quality standards for the UPK program. 

TPK programs are operated exclusively within public schools. TPK directors are encouraged to participate in existing Local Early Childhood Community Coordination Committees to coordinate delivery of social services to low-income children. 

Each school district that has implemented a UPK program must establish an assessment process to determine the progress of children participating in the program and the extent to which the goals and objectives of the program have been met.  The programs must report annually to the commissioner, parents, teachers, and the public.  The commissioner must provide for an independent evaluation and assessment and report annually to the legislature.

Each TPK program must also establish an assessment process to be used to evaluate the accomplishment of the goals of the program and must report to the department within 30 days of the end of the school year.

Education Clause in State Constitution                            

The education clause in New York's constitution states, "The legislature shall provide for the maintenance and support of a system of free common schools, wherein all the children of this state may be educated."

Summary of Case Law on School Finance System

In a 1982 challenge to the constitutionality of New York's public school financing system, Levittown v. Nyquist, the New York Court of Appeals found that public education is not a fundamental right and upheld the system under the equal protection clause and the education article of the state constitution.  More than twenty years later, in CFE v. State, the Court of Appeals again dismissed claims under the equal protection clause, but held that the state's school financing system violated the education clause of the state constitution because New York City public school children were not receiving the opportunity for a "sound basic education."  The Court defined a sound basic education as one that exceeds an eighth grade education and affords schoolchildren "the opportunity for a meaningful high school education, one which prepares them to function productively as civic participants" capable of voting and serving on a jury. 

The Court of Appeals in the CFE case ordered the state to "ascertain the actual cost of providing a sound basic education in New York City" and enact appropriate reforms by July 30, 2004. This deadline passed without action from the state.   In February 2005, acting on recommendations from court-appointed special masters, a Supreme Court judge issued an order requiring the state to expend an additional $5.63 billion in annual operating aid (to be phasedin over four years) and $9.2 billion for facilities over five years to provide New York City children a sound basic education. In November 2006, the state Court of Appeals held that the state’s proposal to increase annual operating aid by only $1.93 billion was sufficient to provide a sound basic education.

No cases have addressed preschool.

Constitutional Provisions on Public Education

N.Y. Const. art. XI, § 1

The legislature shall provide for the maintenance and support of a system of free common schools, wherein all the children of this state may be educated.

Case Law on the Right to Public Education and Preschool

Is Education a Fundamental Right under the State Constitution?

Board of Education, Levittown Union Free School District v. Nyquist, 57 N.Y.2d 27, 43, 439 N.E.2d 359, 366, 453 N.Y.S.2d 643, 650 (1982)

"The circumstance that public education is unquestionably high on the list of priorities of governmental concern and responsibility, involving the expenditures of enormous sums of State and local revenue, enlisting the most active attention of our citizenry and of our Legislature, and manifested by express articulation in our State Constitution, does not automatically entitle it to classification as a 'fundamental constitutional right' triggering a higher standard of judicial review for purposes of equal protection analysis."  See also Campaign for Fiscal Equity v State, 86 N.Y.2d 307, 320, 655 N.E.2d 661, 668, 631 N.Y.S.2d 565, 572 (1995) (following Levittown).

Campaign for Fiscal Equity v. State, 100 N.Y.2d 893, 901-02, 801 N.E.2d 326, 327-28, 769 N.Y.S.2d 106, 107-08 (2003)

 "We begin with a unanimous recognition of the importance of education in a democracy.  The fundamental value of education is embedded in the Education Article of the New York State Constitution by this simple sentence: 'The legislature shall provide for the maintenance and support of a system of free common schools, wherein all the children of this state may be educated' (N.Y. Const., art. XI, § 1)."

School Finance Cases in Favor of Plaintiffs:

Campaign for Fiscal Equity v. State, 86 N.Y.2d 307, 319, 655 N.E.2d 661, 667, 631 N.Y.S.2d 565, 571 (1995)

In a second challenge to the constitutionality of New York State's public school financing system, the New York Court of Appeals upheld claims under the education article and the Title VI regulations, but dismissed claims under the equal protection clause and Title VI of the Civil Rights Act of 1964.  The Court stated, "It is beyond cavil that the failure to provide the opportunity to obtain such fundamental skills as literacy and the ability to add, subtract and divide numbers would constitute a violation of the Education Article.  In our view, plaintiffs have alleged facts which fit with a cognizable legal theory."  Regarding plaintiffs' claim under the Title VI regulations, the Court held that proof of discriminatory effect rather than intent was sufficient to establish liability under the regulations.

Campaign for Fiscal Equity v. State, 100 N.Y.2d 893, 930, 801 N.E.2d 326, 348, 769 N.Y.S.2d 106, 128-29 (2003)

The Court of Appeals ruled that the state's public school financing system violated the education clause of the state constitution because New York City public school children were not receiving the opportunity for a " sound basic education" (the standard enunciated by the Court of Appeals in its 1982 decision, Board of Education, Levittown Union Free School District. v. Nyquist, 57 N.Y.2d 27, 48, 439 N.E.2d 359, 369, 453 N.Y.S.2d 643, 653 (1982)).  The Court ordered the State to "ascertain the actual cost of providing a sound basic education in New York City" and enact appropriate reforms by July 30, 2004.

Campaign for Fiscal Equity v. State, 8 N.Y.3d 14, 861 N.E.2d 50, 828 N.Y.S.2d 235 (2006)

Following the state’s failure to comply with the July 2004 deadline for reforming the education finance system, as ordered by the Court of Appeals in CFE v. State (2003), discussed above, state Supreme Court Judge Leland DeGrasse appointed three special masters to hold hearings to address the parties' different proposals for the state to provide a sound basic education for New York City students.  Following hearings in Fall 2004, the special masters issued a report in November 2004 recommending that the state spend an additional $5.63 billion in operating aid over four years and $9.2 billion for facilities over five years to provide New York City children a sound basic education. In February 2005, Supreme Court Judge Leland DeGrasse affirmed the special masters’ recommendations.  Judge DeGrasse further ordered the state to undertake periodic studies of the costs of providing a sound basic education and adequate facilities and to enhance New York’ s accountability structure in a manner essentially agreed upon by the parties. After the Appellate Division issued an opinion reducing the minimum required state aid to $4.7 billion, Campaign for Fiscal Equity v. State, 29 A.D.3d 175, 814 N.Y.S.2d 1 (2006), the plaintiffs took the case to the Court of Appeals.

The Court of Appeals held that the trial court should not have appointed special masters to review various cost proposals from the parties and make recommendations. Instead, its only task was to review the state’s funding proposal to determine if it was a “reasonable estimate” of the cost of providing a sound basic education. The Court of Appeals found that the state’s original proposal of a $1.93 billion increase in annual operating funds for New York City was reasonable to meet the constitutional requirements. The facilities aid remedy was dropped, since the parties acknowledged the sufficiency of a capital construction program enacted by the legislature in 2006.

Standard for a Constitutionally Adequate Education:

Board of Education, Levittown Union Free School District v. Nyquist, 57 N.Y.2d 27, 48, 439 N.E.2d 359, 369, 453 N.Y.S.2d 643, 653 (1982)

The Court interpreted the term "education" in the state constitution to "connote a sound basic education."

Campaign for Fiscal Equity v. State, 86 N.Y.2d 307, 316-17, 655 N.E.2d 661, 666, 631 N.Y.S.2d 565, 570 (1995)

A sound basic education "should consist of the basic literacy, calculating, and verbal skills necessary to enable children to eventually function productively as civic participants capable of voting and serving on a jury... .Children are entitled to minimally adequate physical facilities and classrooms that provide enough light, space, heat, and air to permit children to learn. Children should have access to minimally adequate instrumentalities of learning such as desks, chairs, pencils, and reasonably current textbooks. Children are also entitled to minimally adequate teaching of reasonably up-to-date basic curricula such as reading, writing, mathematics, science, and social studies, by sufficient personnel adequately trained to teach those subject areas." 

Campaign for Fiscal Equity v. State, 100 N.Y.2d 893, 906-08, 801 N.E.2d 326, 331-32, 769 N.Y.S.2d 106, 111-12 (2003)

"We agree with the trial court that students require more than an eighth-grade education to function productively as citizens, and that the mandate of the Education Article for a sound basic education should not be pegged to the eighth or ninth grade, or indeed to any particular grade level ... A 'sound basic education' ... affords New York City schoolchildren the opportunity for a meaningful high school education, one which prepares them to function productively as civic participants."

School Finance Cases against Plaintiffs:

Board of Education, Levittown Union Free School District v. Nyquist, 57 N.Y.2d 27, 38, 439 N.E.2d 359, 363, 453 N.Y.S.2d 643, 647 (1982)

The Court of Appeals acknowledged the existence of "significant inequalities in the availability of financial support for local school districts, ranging from minor discrepancies to major differences, resulting in significant unevenness in the educational opportunities offered," but determined nonetheless that state's public school financing system did not violate the state or federal equal protection clause or the education article of the state constitution.

Campaign for Fiscal Equity v. State, 86 N.Y.2d 307, 321, 655 N.E.2d 661, 668, 631 N.Y.S.2d 565, 572 (1995)

In a second challenge to the constitutionality of New York State's public school financing system, the Court of Appeals dismissed claims under the equal protection clause and Title VI of the Civil Rights Act of 1964, but upheld claims under the education article and the Title VI regulations.  The Court stated, "[A]s to the claimed violation of the Equal Protection Claim of the Federal Constitution, the Court determines that neither Plyler nor any Supreme Court case decided after Levittown requires reexamination of our holding in that case rejecting heightened scrutiny and finding a rational basis in the State's education funding scheme."  With respect to plaintiffs' Title VI claim, the Court held that plaintiffs must establish intentional discrimination, which they had not alleged. 

Reform Educational Financing Inequities Today (R.E.F.I.T.) v. Cuomo, 86 N.Y.2d 279, 285, 655 N.E.2d 647, 649, 631 N.Y.S.2d 551 (1995)

The Court of Appeals dismissed plaintiffs' allegations of a "gross and glaring" disparity in school funding, greater than that which existed at the time the Levittown decision was decided, finding that they had failed to show how "disparities have caused students in the poorer districts to receive less than a sound basic education, which is all that they are guaranteed by our Constitution." 

Paynter v. State, 100 N.Y.2d 434, 797 N.E.2d 1225, 765 N.Y.S. 2d 819 (2003)

Decisions Ruling School Finance Issues Were Non-Justiciable:

None.  In Board of Education, Levittown Union Free School District v. Nyquist,  the Court noted that "[t]he determination of the amounts, sources, and objectives of expenditures of public moneys for educational purposes, especially at the State level, presents issues of enormous practical and political complexity, and resolution appropriately is largely left to the interplay of the interests and forces directly involved and indirectly affected, in the arenas of legislative and executive activity."  It then continued, "With full recognition and respect, however, for the distribution of powers in educational matters among the legislative, executive and judicial branches, it is nevertheless the responsibility of the courts to adjudicate contentions that actions taken by the Legislature and the executive fail to conform to the mandates of the Constitutions which constrain the activities of all three branches."  57 N.Y. 2d 27, 38, 439 N.E.2d 359, 363, 453 N.Y.S.2d 643, 648 (1982).

Cases Related to State-Funded Preschool:

Pending School Finance Cases:

None.

Statutes, Regulations and Guidance Documents on State Preschool Program

New York Education Law Section 211-d (N.Y. Educ. Law § 211-d), Contract for Excellence

New York Education Law Section 3602-e et seq. (N.Y. Educ. Law § 3602-e et seq.), Universal Prekindergarten Program

New York Administrative Code Title 8, Section 100.3 (8 NYCRR § 100.3), Program requirements for students in grades prekindergarten through six

New York Administrative Code Title 8, Section 100.13 (8 NYCRR § 100.13), Contract for Excellence

New York Administrative Code Title 8, Section 148 (8 NYCRR §148), State aid for experimental programs for prekindergarten, experimentation and innovation in improvement of instruction and elimination of racial imbalance and improvement of integrated education.

New York Administrative Code Title 8, Section 151-1.1 et seq. (8 NYCRR § 151-1.1 et seq.), Universal Prekindergarten Program   

New York Administrative Code Title 8, Section 151-2.1 et seq. (8 NYCRR § 151-2.1 et seq.), Experimental Prekindergarten Program

New York State Education Department Core Curricula

Regents Policy Statement on Early Education for Student Achievement in a Global Community (January 2006)

Note: New York formerly operated two separate preschool programs: (1) Universal Prekindergarten Program (UPK); and (2) Targeted Prekindergarten Program (TPK). Beginning in 2007-2008, TPK will be merged into UPK, with a single funding stream and unified grant application procedure, although existing TPK programs may choose to be governed by TPK regulations. The following materials on statutes and regulations are separated according to program, when applicable.

Also beginning in 2007-2008, New York is implementing the Contract for Excellence law. This is not a separate pre-K program, but a mandate for certain districts (1) with schools in need of improvement or requiring academic progress, and (2) receiving substantial increases in total foundation school aid, to prepare a plan or contract specifying how they will use their increased aid to create or expand programs to improve student achievement.

Provisions Expressing State Policy on Preschool:

Gov. Eliot Spitzer, 2007 State of the State Address (January 3, 2007)

[We must] take the lead on the following three initiatives:

First, we must focus on that period in a child’s life that is developmentally the most critical—from birth to five years old. Within four years, we should make pre-kindergarten available to every four-year old in New York. Speaker Silver and the Assembly have long supported these efforts. Let us now begin to raise a new generation of New Yorkers who have the knowledge and skills they need to compete in the Innovation Economy. …

Regents Policy Statement on Early Education for Student Achievement in a Global Community (January 2006)

There is broad-based support for expanding and improving early childhood education opportunities for all children. Students who have quality prekindergarten and kindergarten educational experiences benefit in terms of reading achievement in later grades. We also know that students who fall behind in the early grades have great difficulty catching up to their peers.

All of this makes it urgent for the Regents and the educational system to take steps needed to ensure that all students get a good start in school and are proficient in reading by grade 2. Research and data support this urgency for restructuring early education. Brain research shows the rapid rate of brain development from birth through age 10. Children’s reading skills in first grade are reliable predictors of how they read by the end of grade 3. High percentages of young children are in full-day care prior to kindergarten. Research points to the economic benefits of investing in the early years as opposed to the increased educational and societal costs associated with students who fall behind.

High-quality early childhood education must ensure that children are prepared for their future. It is therefore the policy of the Board of Regents that:

Early childhood education, for all children from birth through grade four, is an integrated system that ensures each child receives a healthy start and attains the knowledge and social/emotional skills needed for successful learning. Components of the system are programs that start early and are high quality and developmentally appropriate; standards-based; staffed by highly qualified teachers and administrators; and embracing of the multicultural and diverse communities that they serve. It is a system that promotes coordination of comprehensive services and successful partnerships among families, community-based organizations and schools.

Eligibility Criteria for State Preschool Program:

Universal Prekindergarten Program

N.Y. Educ. Law § 3602-e.1

... c. "Eligible children" shall mean resident children who are four years of age on or before December first of the year in which they are enrolled or who will otherwise be first eligible to enter public school kindergarten commencing with the following school year ... .

N.Y. Educ. Law. § 3602-e.7

In order to receive approval from the commissioner to implement a prekindergarten program, applications and proposals shall demonstrate that the program to be implemented contains, at a minimum, the following components:

            ... i. establishes a method for selection of eligible children to receive prekindergarten program services on a random selection basis where there are more eligible children than can be served in a given school year, provided, however, that a school district that operated a targeted prekindergarten program in the base year may use the selection process established for such program.

8 NYCRR § 151-1.2

... (c) Eligible child means a child who resides within the school district who is four years of age on or before December 1st of the year in which he or she is enrolled or who will otherwise be first eligible to enter public school kindergarten commencing with the following school year.  For a summer only program provided in accordance with the provisions of subdivision (d) of section 152-1.4 of this Subpart, "eligible child" means a child who resides within the school district who is five years of age on or before December 1st of the year in which he or she is enrolled or who will otherwise be first eligible to enter public school kindergarten commencing with the current school year. Parents and/or guardians may choose , but are not required, to enroll their child(ren) in a universal prekindergarten program.  However, upon enrollment, the school district’s attendance policy must be applied.

8 NYCRR § 151-1.4(d)

School districts must establish a process to select eligible children to receive universal prekindergarten services on a random selection basis where there are more eligible children than can be served in a given school year, provided, however, that a school district that operated a targeted prekindergarten program in the base year may use the selection process established for such program

Targeted Prekindergarten Program

8 NYCRR § 151-2.2

... (b) Economically disadvantaged child means a child whose family is eligible for some form of assistance such as Aid to Families of Dependent Children, free or reduced price school lunch, food stamps, Medicaid, unemployment compensation, or disability compensation.

... (g) Prekindergarten children means children who will be four years of age on or before December 1st of the current school year, or who will otherwise be first eligible to enter public school kindergarten commencing with the following school year, or who attend a program for which an application to serve any three or four year olds has been approved. Applications for funding to serve any three or four year olds may be submitted by districts which will be reviewed for approval based upon the demonstrated ability of the district to serve interested and eligible four year olds.

.... (l) Educationally deprived child means a prekindergarten child whose educational attainment on a screening device approved by the department is below the level appropriate to such child's age.

8 NYCRR § 151-2.3

... (a)(3) ... To be approved for [a concentration grant,] a district shall submit an application which demonstrates that:

(i) the program will serve educationally deprived children, and no other criteria except age and educational need will be used to select children for participation in the joint program;

(ii) all program requirements of this Part, except those relating to the selection of prekindergarten children to participate in the joint program on the basis of economic disadvantage, will be met;

(iii) priority in the selection of the schools within the district for the establishment of new prekindergarten programs or the expansion of prekindergarten programs funded in the base year will be given to schools with the highest concentration of children from low-income families, as determined from their ranking for purposes of chapter 1 pursuant to 34 CFR 200.30 ... . ;

(iv) prekindergarten children in the area served by schools selected as the site of a prekindergarten program approved for funding pursuant to this paragraph shall be selected for participation in order of greatest educational need ... .

(b) Notwithstanding any other provision of this Subpart, upon application by a school district, the commissioner may grant a variance from the requirements of this Subpart pertaining to the age of the children served ... .

8 NYCRR § 151-2.4

... (b) The application [for state approval of a targeted prekindergarten program] shall set forth the following information with respect to each program for which a grant is requested:

(1) The number of prekindergarten children to be served by each session of the program and the number of such children who are economically disadvantaged.

(2) A general description of the families of prekindergarten children in the district, their income level, culture and linguistic background, housing environment, and other indicators of socioeconomic status ... .

8 NYCRR § 151-2.5

(a) In [deciding whether to approve an application], the commissioner may take into account . . . satisfactory evidence . . (1) that at least 80 percent of the prekindergarten children served by the program are economically disadvantaged or that all interested and eligible economically disadvantaged children residing in the area [sic] served by the program and will be served by the program; ... .

8 NYCRR § 151-2.6 Admission requirements for children.

(a) No child may participate in the prekindergarten program unless:

(1) A report of a medical examination of the child signed by a physician is submitted within 30 days of admission which states that the child is free from contagious or communicable disease.

(2) The child has been immunized to the extent appropriate to his/her age in accordance with section 2164 of the Public Health Law; or has been granted an exemption from such immunization.

Contract for Excellence

N.Y. Educ. Law § 211-d

1. Every school district that has at least one school currently identified as requiring academic progress or in need of improvement or in corrective action or restructuring status shall be required to prepare a contract for excellence if the school district receives an increase in total foundation aid compared to the base year in an amount that equals or exceeds either fifteen million dollars or ten percent of the amount received in the base year, whichever is less, or receives a supplemental educational improvement plan grant is required to prepare a contract for excellence for the district. …

2.         a. Each contract for excellence shall describe how the sum of the amounts apportioned to the school district in the current year as total foundation aid and as supplemental educational improvement plan grants for the two thousand seven – two thousand eight school year and thereafter, in excess of one hundred three percent of the district's foundation aid base, … shall be used to support new programs and new activities or expand the use of programs and activities demonstrated to improve student achievement.

b.         (i) The contract shall specify the new or expanded programs for which additional amounts of such total foundation aid, or grant shall be used and shall affirm that such programs shall predominately benefit students with the greatest educational needs including, but not limited to, those students with limited English proficiency, students in poverty and students with disabilities.…

3.         a. The commissioner shall adopt regulations establishing allowable programs and activities intended to improve student achievement which shall be limited to class size reduction, programs that increase student time on task, teacher and principal quality initiatives, middle school and high school re-structuring, and full-day kindergarten or prekindergarten. …

8 NYCRR § 100.13(d)(1)

General requirements. Allowable programs and activities shall:

(i) predominately benefit those students in schools identified as requiring academic progress, or in need of improvement, or in corrective action, or restructuring;

(ii) predominately benefit 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 …

Program Length/Duration:

N.Y. Educ. Law § 3602-e.16 The grant payable to a school district pursuant to this section in the current year shall be reduced by one one-hundred eightieth for each day less than one hundred eighty days that the universal prekindergarten classes of the district were actually in session ... .

N.Y. Educ. Law. § 3602-e.12

The board of regents and the commissioner shall be authorized to adopt regulations to implement the provisions of this section ... . Such regulations shall include but not be limited to:

... f. time requirements which reflect the needs of the individual school districts for flexibility, but meeting a minimum weekly time requirement;

... m. a process for the waiver of the time requirements established pursuant to this subdivision in order to authorize the operation of a summer universal prekindergarten program limited to the months of July and August, upon a finding by the commissioner that the school district is unable to operate the program during the regular school session because of a lack of available space pursuant to regulations of the commissioner.

8 NYCRR § 151-1.4

(a) Programs may be either full-day or half-day and must operate five days per week a minimum of 180 days per year.

(b) A district may operate a summer only program during the months of July and August, only upon demonstrating to the commissioner's satisfaction that the school district is unable to operate the program during the regular school session because of a lack of available space in both district buildings and eligible agencies. When a school district operates a summer only program the aid per prekindergarten pupil shall be reduced by one one-hundred eightieth for each day less than 180 that the summer program is in session.…

8 NYCRR § 151-1.5(b)

The application [for an allocation to operate a universal prekindergarten program] shall set forth the following information:

… (7) a written request for a variance where applicable. The Department will consider variance requests for the following:

… (iv) for a district that is unable to operate the program during the regular school session because of a lack of available space in both district buildings and eligible agencies, a variance for the district to operate a summer only program pursuant to section 151-1.4(b) of this Subpart …

Targeted Prekindergarten Program

8 NYCRR § 151-2.2

... (h) Prekindergarten program means an early childhood program which provides activities for prekindergarten children for not less than 12 hours per week and not less than two and a half hours per day ... .

8 NYCRR § 151-2.3

(b) Notwithstanding any other provision of this Subpart, upon application by a school district, the commissioner may grant a variance from the requirements of this Subpart pertaining to ... limitations on program hours, the number of days per week that services are provided ... .

Contract for Excellence

N.Y. Educ. Law § 211-d(3)(a)

The commissioner shall adopt regulations establishing allowable programs and activities intended to improve student achievement which shall be limited to class size reduction, programs that increase student time on task, teacher and principal quality initiatives, middle school and high school re-structuring, and full-day kindergarten or prekindergarten. …

8 NYCRR § 100.13(d)(2)(v)(a)(1)

Allowable programs and activities for full-day prekindergarten are limited to the following:

(i) a minimum full school day program; or

(ii) a minimum full school day program that includes additional hours to meet the needs of children and families; or

(iii) a minimum full school day program that includes additional hours to meet the needs of children and families in collaboration with eligible community based agencies; and/or

(iv) programs designed to increase the integration of students with disabilities into full-day prekindergarten programs.

Scope of State’s Responsibility to Provide Preschool:

Universal Prekindergarten Program

N.Y. Educ. Law § 3602-e

... 2. The commissioner is hereby authorized and directed to award grants for the establishment and implementation of a prekindergarten program to serve eligible children.

... 5.  In any school district, other than the city school district of the city of New York, that seeks an apportionment pursuant to this section, the school district shall develop and submit an application pursuant to the rules and regulations adopted by the board of regents and the commissioner for such purpose ... .

   6.  In the city school district of the city of New York, if a community school superintendent seeks to receive an apportionment pursuant to this section, the community school superintendent shall submit an application in accordance with subdivision five of this section.

... 8. Each application for a prekindergarten program pursuant to this section shall be on a form prescribed by the commissioner and shall include, but not be limited to:

a. a prekindergarten program plan identifying specific goals, including how the district will expand its program to assure that all eligible children may be served, and a proposed timetable for the implementation and achievement of such goals;

b. a proposed budget and a description of the proposed use of the grant funds including the mechanism for the distribution of such funds;

c. the local share to be used, as defined by the commissioner, which may include resources which may be available from the community;

d. the participation and contribution of each of the collaborative partners; and

e. a description of any costs associated with the administration of the program.

8 NYCRR § 151-1.1

The purpose of this Subpart is to provide four-year-old children with universal opportunity to access prekindergarten programs. …

N.Y. Educ. Law. § 3602-e.7

In order to receive approval from the commissioner to implement a prekindergarten program, applications and proposals shall demonstrate that the program to be implemented contains, at a minimum, the following components:

... i. establishes a method for selection of eligible children to receive prekindergarten program services on a random selection basis where there are more eligible children than can be served in a given school year,

Targeted Prekindergarten Program

8 NYCRR § 151-2.3 Program Variations

(a) Notwithstanding any provisions of this Subpart to the contrary, the commissioner may find a school district eligible for funds appropriated by the Legislature for the operation of the following  program variations:

(1) Programs which provide activities for prekindergarten children, in conjunction with a grant to a Community Schools Program.

(2) A home-based program which serves both children and parents in the home through regular visits by a trained staff member, provided that such program was funded during the 1988-89 school year. The requirements set forth in sections 151-2.4(b)(7) and (11), 151-2.7, 151-2.8 and 1512.9 of this Subpart, shall not apply to such programs.

(3) Joint Federal Chapter 1 and State experimental prekindergarten programs in school districts eligible for a concentration grant in excess of $200,000 in the base year pursuant to section 1006 of chapter 1 of title 1 of the Elementary and Secondary Education Act, as amended, 20 U.S.C. 2712 ... . To be approved for funding, such a district shall submit an application which demonstrates that:

(i) the program will serve educationally deprived children, and no other criteria except age and educational need will be used to select children for participation in the joint program;

(ii) all program requirements of this Part, except those relating to the selection of prekindergarten children to participate in the joint program on the basis of economic disadvantage, will be met;

(iii) priority in the selection of the schools within the district for the establishment of new prekindergarten programs or the expansion of prekindergarten programs funded in the base year will be given to schools with the highest concentration of children from low-income families, as determined from their ranking for purposes of chapter 1 pursuant to 34 CFR 200.30 ... . ;

(iv) prekindergarten children in the area served by schools selected as the site of a prekindergarten program approved for funding pursuant to this paragraph shall be selected for participation in order of greatest educational need; and

(v) an exclusion has been granted for the joint program from the comparability and supplement, not supplant requirements under chapter 1 pursuant to 34 CFR 200.45 ... .

Scope of State's Responsibility to Fund Preschool:

N.Y. Educ. Law § 3602-e.2

The commissioner is hereby authorized and directed to award grants for the establishment and implementation of a prekindergarten program to serve eligible children.

N.Y. Educ. Law § 3602-e.8

Each application for a prekindergarten program pursuant to this section ... shall include ... :

b. a proposed budget and a description of the proposed use of the grant funds including the mechanism for the distribution of such funds;

c. the local share to be used, as defined by the commissioner, which may include resources which may be available from the community;

d. the participation and contribution of each of the collaborative partners; and

e. a description of any costs associated with the administration of the program.

N.Y. Educ. Law § 3602-e.9

a. Each year, the commissioner shall determine the maximum allocation that each district would be eligible to receive pursuant to this section in the following school year based on pupil data on file with the commissioner on a date prescribed by the commissioner, and applying the formula specified in subdivision ten of this section. . No later than April thirtieth of the base year, the commissioner shall notify districts of the maximum allocations they may be eligible for pursuant to this section in the following school year, and such maximum allocations shall be deemed final and not subject to change thereafter.

b. The board of regents and the commissioner shall develop criteria for awarding all grants pursuant to this section ... .

N.Y. Educ. Law § 3602-e.10: Universal Prekindergarten aid

Notwithstanding any provision of law to the contrary, for aid payable in the two thousand seven – two thousand eight school year, the grant to each eligible school district for universal prekindergarten aid shall be computed pursuant to this subdivision.

a. Each school district shall be eligible to receive a grant amount equal to the lesser of (i) the sum of its prekindergarten aid base plus the product of its selected aid per prekindergarten pupil multiplied by the number of additional aidable prekindergarten pupils served in the current year, as determined pursuant to regulations of the commissioner, or (ii) the maximum allocation computed pursuant to subdivision nine of this section.

b. For purposes of paragraph a of this subdivision:

(i) "Selected aid per prekindergarten pupil" shall equal the greater of (A) the product of five-tenths and the school district's selected foundation aid for the current year, or (B) the aid per prekindergarten pupil calculated pursuant to this subdivision for the two thousand six – two thousand seven school year, based on data on file for the school aid computer listing produced by the commissioner in support of the enacted budget for the two thousand six – two thousand seven school year and entitled "SA060-7";

(ii) "Base aidable prekindergarten pupils". For the two thousand seven – two thousand eight school year, "based aidable prekindergarten pupils" shall equal the lesser of (A) the sum of the number of eligible children served in the two thousand six – two thousand seven school year in state-funded prekindergarten programs other than prekindergarten programs approved pursuant to this subdivision or pursuant to section forty-four hundred ten of this chapter, plus the number of eligible children served in the two thousand five – two thousand six school year in state funded prekindergarten programs approved pursuant to this subdivision, or (B) the quotient of the prekindergarten aid base divided by the selected aid per prekindergarten pupil;

(iii) "Unserved prekindergarten pupils" shall mean the number of resident children who attain the age of four before December first of the school year, but who will not be served during such school year by a prekindergarten program approved pursuant to section forty-four hundred ten of this chapter, where such services are provided for more than four hours per day;

(iv) "Additional aidable prekindergarten pupils". For the two thousand seven – two thousand eight school year, "additional aidable prekindergarten pupils" shall equal the greater of (A) the product of (1) the positive difference, if any, of the unserved prekindergarten pupils less the base aidable prekindergarten pupils multiplied by (2) the percent of eligible applicants for the free and reduced price lunch program computed pursuant to paragraph p of subdivision one of section thirty-six hundred two of this article, but not less than eighteen percent nor more than thirty percent, or (B) the positive difference, if any, or (1) the lesser of twenty pupils or the unserved prekindergarten pupils less (2) the base aidable prekindergarten pupils.

(v) the "prekindergarten aid base" shall mean the sum of the amounts the school district received for the two thousand six – two thousand seven school year for grants awarded pursuant to this section and for targeted prekindergarten grants.

c. Notwithstanding any other provision of this section, the total grant payable pursuant to this section shall equal the lesser of: (i) the total grant amounts computed pursuant to this subdivision for the current year, based on data on file with the commissioner as of September first of the school year immediately following or (ii) the total actual grant expenditures incurred by the school district as approved by the commissioner.

N.Y. Educ. Law § 3602-e.11

Notwithstanding the provisions of subdivision ten of this section, where the district serves fewer children during the current year than in the base year, the school district shall have its apportionment reduced in an amount proportional to such deficiency in the current year or in the succeeding school year, as determined by the commissioner, except such reduction shall not apply to school districts which have fully implemented a universal pre-kindergarten program by making such program available to all eligible children. Expenses incurred by the school district in implementing a pre-kindergarten program plan pursuant to this subdivision shall be deemed ordinary contingent expenses.

N.Y. Educ. Law. § 3602-e.12

The board of regents and the commissioner shall be authorized to adopt regulations to implement the provisions of this section ... . Such regulations shall include but not be limited to:

... l. a definition of the approved expenditures for which grant funds may be used, which shall include but not be limited to transportation services and lease expense or other appropriate facilities expenses ... .

8 NYCRR § 151-1.2(a)

... Pursuant to section 3202 of the Education Law, no parent and/or guardian of a child participating in a universal prekindergarten program should be subjected to a fee/charge for the instructional program.

8 NYCRR § 151-1.5(b)

The application [for an allocation to operate a universal prekindergarten program] shall set forth the following information:

… (2) a proposed budget and a description of the proposed use of the funds;

(3) the participation and contribution of each of the collaborative partners;

(4) the local share to be used;

(5) a description of any costs associated with the administration of the program …

Targeted Prekindergarten Program

8 NYCRR § 148.1

... (a) Funds will be made available to school districts, boards of co-operative educational services, county vocational education and extension boards and area centers for co-operative educational services, within the limits of annual appropriations ... in partial reimbursement for approved costs for new programs initiated in these areas, which costs are incurred by reason of such new or additional programs.

(b) Programs to be considered for such reimbursement are:

(1) pre-kindergartens for children in disadvantaged areas ... . 

(c) Applications for aid for such programs shall be submitted to the commissioner by the district or other applicant on forms prescribed by the commissioner. Such applications shall be filed by May 15 prior to the school year in which the program is to be carried out. Upon application and justification and within the limits of appropriations, the commissioner may accept applications subsequent to such date in the year 1966.

(d) The criteria for review of such applications shall be as follows:

(1) Significance of proposed program.

(i) Will the program test important proposals for improving education for all students of the district or districts, or for some categories of students having special educational needs?

(ii) Will the results of the program, if successful, show the suitability of such program for improvement of educational offerings in other districts?

(2) Adequacy of planning.

(i) Does the proposal reflect knowledge of available research?

(ii) Are the purposes and goals clearly stated?

(iii) Are the procedures to be followed clearly outlined?

(iv) Is provision made for suitable evaluation of results?

(v) Does the plan provide for qualified personnel, adequate facilities and resources to carry out the program?

(3) Economic efficiency.

(i) Are anticipated expenditures reasonable in relation to procedures to be followed and anticipated results?

(ii) Are the proposed expenditures over and above those which the district would make in its regular instructional program?

(e) The application for aid shall indicate the budgeted amount of the proposed program which shall be in addition to existing programs or in addition to the normal cost of instruction provided by the district for children in the area covered by the experimental program. If such program is approved, the State aid shall be computed as follows:

(1) In the case of a school district, the approved excess costs of the program shall be multiplied by the aid ratio of the district, but not less than 50 per cent.

(2) In the case of a board of co-operative educational services, county vocational education and extension board or an area center for co-operative educational services, the aid ratio shall be determined by dividing the total true valuation of taxable real property of the school districts participating in the program by the total weighted average daily attendance of such districts. The aid shall be the approved excess costs of the program multiplied by such aid ratio, but not less than 50 per cent. All districts participating in such a project must be listed by legal designation in the application.

(3) Except in (5) below, all allowances for the purchase of equipment shall be determined by prorating the cost on the basis of the reasonable life expectancy of the item and the expected period of time it will be used in the proposed experiment. The total cost of equipment must be shown in the application.

(4) Capital expenditures for construction or major alterations of buildings cannot be aided. The rental of approved temporary quarters may be aidable as an excess cost.

(5) State aid for approved purchases of equipment in the first year of operation of a pre-kindergarten class shall be at the district's aid ratio plus 10 percentage points, but not less than 60 per cent. The commissioner shall determine the amount and type of pre-kindergarten equipment to be approved for aid.

(6) A limited number of experimental pre-kindergarten programs may be designated by the commissioner as demonstration and in-service teacher education centers for specified regions, and in such cases the district or other applicant shall be entitled to the full cost of services specifically required for such regional demonstration and teacher education functions.

(7) Approved expenditures for initial planning for a limited time may be considered part of the excess cost and approvable for aid.

(8) The commissioner may modify the above aid provisions if in his judgment highly unusual circumstances prevail which warrant such modification.

(f) There shall be no duplication of aid, and districts or other applicants shall not submit costs for approval which will be reimbursed from Federal aid, or from other special State aid programs. If a district is submitting or has submitted the same project for funding in whole or in part under a Federal program of aid; or under another special State aid program; or a private grant program, this should be noted in the plan and the amount and source of such aid specified. Estimated excess costs must be limited to expenditures which would not be incurred unless the proposed experimental program were undertaken.

(g) If the project is approved for aid, said aid will be distributed to the district based on the following schedule:

(1) twenty-five percent at the time of project approval;

(2) quarterly payments as requested by local districts for projects of less than $100,000;

(3) monthly payments as requested by local districts for projects of more than $100,000;

(4) but no more than 90 percent of the total project cost until after receipt and audit of the final expense report at which time the balance will be paid.

(h) Each district receiving State aid for an experimental project shall maintain records and make a report of expenditures and of progress no later than July 31, following the close of the school year.

8 NYCRR § 151-2.3

(a) Notwithstanding any provisions of this Subpart to the contrary, the commissioner may find a school district eligible for funds appropriated by the Legislature for the operation of the following [targeted prekindergarten] program variations ... .

8 NYCRR § 151-2.5

... (b) Allotment of funds. Upon approval of the application, the commissioner shall, in accordance with the State and local sharing methodology approved by the Director of the Budget, allocate to the school district so much of the funds appropriated by the Legislature for purposes of this Subpart, as in the judgment of the commissioner will be used pursuant to said plan as the State share to substantially and reasonably carry out the purpose of this Subpart.

(c) Payment of all or part of a grant may be suspended or terminated by the commissioner if the district fails to comply with the provisions of law, with these regulations, with any other applicable law or regulations; or if the commissioner finds that the district program is not being implemented or administered in a satisfactory manner or is failing substantially to carry out the purposes of the grant.

Contract for Excellence

N.Y. Educ. Law § 211-d. Contract for excellence.

1. Every school district that has at least one school currently identified as requiring academic progress or in need of improvement or in corrective action or restructuring status shall be required to prepare a contract for excellence if the school district receives an increase in total foundation aid compared to the base year in an amount that equals or exceeds either fifteen million dollars or ten percent of the amount received in the base year, whichever is less, or receives a supplemental educational improvement plan grant is required to prepare a contract for excellence for the district. …

2.         a. Each contract for excellence shall describe how the sum of the amounts apportioned to the school district in the current year as total foundation aid and as supplemental educational improvement plan grants for the two thousand seven – two thousand eight school year and thereafter, in excess of one hundred three percent of the district's foundation aid base, … shall be used to support new programs and new activities or expand the use of programs and activities demonstrated to improve student achievement. …

Source of Funding for Preschool Program:

Universal Prekindergarten Program

N.Y. Educ. Law. § 3602-e.9

Each year, the commissioner shall determine the maximum allocation that each district would be eligible to receive pursuant to this section in the following school year based on pupil data on file with the commissioner on a date prescribed by the commissioner, and applying the formula specified in subdivision ten of this section. …

N.Y. Educ. Law. § 3602-e.10

Notwithstanding any provision of law to the contrary, for aid payable in the two thousand seven – two thousand eight school year, the grant to each eligible school district for universal prekindergarten aid shall be computed pursuant to this subdivision.

a. Each school district shall be eligible to receive a grant amount equal to the lesser of (i) the sum of its prekindergarten aid base plus the product of its selected aid per prekindergarten pupil multiplied by the number of additional aidable prekindergarten pupils served in the current year, as determined pursuant to regulations of the commissioner, or (ii) the maximum allocation computed pursuant to subdivision nine of this section.

b. For purposes of paragraph a of this subdivision:

(i) "Selected aid per prekindergarten pupil" shall equal the greater of (A) the product of five-tenths and the school district's selected foundation aid for the current year, or (B) the aid per prekindergarten pupil calculated pursuant to this subdivision for the two thousand six – two thousand seven school year, based on data on file for the school aid computer listing produced by the commissioner in support of the enacted budget for the two thousand six – two thousand seven school year and entitled "SA060-7"… 

Scope of Child's Right to Attend Preschool:

 Universal Prekindergarten Program

The purpose of this Subpart is to provide four-year-old children with universal opportunity to access prekindergarten programs. …

N.Y. Educ. Law. § 3602-e.7

In order to receive approval from the commissioner to implement a prekindergarten program, applications and proposals shall demonstrate that the program to be implemented contains, at a minimum, the following components:

            ... i. establishes a method for selection of eligible children to receive prekindergarten program services on a random selection basis where there are more eligible children than can be served in a given school year.

Curriculum Content Standards for Preschool Program:

8 NYCRR § 100.3

(a) Prekindergarten and kindergarten programs in public schools and in voluntarily registered nonpublic schools.

(1) Each such school operating a prekindergarten or kindergarten program shall establish and provide an educational program based on and adapted to the ages, interests and needs of the children. Learning activities in such programs shall include:

(i) development of communication skills and exposure to literature;

(ii) dramatic play, creative art and music activities;

(iii) participation in group projects, discussion and games;

(iv) science and mathematical experiences;

(v) large muscle activities in prekindergarten and instruction in physical education in kindergarten pursuant to section 135.4(c)(2)(i) of this Title; and

(vi) instruction in health education for students in kindergarten pursuant to section 135.3(b) of this Title.

(2) Each such school operating a prekindergarten and/or kindergarten program shall establish and provide an early literacy program based on and adapted to the needs, ages and interests of the students. Elements of early literacy programs shall include, but not be limited to:

(i) use of reading to obtain meaning from print;

(ii) frequent and intensive opportunities to read for learning and for pleasure;

(iii) activities that teach regular spelling-sound relationships;

(iv) learning about the nature of the alphabetic writing system; and

(v) understanding the structure of spoken words ... .

Universal Prekindergarten Program

N.Y. Educ. Law. § 3602-e.7

In order to receive approval from the commissioner to implement a prekindergarten program, applications and proposals shall demonstrate that the program to be implemented contains, at a minimum, the following components:

a. provides for an age and developmentally appropriate curriculum and activities which are learner-centered;

b. provides for an assessment of the development of language, cognitive and social skills;

c. ensures continuity in the program with instruction in the early elementary grades;

d. encourages children to be self-assured and independent;

e. encourages the co-location and integration of children with special needs ... .

N.Y. Educ. Law. § 3602-e.12

The board of regents and the commissioner shall be authorized to adopt regulations to implement the provisions of this section and which shall prescribe uniform quality standards for such prekindergarten programs. … Such regulations shall include but not be limited to:

… b. minimum curriculum standards that ensure that such programs have strong instructional content that is integrated with the school district's instructional program in grades kindergarten though twelve; …

8 NYCRR § 151-1.2

... (b) Developmentally appropriate means early childhood activities that address the stages of each child's cognitive, linguistic, physical, cultural, emotional and social development and are designed to promote each stage of development.

 ... (i) Universal prekindergarten program means a program which provides curriculum and activities which are appropriate to the age level and individual needs of eligible children and which promote cognitive, linguistic, physical, cultural, emotional and social development. Activities shall be learner-centered and shall be designed and provided in a way that promotes the child's total growth and development in all areas including emergent English literacy. Children are encouraged to be self-assured and independent.

8 NYCRR § 151-1.3(a) Curriculum

(1) Each school district operating a prekindergarten program shall adopt and implement curricula, aligned with the State learning standards, that ensures continuity with instruction in the early elementary grades and is integrated with the district's instructional program in kindergarten through grade twelve.

(2) Each school district operating a prekindergarten program shall provide an early literacy and emergent reading program based on effective, evidence-based instructional practices. Essential components of this program shall include:

(i) background knowledge;

(ii) phonological awareness;

(iii) expressive and receptive language;

(iv) vocabulary development; and