- The maximum allocation payable can be less than the maximum allocation available to the district.
Are there specific budget forms that need to be submitted throughout the year?
Yes. Each funding stream has a separate project code. All districts running a UPK and/or SUFDPK program must submit an FS-10 for each project code received to the Office of Early Learning when they submit their application. It is strongly encouraged that districts also submit budget amendments (FS-10-A) if there are changes in their budget prior to submitting their final budget expenditures (FS-10-F) to Grants Finance. Failure to submit an amendment could cause the district to be disallowed funding related to finance law. Forms and further guidance can be found at NYSED’s Grants Finance website .
How do we code students served by UPK allocations and SUFDPK grants?
Each September the Office of Early Learning and the Office of Information and Reporting Services releases field memorandums providing "Guidance on Reporting Universal Prekindergarten (UPK) and Statewide Universal Full-Day Prekindergarten (SUFDPK) Children in SIRS." SUFDPK grantees must also submit annual child count reports each spring. School districts' data coordinators refer to their Regional Information Centers (RIC) for additional guidance.
Do districts automatically receive full allocation or grant award funding for State-Administered Prekindergarten programming?
No. Districts must complete annual applications for State-Administered Prekindergarten funding. Allocation and grant payable amounts are based on student enrollment, the number of days of prekindergarten instruction, and submitted FS-10-F Final Expenditure Reports.
Is there a place to see what my maximum allocation or grant payable is based upon student enrollment?
Yes. The State Aid Unit in NYSED allows all districts to run their State Aid Management System (SAMS) output report for State UPK allocation payables. Each district receiving State UPK allocation funding (project numbers starting with 0409) can check their maximum allocation payable by accessing their output reports ; however, federal funding (project numbers starting with 5870) and SUFDPK grant payables (project numbers starting with 0545 and 5875) are not included on these reports. Districts access this data based on actual reported enrollment starting in late March of the current school year. Until that time, districts may use funding/grant calculators provided by the Office of Early Learning to determine projected allocation and grant payables.
What is the length of the project period for the UPK grant?
The project period runs from July 1 – June 30 of each year. For example, for the 2021-2022 school year, the project period will run from July 1, 2021 – June 30, 2022. Districts are encouraged to make sure all budget amendments (FS-10-A) are submitted by May 31st annually.
Our district is receiving new funding for full-day programming from the 2023 enacted budget on top of state-funds we already receive to run a state-funded prekindergarten program. Do we have to convert our existing half-day program to a full-day program with our old allocation?
No. D istricts who have been receiving funding to run state-funded UPK programs for half-day programs do not need to convert those seats to full-day slots. However, any new funding the district is receiving through the 2023 enacted budget requires these slots to be for full-day 4-year-old students.
Our district received addtional UPK funding in the most recent NYS-enacted budget. Are there any specific requirements that must be met?
We are receiving funding for the first time through the 2022 enacted budget and have never run a UPK program before. Are we allowed to run a half-day program for the first year?
No. The funding made available through the 2022 enacted budget is only to support full-day programming for 4-year-old students. Districts are not allowed to convert these full-day seats to half-day seats.
If we serve more students than what our allocation is for, will the district get reimbursed additional funding?
No. Any seats that are filled beyond what has been allocated to the district are at the district’s own expense. A district cannot receive additional funding if they fill more slots than what they are allocated for.
Can a school district use State Universal Prekindergarten funding for four-year-old students to create a program for three-year-old students, or vice versa?
No. State-Administered Prekindergarten funding allocated or awarded for a specific age group must be used for that age group.
Is the district allowed to use all their UPK funding to contract out the entire program to eligible agencies?
Yes. There is nothing that prevents a district from entirely using eligible agencies to run a UPK program. However, the district would still have oversight of the program as the funding is awarded to the district and not the eligible agencies.
How does my school district or agency receive funding?
Grants Finance disperses payments for funding on a predetermined schedule. Such funding is not dispersed until after Grants Finance approves the submitted FS-10 Proposed Budget. Please refer to Grants Finance and Grant Award Notifications (GAN) for additional information.
Approved ExpendituresWhat are allowable costs?
Allowable costs are those items specified as “approved expenditures” in Section 151-1.2(a) of the Commissioner’s Regulations. Such costs include, but are not limited to, program components, professional salaries, professional development, support services, materials and supplies, administrative support services, transportation services, leasing expenses, or other appropriate facilities expenses and other costs approved by the Commissioner.
Can money be used to lease facilities?
Leasing expense is an approved expenditure of UPK funds. Requests for additional clarification may be sent to OEL@nysed.gov.
Can additional children be served in UPK with local funding?
Yes, however, the district should report such children as “other funded” on the Basic Educational Data System (BEDS) report.
Application ProcessHow do we access UPK and SUFDPK applications?
Annual UPK and SUFDPK applications are published on the SED Monitoring & Vendor Performance System (MVPS), which is available on the State Education Department Delegated Account System (SEDDAS) Business Portal. The above link includes the SEDDAS User Guide and instructions for common tasks, including password resets and user entitlement.
How long will it take to receive approval of our UPK application? Are we able to register students prior to approval?
UPK is an allocational grant and is not competitive. Therefore, districts should proceed with developing their UPK plans and getting all components in place including the recruitment, registration, and enrollment of students. Once the UPK application is submitted and reviewed by NYSED’s Office of Early Learning, districts can anticipate receiving notification that their application and budget were approved.
What if more students are registered than there are seats available in the program?
Section 3602-e of Education Law requires that all districts have a random selection process in place if there are more children registered than there are seats available.
Our district has run our UPK program for many years and have not had to use the random selection process. Do we still need to have one in place?
Yes. Section 3602-e of Education Law requires a random selection process be in place. The New York State Education Department’s Office of Early Learning carefully checks during on-site visits or desk reviews of programs if a random selection process is in place regardless if a district had to use it in the current school year.
When will the UPK and SUFDPK applications be available and where can they be found?
Districts will receive notification via the NYS Business Portal (MVPS) when the UPK and SUFDPK applications have been uploaded and can be filled out by the district staff who have access to the applications in the business portal. The district is strongly encouraged to also send the Office of Early Learning a contact information form for their UPK program contacts. The form can be found here and can be emailed to OEL@nysed.gov .
Can two or more school districts submit a joint application to run their UPK program?
Yes. It is allowable for two or more districts to submit a joint application to operate a joint UPK program. The application must identify which district will be the fiscal agent for the joint grant. The partnership agreement specifying the roles and responsibilities of each participating district for implementation and oversight of the program must be included with the application.
Can districts request variances from the UPK requirements?
Yes, however, the Office of Early Learning reviews these on an individual basis. Section 3602-e of Education Law allows districts to request a variance or waiver for some requirements. These includes variances for class size limitations, the 10% set-aside for collaboration with eligible agencies, and to operate a summer-only program. If approved, the variance is only in effect for the school year in which it was approved. The district is required to submit a variance every program year, regardless if a variance was approved in the past.
Eligible ChildWho is eligible to register for UPK?
Section 3602-e of Education Law defines an “eligible child” as a resident child who is four years of age on or before December 1st of the school year in which they are enrolled or who will otherwise be first eligible to enter public school kindergarten commencing with the following school year. For those districts that have State UPK allocational funding for resident children of three years of age, the same policies apply.
- For example, in a district whose cutoff date is December 1st, a child who turns five years of age on November 30 would be eligible for kindergarten, not State-Administered Prekindergarten.
Is UPK participation mandatory?
No. UPK is a voluntary program for both districts and children. Parents and/or caregivers may choose, but are not required, to enroll their child(ren) in a UPK program. However, upon enrollment, the school district’s attendance policy must be applied.
Can a district give preference for enrollment to children who are from families that are Economically Disadvantaged (ED)?
No. Section 3602-e of Education Law requires that school districts must establish a process to select eligible children to receive UPK to receive UPK services on a random basis when there are more eligible children than can be served in a given school year.
What is McKinney-Vento?
The McKinney Vento Act is a federal law that protects the educational rights of students experiencing temporary housing or homelessness.
Does the McKinney-Vento Act cover PreK children?
Yes. The McKinney-Vento Act applies to children and youth aged 21 and under, or under twenty-two years of age for a student with a disability as defined in Education Law § 4401, consistent with their eligibility for public education services under state and federal law.
Do school districts have the responsibility to identify or locate PreK children experiencing temporary housing or homelessness?
Yes. According to federal statute (42 U.S.C. §11432(g)(1)(J)(ii)) every school district must designate a liaison for children and youth experiencing homelessness. To find your district’s McKinney-Vento Liaison, see the Homeless Liaison Contact List found on the New York State Technical and Educational Assistance Center for Homeless Students website.
Is a child experiencing temporary housing or homelessness eligible for PreK?
Yes. The McKinney-Vento Act requires that homeless children have access to public preschool programs, administered by the State educational agency or local educational agency, as provided to other children in the State. Eligibility for UPK is based on age and residency (Education Law §3602-e). To register for PreK, an eligible child is one who is four-years-old on or before December 1st of the school year in which they are enrolled or who will otherwise be first eligible to enter public school kindergarten the next school year. For a preschool child experiencing homelessness, the child would be eligible to attend either a preschool program close to where they are temporarily living or their school of origin, which is the school they attended before losing their housing or the school where they were last enrolled.
Is a child experiencing temporary housing or homelessness given priority for a UPK seat over other eligible children?
No. The McKinney-Vento Act mandates that preschool children experiencing homelessness have the same access to public preschool programs, as is provided to permanently housed children. Thus, to ensure equal access to prekindergarten for all students, including students experiencing temporary housing or homelessness, Education Law §3602-e (7)(i) and Commissioner's Regulations (8 NYCRR) §151-4 require all school districts to establish a method for random selection of eligible children to receive prekindergarten programming to be utilized where there are more eligible children than can be served in a given school year.
Should PreK seats be held for children experiencing temporary housing or homelessness?
No. Education Law §3602-e (7)(i) and Commissioner's Regulations (8 NYCRR) § 151-4 both ensure universal access; therefore, districts cannot reserve slots or adjust lottery results to accommodate any specific student demographic (e.g., students with disabilities, new immigrants, those in temporary housing, etc.).
What should be done if a child experiencing temporary housing or homelessness becomes known to the district, but there are no seats available?
Depending on when an eligible child experiencing temporary housing or homelessness enrolls for PreK, one of the following may occur:
- If the lottery has yet to be conducted, the eligible student should be entered into the lottery with all of the other students seeking a prekindergarten seat in the district.
- If the lottery has already been completed and all seats are filled, the student can either:
- be added to the waitlist, or
- the district can request a class size waiver to accommodate the student.
When can a district submit a class size waiver to accommodate a child experiencing temporary housing or is homeless?
When a district becomes aware of a child experiencing a temporary living situation or homelessness at any point in the year, they may submit a request to the New York State Education Department’s (NYSED) OEL to exceed the approved class size by one or two additional students when a class has reached a maximum of 20 students (8 NYCRR § 151-1.5(b)(7)(ii)). Requests can be submitted via OEL@nysed.gov.
Compulsory EducationWhat is the age requirement for compulsory education?
As part of Education Law, all children between the ages of 6 and 16 must attend school . Therefore, prekindergarten is not considered compulsory education.
Our district has a standalone early learning center that includes prekindergarten and kindergarten . Are there any additional requirements for buildings who do not serve students of compulsory age?
No. Standalone early learning centers that are operated by a public school district have no additional requirements beyond following the normal registration process with NYSED. Assembly Bill A7176A/S6415 provides that a kindergarten or a pre-kindergarten operated by a public school disrict shall not be considered a child day care if the kindergarten or pre-kindergarten is not located on the premises or campus where the elementary or secondary education is provided.
Are there any cases where an early learning center operated by a Community-Based Organization (CBO, non-district) does not have to be licensed by OCFS?
Yes. If the program operates for less than 3 hours a day or for less than 15 hours a week, it is not required to be licensed. A building also does not need to be licensed if there are students of compulsory education in the building, or if it shares the same physical address with a building or campus that serves students of compulsory age. Nonpublic schools must refer to guidance provided by the State Office of Religious and Independent Schools (SORIS).
Collaboration Requirement and ProcessAdditional information about the Collaboration Requirement and Process can be found on
What is an eligible agency?
“Eligible agencies”, as defined in 8 NYCRR 151-1.2(b) are a provider of child care and early education, a day care provider, early childhood program or center or community-based organization (CBO) including, but not limited to, an approved preschool special education program, Head Start, nursery schools, libraries, and museums which meet the standards and requirements of Subpart 151-1.
Do eligible agencies have to be located within the school district’s boundaries?
For the purpose of the NYS UPK program, it is allowable for participating school districts to contract with eligible early childhood providers physically located within or outside of the district’s geographic boundaries, assuming the process for establishing a collaboration is followed and the eligible agency is located in a contiguous district or otherwise transportation to and from the child’s home to the eligible agency does not impose a hardship for the child, the family, or the district.
How do we know what eligible agencies are in our school district’s boundaries?
The Office of Children and Family Services has a list of licensed providers on their website. Districts can search for providers by school district boundaries. Districts must send out a Request for Proposal (RFP) to all eligible agencies located within their district boundaries.
What is the collaboration requirement for UPK and SUFDPK programs?
Education Law 3602-e requires that districts use at least 10% of their total UPK allocation and SUFDPK grant, not just the budget or allocation payable, to contract with one or more eligible agencies for the provision of the instructional program for a specified number of enrolled children. Districts must undertake a competitive process as outlined in 8 NYCRR 151-1.6 in the selection of their contracted agencies.
The 10% minimum set-aside is calculated from the maximum grant award and/or allocation – not from the district’s proposed budget. For example, if a district has been awarded $360,000, it’s minimum 10% set-aside is $36,000. If the district opts to spend only $200,000, its minimum 10% set-aside remains at $36,000 (not $20,000).
When is a school district eligible to submit a variance request for the 10% collaboration requirement?
Districts cannot submit a variance request for the 10% collaboration requirement until after they have completed a required competitive RFP process for all eligible agencies within district boundaries annually. A district can apply for a variance request for the 10% collaboration requirement for the current school year if: (1) no eligible agencies are willing to collaborate, (2) there are no eligible agencies located within the district’s boundaries, or (3) there is good cause for not contracting with any eligible agency who has submitted an RFP. Approval is not guaranteed. If approved, the variance is only in effect for the school year in which it was approved.
What constitutes as a “good cause” reason for a district not to collaborate with an eligible agency who has submitted an RFP?
There are several “good cause” reasons as to why a district can choose not to partner with an eligible agency who has submitted an RFP. Those “good cause” reasons include: (1) the eligible agency has health and safety violations, (2) on-site director(s) at the eligible agency are not willing to develop a 5-year plan towards obtaining early childhood education certification, (3) the district would have fiscal solvency issues due to the collaboration, (4) the eligible agency is a new provider without a record of program effectiveness or fiscal solvency, or (5) the eligible agency has continued to not meet the terms of prior contracts with the district.
Is there a set per pupil rate that the district gives their eligible agencies?
No. As part of the RFP process, any eligible agency who is interested in running a UPK program should be submitting to the district a budget of what it would cost to run a high-quality UPK program at their agency.
Am I required to give more than 10% of the UPK allocation to eligible agencies?
No. A district is not required to go beyond the 10% minimum set-aside to partner with eligible agencies. However, the district should keep in mind that these are district children attending the programs and should be receiving the same high-quality UPK program regardless if they attend UPK in-district or at an eligible agency.
How do districts select collaborating agencies?
Districts must select the eligible agencies with which it will collaborate through a competitive process. Section 151-1.6 of Commissioner’s Regulations explicitly describes the process for issuing an RFP as well as the criteria to consider for selecting which eligible agency or agencies will receive funds from the district to provide the UPK program.
Does a school district have to conduct a competitive process every year?
After the implementation of the initial competitive process and the selection of an eligible agency or agencies to provide the program, districts must develop a purchase of service contract with such agencies. Contracts may be of varying lengths depending on the arrangements established between the agency and the district. It is imperative the district’s attorney or legal team ensures the contract is valid and that districts have clauses for discontinuing or extending a contract. The Office of Early Learning has every right to ask the district for its contracts with eligible agencies.
We currently contract with six eligible agencies. This year the district is receiving increased funding for UPK. Do we have to issue the RFP for the additional funds?
There is not a clear-cut answer to this question. While a district may be happy with their current providers, there also may be eligible agencies in the community that would like the opportunity to participate in the UPK program. In addition, the district should take into consideration the capacity of the current providers to serve additional UPK children and be in continued compliance with Commissioner’s Regulations 8 NYCRR 151-1. Districts should also consider other factors such as the ease with which families can use the current providers and whether there are unserved areas of the district.
Is there a form available to use in the monitoring and oversight of collaborating partners?
NYSED recommends the use of the Health and Safety Checklist.
