Competency 0003 · 16 of Part Two's 26 items

The law, the money, and the timelines.

The biggest selected-response block on the assessment, and the area most study material covers worst. Everything here was checked against NYSED, NYSTCE, federal and NY Senate sources in August 2026 — with links, and with anything unconfirmed marked rather than asserted.

Why this page is the priority Competency 0003 carries 16 of Part Two's 26 selected-response items — the largest single block on either part — and it is the area most study material covers worst. Everything below was verified against NYSED, NYSTCE, federal and NY Senate primary sources in August 2026, with links. Anything that could not be verified is marked unverified rather than asserted.
IDEA & CSEDiscipline of SWDSection 504 FERPATitle I & ESSATitle IX McKinney-VentoDASAAPPR §3020-a§3214 SuspensionCodes & Safety Plans Mandated ReporterNYC & Chancellor's Regs FinanceInternal ControlsCourt Cases Certification

IDEA, the CSE process and NY timelines

IDEA, 20 U.S.C. §1400 et seq. Part C covers birth–age 2; Part B covers ages 3–21. FAPE is special education and related services designed to meet the child's unique needs. LRE means educating with non-disabled peers to the maximum extent appropriate — removal only when education in regular classes with supplementary aids and services cannot be achieved satisfactorily.

TriggerDeadlineCite
District receives a referral10 school days to request parental consent to evaluate or give the parent a copy of the referral plus notice of intent to decline§200.4(a)(2)(iv)
Building administrator receives a referralConference within 10 school days§200.4(a)(9)(iii)(a)
Parental consent receivedInitial individual evaluation completed within 60 days§200.4(b)(1),(b)(7)
Consent to evaluate, student not previously identifiedBoard arranges programs and services within 60 school days§200.4(e)(1),(d)
Referral for review, student already identifiedPrograms and services within 60 school days of referral§200.4(e)(1)
Recommendation is an approved private schoolArrange within 30 school days of the Board receiving the recommendation§200.4(e)(1)
IEP reviewAt least annually§200.4(f)
ReevaluationAt least every 3 years; not more than once a year unless agreed§200.4(b)(4)
The distinction items exploit The evaluation deadline is “60 days.” The arrange-services deadline is “60 school days.” They are different clocks and the exam knows it.

Sources: ed.gov IDEA · 8 NYCRR §200.4 (NYSED)

Discipline of students with disabilities — 8 NYCRR Part 201

Correcting a widely circulated study file SCHOOL LAW CASES.docx says removal of a student with a disability is “only permitted with the parent's permission.” That is not the operative rule. The rule is stay-put + manifestation determination + the 45-school-day IAES authority. Learn it that way.

Sources: §201.4 · §201.7

Section 504 and ADA Title II

Source: OCR Parent & Educator Resource Guide to Section 504

FERPA — 20 U.S.C. §1232g; 34 C.F.R. Part 99

The practice-bank version of this You may discuss a child only with that child's parent — not with a parent-organization president who has no child in the class. Records requested by an out-of-district school require a written request, and special education records require parental consent.

Source: studentprivacy.ed.gov

Title I, Part A and ESSA accountability

ESSA designations in NY: Recognition · Local Support · Targeted Support and Improvement (TSI) · Additional Targeted Support and Improvement (ATSI) · Comprehensive Support and Improvement (CSI).

LevelIndicators
Elementary / middle (5)Weighted Average Achievement · Core Subject Performance · English Language Proficiency · Chronic Absenteeism · Student Growth
High school (6)The above with Graduation Rate replacing Growth, plus Graduation Rate and College, Career and Civic Readiness

Determinations apply to All Students and to each accountability subgroup — racial and ethnic groups, economically disadvantaged students, students with disabilities, and English language learners.

Sources: NYSED Title I Fact Sheet · NYSED ESSA Accountability

Title IX — 20 U.S.C. §1681; 34 C.F.R. Part 106

No person shall, on the basis of sex, be excluded from participation in, denied the benefits of, or subjected to discrimination under any education program receiving federal financial assistance. Covers sex-based harassment, sexual violence, pregnancy discrimination, equal athletic opportunity, discriminatory dress-code enforcement, and retaliation.

Currency point — get this right The 2024 Title IX Rule was vacated nationwide by Tennessee v. Cardona (E.D. Ky., Jan 9, 2025). OCR has announced it enforces Title IX under the 2020 Rule. Any prep material citing the 2024 rule is out of date.

Source: OCR Dear Colleague Letter, Feb 4, 2025

McKinney-Vento — students in temporary housing

Federal: McKinney-Vento Homeless Assistance Act, Subtitle VII-B, reauthorized by Title IX Part A of ESSA. NY: Education Law §3209 and 8 NYCRR §100.2(x).

Source: NYSED McKinney-Vento

DASA — the Dignity for All Students Act

NY Education Law Article 2. This is the statute that drives the cyberbullying performance task in the official Part One sample set — know it operationally, not just by name.

§11 — definitions

§13 — the operational core

ObligationRequirement
Designated recipientIdentify the principal, superintendent or designee as the employee charged with receiving reports, and designate a Dignity Act Coordinator at each school, trained and with name and contact information shared with staff, students and families
Employee oral notificationAny employee who witnesses or receives a report must promptly orally notify the principal, superintendent or designee no later than one school day
Employee written reportFile a written report no later than two school days after the oral notification
InvestigationThe principal, superintendent, designee or DAC must lead or supervise a thorough investigation of all reports and ensure it is completed promptly
Law enforcementNotify promptly the appropriate local law enforcement agency when the conduct is believed to constitute criminal conduct
Reporting upPrincipal reports data and trends regularly to the superintendent; material incidents reported annually to NYSED via the School Safety and Educational Climate (SSEC) collection

Training: all employees receive training on awareness, identifying social patterns, prevention and response, and effects on students (CR 100.2). Certification applicants complete at least six clock hours of DASA training.

unverified Article 2 spans §§10–18. Only §11 and §13 were verified verbatim here; check the others individually before relying on section numbers.

Sources: Ed. Law §11 · §13 · NYSED DASA Information Guide

APPR — Education Law §3012-d (and the new §3012-e)

Currency callout Chapter 143 created Education Law §3012-e — NYS-STEPS (Standards-based Educator Evaluation and Professional Support). It moves to locally designed systems, decouples school leader evaluation from teacher evaluation, requires multiple measures, and requires alignment to the NYS Teaching and Educational Leadership Standards including the Culturally Responsive-Sustaining Education Framework, with a Level 1–4 rating per standard. Districts may continue §3012-d plans through 2031–32, but all must adopt a STEPS plan by June 30, 2032. The exam is likely still keyed to §3012-d and HEDI — know both.

Sources: Ed. Law §3012-d · NYSED Chapter 143 guidance

Education Law §3020-a — tenured teacher discipline

StepRequirement
ChargesFiled in writing between the actual opening and closing of the school year. Generally no charges more than 3 years after the alleged misconduct, except where the conduct would constitute a crime
Probable causeBoard determines by majority vote within 5 days of receiving charges; if found, a written statement of charges, maximum penalty and employee rights is sent by certified mail or personal delivery
Request for hearingEmployee has 10 days from receipt to notify the board. Failure to respond waives the hearing
Hearing officerCommissioner requests a list from the AAA; board and employee have 15 days to mutually select, or the Commissioner appoints
Pre-hearing conferenceWithin 10–15 days of the hearing officer agreeing to serve; typically one day
Final hearingCompleted no later than 60 days after the pre-hearing conference (extendable for extraordinary circumstances)
DecisionWritten decision within 30 days of the last day of hearing (10 days for expedited)
PenaltiesWritten reprimand, fine, suspension without pay for a fixed time, or dismissal; plus remedial measures — leave, continuing education, counseling
AppealApplication to NY State Supreme Court under CPLR §7511 within 10 days of receiving the decision
The building-leader takeaway Your observation write-ups, letters to file and investigation records are the evidentiary record for a §3020-a. Contemporaneous, fact-based, non-retaliatory documentation is the whole game.

Source: Ed. Law §3020-a

Education Law §3214 — student suspension and due process

Principal's suspensionSuperintendent's suspension
Length1–5 school daysMore than 5 days, up to one year or expulsion
Decision-makerPrincipal (also board, trustees, superintendent, district superintendent)Superintendent or Board
ProcessNotice of the charged misconduct; if the pupil denies it, an explanation of the basis; and on request, an informal conference with the principal for the pupil and person in parental relationA fair hearing on reasonable notice, with the right to representation by counsel, the right to question witnesses and to present witnesses and evidence
InstructionFor a pupil of compulsory attendance age, “immediate steps shall be taken for his or her attendance upon instruction elsewhere” (§3214(3)(e))

The short-term process is Goss v. Lopez codified. Note that suspension generally stands pending the hearing, and notice must be in writing.

Source: Ed. Law §3214

Codes of Conduct and School Safety Plans — Project SAVE

§2801 — Code of Conduct

  • Addresses conduct standards, dress code, disciplinary measures, security procedures, teacher removal from class, detention and suspension protocols, disability compliance, law enforcement and parental notification, human services referrals, and minimum suspension periods for disruptive or violent behavior.
  • Developed in collaboration with student, teacher, administrator and parent organizations, school safety personnel and other school personnel, before board adoption.
  • Annual review and update, with at least one public hearing.
  • Summary given to students at a general assembly at the start of the year; copies to parents; a plain-language summary mailed before the start of each school year; filed with the Commissioner within 30 days of adoption.

§2801-a — Safety Plans

  • Two documents: a district-wide school safety plan (public) and building-level emergency response plans (confidential).
  • The district-wide safety team is appointed by the Board. The building-level emergency response team is appointed by the principal and includes law enforcement.
  • Reviewed at least annually. The district-wide plan is available for public comment at least 30 days before adoption, with at least one public hearing.
  • District-wide plan filed with the Commissioner; building-level plans submitted to local law enforcement and the State Police within 30 days of adoption.
  • Building-level plans — including floor plans and blueprints — are confidential and exempt from public disclosure.

Sources: Ed. Law §2801 · §2801-a

Mandated reporter obligations in NY

Sources: NYSED P-12 Mandated Reporter Q&A · SSL §413

NYC governance and Chancellor's Regulations

Article 52-A = §§2590 through 2590-r. Under §2590-h the Chancellor is the superintendent and chief executive officer of the city school district — controlling specialized high schools, special education and city-wide services; establishing and discontinuing schools; setting standards and curricula; appointing community superintendents and principals; and intervening in underperforming schools. Under §2590-e, Community District Education Councils have a role in the community superintendent's employment and submit the superintendent's annual performance evaluation to the Chancellor.

RegTitleWhat a principal needs to know
A-101Admissions, Readmissions, TransfersZoned schools serve zoned resident children first; students may remain through the terminal grade after moving out of zone. Registration requires two proofs of address and proof of age. Children may not be required or asked to present documentation of immigration status, nor denied admission based on it. Safety transfers determined within one week of required documentation.
A-420Corporal Punishment 06/2025Corporal punishment = any act of physical force upon a student for the purpose of punishing that student. Excluded: physical escort, brief contact or redirection to promote safety or calm a student, and restraint to protect from physical injury where no alternative can reasonably be employed. Principal reports all allegations to OSI within one school day; witness statements within two school days; school-based investigation findings to Senior Field Counsel within 30 school days. Interview victims and witnesses separately; give the accused employee 48-hour notice with union representation rights.
A-421Verbal Abuse 06/2025Language that belittles or embarrasses, substantially interferes with performance or well-being, causes fear for physical safety, or reasonably causes emotional harm. Same reporting and investigation timelines as A-420.
A-443Student Discipline Procedures check current versionPrincipal's suspension 1–5 school days. Immediate telephone notification plus written notice within 24 hours; informal conference scheduled within 2 school days. Superintendent's suspension required for weapons use, Category I weapon possession, drug sale or extreme force. Hearing scheduled within 5 school days or the student is reinstated pending rescheduling. No academic penalty; continued instruction — full-time K–8, minimum 2 hours daily for grades 9–12 during a principal's suspension. For students with IEPs the principal determines whether a manifestation determination review is required.
A-655School and District Leadership TeamsSLT and DLT composition, the role in the Comprehensive Educational Plan, and alignment of the school-based budget with the CEP. contents unverified
C-30Selection of Principals and APsLevel I committee: a school or district supervisor, two UFT teachers, one DC 37 support staff member, four to seven parents, a superintendent designee as chair, and one to two students at high schools. The hiring manager selects 3–5 candidates; the committee interviews and completes rating sheets within 60 days. Level II: the hiring manager reviews ratings and makes the final selection. For principals the superintendent must consult with the School Leadership Team and give written notification before announcement. Vacancies should be filled within six months of posting.
Caution on A-443 The full text retrievable is dated 2004. NYC has amended student discipline policy repeatedly since — Discipline Code revisions, restrictions on K–2 suspensions, superintendent-approval requirements. The 5-day / 24-hour / 2-school-day / 5-school-day skeleton tracks §3214 and is stable; the offense categories and approval layers are the parts most likely to have changed. Pull the current version from the NYCPS Chancellor's Regulations index before relying on specifics.

School finance

The three revenue sources

  1. Property tax — generated from the assessed value of the community's worth
  2. State aid to education — formula-driven, designed in theory to equalize per-child revenue
  3. Other — federal aid, unreserved fund balance, tuition payments, interest income

Wealth dynamics: most districts rely heavily on property tax. Low-wealth districts receive proportionately more state aid; high-wealth districts depend more on their own property wealth. That gap is the equity hook the exam pulls on.

Three conceptual frameworks

  • Equality — every per-pupil expenditure receives the same amount to meet the same standards
  • Equity — every per-pupil expenditure receives approximately the same amount to meet approximately the same standards
  • Adequacy — every per-pupil expenditure receives enough to meet basic educational standards

Balanced by law. Expenses cannot legally exceed revenue (deficit, prohibited). Revenue exceeding expenses is a surplus, which becomes fund balance (legal).

The NY budget calendar

April 1NYS fiscal year starts; districts notified about state aid
April 15Board adopts both the proposed budget and a contingency budget
Third Tuesday in MayThe vote. Pass → implement July 1. Fail → re-vote or adopt contingency
Third Tuesday in JuneRe-vote. Fail → adopt contingency budget July 1

NYC is governed differently under Article 52-A.

Structures and vocabulary

  • Three-part budget (the classic NY ballot structure): Administration · Program · Capital
  • Five-part district budget: General Support, Instruction, Transportation, Community Services, Undistributed
  • Zero-based budgeting (build from zero each cycle) vs. program budgeting
  • Fund balance: unreserved is used the following year to offset taxes; reserved is set aside for purposes defined by NYS law
  • TANS (Tax Anticipation Notes) · RANS (Revenue Anticipation Notes) · tax levy · tax certiorari · equalization rates · STAR · combined wealth ratio · Taylor Law · co-mingling
  • Tax rate = levy ÷ assessed valuation × 100 (per $100 of assessed value). True value = assessed value ÷ equalization ratio
  • A tax increase and a budget increase are not the same thing

Internal controls, audits and the Roslyn lesson

This is where Competency 0003's fiscal items actually live — not in formulas, but in whether you know how money gets stolen and what stops it.

Segregation of duties

Purpose: timely detection of fraud and innocent errors. Basic rule: no single person performs processing from beginning to end.

  • The same person cannot accept cash, record the deposit, make the deposit and reconcile the account
  • The requestor cannot be the approver
  • A secondary approver is required over a threshold
  • Bank statements reconciled monthly by someone with no cash receipt or disbursement duties

The internal claims auditor

  • Appointed by and reports directly to the Board
  • Audits each voucher before payment — purchase order, authorization, receiving report, original invoice, clear description of goods or services
  • Determines whether the expenditure is actual and reasonable
  • The treasurer may only pay off an auditor-approved warrant; after checks print, the auditor compares them against the approved warrant report

Audit types: internal and external; financial, operational, compliance, information systems, forensic.

Roslyn — $11.2 million, and every cause is a missing control No segregation of duties. Inadequate policies. A claims auditor and treasurer who did not do their jobs — hand-checks bypassed the claims auditor, no warrants between auditor and treasurer, no check log so gaps in the sequence went undetected. A clerk with access to the signature plate. No Board oversight — the monthly budget status report was not reviewed, and accounts routinely over budget was a missed red flag. No information-systems security — vendor names changed after checks were issued. And no limit on the superintendent's budget transfer authority.

Comptroller Hevesi's 5-Point School Accountability Plan, the response: (1) six hours of training for board members on financial oversight; (2) establish an internal audit function; (3) create an audit committee; (4) mandate a competitive RFP for audit firms at least every five years; (5) improve annual external audits by requiring direct School Board involvement.

Court cases worth knowing

CaseHoldingWhy a building leader cares
Brown v. Board of Education (1954)Overturned Plessy's “separate but equal”; separate educational facilities are inherently unequal. Ended de jure segregationThe baseline for all equity analysis; underlies subgroup accountability and disproportionality review
Swann v. Charlotte-Mecklenburg (1971)Addressed de facto segregation; upheld busing to achieve racial balanceZoning, enrollment and program-access decisions must be examined for segregative effect
New Jersey v. T.L.O., 469 U.S. 325 (1985)School officials may search a student on reasonable suspicion — a lower standard than probable causeThe single most-tested legal rule on this exam. Reasonable suspicion of a violation is the minimum requirement
Goss v. Lopez (1975)Students facing short suspension are owed notice of the charges, an explanation of the evidence, and an opportunity to respondCodified in NY as Education Law §3214(3)(b)(1)
Tinker v. Des Moines (1969)Student speech is protected unless it materially and substantially disrupts school operationThe disruption standard governs dress, symbols and expression questions
Lau v. Nichols (1974)Failing to provide English language instruction to non-English-speaking students denies meaningful access, violating the Civil Rights ActThe foundation of ENL service obligations and of equity claims about ELL programming
Epperson v. Arkansas (1968) · Edwards v. Aguillard (1987)Evolution may not be prohibited, and creationism may not be required as balanceCurriculum content challenges from parents or board members
Mt. Healthy v. Doyle (1977)Even where protected conduct was a motivating factor, no liability if the employer shows it would have taken the same action anywayWhy contemporaneous, fact-based, non-retaliatory documentation protects a personnel action
Three corrections to a widely circulated study file SCHOOL LAW CASES.docx needs three fixes. Its Vernonia entry says random testing of all extracurricular participants is unconstitutional — contradicted by Board of Education v. Earls (2002). Its Honig entry gives “only with the parent's permission,” which is not the rule. And the Lemon test was largely abandoned in Kennedy v. Bremerton (2022). The open question the file raises about off-campus web speech was answered by Mahanoy v. B.L. (2021). unverified Those four cases were not checked against primary sources here — verify before relying on them.

Certification — what has changed

Your note saidStatus
Complete your internshipCorrect — consistent with the registered-program pathway
6-hour DASA class; check TEACHVerified — “at least six clock hours.” Candidates whose NYS program degree date is after Dec 30, 2013 generally completed it in-program
You need EASunverified for SBL The Administrator Certificate decision tree references EAS, but the leadership-exam page lists only the SBL assessment. Confirm in TEACH's “Search Certification Requirements”
Tests 109 and 110Verified. The Revised (Sept 2013) version — 107/108 — was retired as of Sept 2, 2025
Initial is good for 5 yearsVerified
3 years in an admin job for ProfessionalVerified — three years of acceptable educational leadership experience, with mentoring from a certified administrator during the first year
Pay the state to extend 3 years, then retake the testsOut of date. Since Aug 2, 2023, holders may apply for up to two reissuances, each valid five years. Applications cannot be filed more than six months before expiration
The 5 years begins when you fileunverified NYSED ties validity to the certificate's effective date. Verify in TEACH
The structural change to plan around The new Administrator certificate opened for applications Jan 29, 2025. SBL holders are not required to convert and existing SBL, SAS and SDA certificates continue to be recognized. But SBL/SDL program registration ended Feb 1, 2025; all existing SBL/SDL programs discontinue Sept 1, 2030; and you must apply and qualify for an SBL Internship, Initial or Transitional D certificate on or before Jan 1, 2031. Going forward, an educational leader with more than 25% of their assignment in a school- or district-level administrative post must hold the Administrator certificate, and a Superintendent Extension requires the Administrator certificate first — an SBL alone cannot get it.

Sources: NYSED Administrator Certificate · Certificate Reissuance · School Leadership Examinations · SBL Experience Requirements