TEACHER INCENTIVE FUND (TIF)

PERFORMANCE REPORT 

SUBMISSION GUIDANCE

Fiscal Year (FY) 2014

Reporting Period October 1, 2013 – May 31, 2014

FY 2014

U.S. Department of Education

Office of Elementary and Secondary Education

Academic Improvement and Teacher Quality Programs
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Table of Contents

Purpose of the Interim Performance Report....................................................................................3

Interim and Annual Performance Report......................................................................................... 4

Submission and Due Dates ...............................................................................................................4

Grant Performance Report Cover Sheet........................................................................................... 4

Part 1: Executive Summary ...............................................................................................................7

Part 2: TIF Program Performance Objectives Information And Related Performance Measures 

Data...................................................................................................................................................8

GPRA Indicators............................................................................................................................ 8

Instructions by question in Part 2.................................................................................................9

Part 3: Budget Information ............................................................................................................13

Instructions by question in Part 3............................................................................................... 13

Part 4: Individual Project Objectives and Measures......................................................................18

Part 5: Additional Information.......................................................................................................19

Appendix A: Definitions.............................................................................................................21

Appendix B: General Grantee Fiscal Responsibilities................................................................ 23

Appendix C: Example Budget Narrative.....................................................................................24

Appendix D: Individual Project Objectives and Measures Example...........................................26
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PURPOSE	OF	THE	PERFORMANCE	REPORT

Recipients of multi-year discretionary grants must submit an annual performance report (APR)

for each year funding has been approved. The interim performance report (IPR) also assists the 

U.S. Department of Education (ED) by providing your ED Program Officer with performance and 

financial data before the start of the next program year. This guidance is intended to assist you 

in completing the interim and annual performance reports and to help you understand the 

reporting process. Beginning in FY14, the interim and annual performance reports include a 

section for TIF program measures and objectives. These measures and objectives are the same 

for each grant. Part 4 of the report allows for the grantee to report on their individual project

measures and objectives. The measures and objectives in Part 2 and Part 4 will help ED 

determine whether grants have made substantial progress.

Substantial progress: Your ED Program Officer will review your interim and annual performance 

report to determine whether you have made substantial progress during this performance 

reporting period. This review determines:

 continued funding

 whether it is necessary to place any special conditions on your grant

 whether it is necessary to place your organization on "high-risk" status 

 whether it is necessary to provide stricter monitoring protocols

Substantial progress is measured in two ways: (1) Programmatic, and (2) Fiscal. ED must be able 

to justify continued funding by determining substantial progress and sound management in both 

programmatic and fiscal aspects of the project. 

Programmatic progress is shown by completing tasks on time, meeting project goals, and 

submitting required information in a timely manner. Your interim performance report contains

information derived from ongoing monitoring activities to provide this information for review. 

Fiscal progress is of equal importance. You need to show progress by:

 drawing down funds in a timely manner in accordance with your approved budget and 

expenses1

 providing evidence of your committed contribution of non-TIF funds

 providing evidence of a current OMB A133 audit, if applicable

 

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Each TIF grantee must draw down funds in accordance with cash management principles. These cash management principles 

and other fiscal management requirements are found in the Education Department General Administrative Regulations (EDGAR). 

Please be sure you are familiar with these regulations, including section 80.20-80.26, 80.40(a) (applicable to state and local 

government grantees) and sections 74.20 through 74.28 (applicable to institutions of higher education and non-profit grantees). 
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 providing a narrative explaining your budget, including the reason for any changes 

INTERIM	AND	ANNUAL	PERFORMANCE	REPORT

SUBMISSION	AND	DUE	DATES

2010 TIF Grantees (TIF 3) and 2012 TIF Grantees (TIF 4) will submit the interim and annual 

performance reports using the new TIF web-based reporting system. Grantees can access the 

system at www.__________________. Instructions for how to access and submit the interim 

and annual reports via the TIF web-based reporting system are at www._______________. If 

you need technical assistance with the TIF performance reporting system, you can contact 

____________ at ______________. 

DUE DATES AND REPORTING PERIODS FOR THE FY2014 INTERIM AND ANNUAL PERFORMANCE 

REPORTS:

 

Interim Performance Report: The interim report is due July 1, 2014, and will provide 

programmatic and fiscal data from October 1, 2013 – May 31, 2014. 

Annual Performance Report: The annual report is due January 17, 2015 and will provide 

an update to programmatic and fiscal data from October 1, 2013 – September 30, 2014

(the entire year 1 reporting period).

The Interim and Annual Performance Reports include: 

Grant Performance Report Cover Sheet 

Part 1: Executive Summary

Part 2: TIF Program Objectives and Related Measures

Part 3: Budget Information

Budget Forms

Budget Narratives

Part 4: Individual Project Objectives and Measures

Part 5: Additional Information

Grantees can find definitions for some of the terms in this guidance in Appendix A: Definitions. 

NOTE: Information submitted for the Interim Performance Report will be retained in the TIF 

web-based reporting system and will be available to update for the Annual Performance Report. 

GRANT	PERFORMANCE	REPORT	COVER	SHEET
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When completing the cover sheet, grantees should read and follow the below instructions and 

provide complete information for all parts.

TIF 3 or TIF 4 Grantee: You will indicate whether you are a TIF 3 Grantee (a grantee that 

received a TIF grant award in FY2010), or TIF 4 Grantee (a grantee that received a TIF grant 

award in FY2012), by checking either the TIF 3 Grantee or TIF 4 Grantee box. 

1. PR/Award #: Your PR/Award Number can be found in Block 2, Award Information, of any 

of your Grant Award Notifications (GAN) for your TIF grant. For TIF 3 Grantees the 

PR/Award Number will start with S374A10_ _ _ _ and for TIF 4 grants the PR/Award 

Number will start with S374A12_ _ _ _. 

2. Grantee NCES ID #: Please enter the current National Center for Education Statistics 

(NCES) ID number of the grantee. Grantees that are State Educational Agencies (SEA) 

should enter their state's FIPS (Federal Information Processing Standards) code in item 2. 

Item 2 only applies to grantees that are Institutions of Higher Education (IHE), SEAs, Local 

Educational Agencies (LEA), public libraries, and public, charter, and private elementary 

or secondary schools. Leave blank, if this item is not applicable. 

Please go to the applicable website listed below to obtain the grantee’s NCES ID number 

or FIPS code. Depending on your organization type, this number will range from 2 to 12 

numeric digits.

 IHEs (IPEDS ID); Public Libraries (Library ID); and Public, Charter and Private Schools 

(NCES School ID): http://nces.ed.gov/globallocator

 LEAs (NCES District ID): http://nces.ed.gov/ccd/districtsearch/

 SEAs (FIPS code): To obtain your state's FIPS code, please search on any public school 

district in your state at: http://nces.ed.gov/ccd/districtsearch/. The FIPS code is the 

first two digits of the NCES District ID number for any public school district in a state. 

Note: Newly established organizations that do not have an NCES ID number yet should 

leave item 2 blank. However, once the organization's NCES ID number has been 

established, it must be entered on all future submissions.

3. Project Title: Please enter the title of your TIF project. The title may or may not be 

different than the grantee name. 

4. Grantee Name: Please enter the name of the grant recipient. This should be the same 

as the name in Block 1, Recipient Name, of your GAN. 

5. Grantee Address: Enter the address for the grant. This should be the same address as 

the address in Block 1, Recipient Name, of your GAN. If the address has changed, notify 

your U.S. Department of Education (ED) Program Officer and submit the new address in 

Part 5: Additional Information. 
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6. Project Director Name: Please enter the name, phone number, and email address of 

your approved Project Director listed in Block 3 of your GAN. Please note, that changing 

the approved Project Director requires prior approval from ED and may only be 

requested for a grant whose performance period has not ended. See instructions under 

Part 5 (Additional Information) for requesting a change to the Project Director with the 

performance report.

7. Reporting Period: 

 Interim Performance Report: October 1, 2013 – May 31, 2014. 

 Annual Performance Report: October 1, 2013 – September 30, 2014 (the entire 

year 1 reporting period). 

8. Human Subjects (Annual Institutional Review Board (IRB) Certificate): Annual IRB 

certification is required if Attachment HS1, Continuing IRB Reviews, was attached to your 

first GAN provided when you received your grant award. Check "yes" if annual IRB 

certification is required and attached to the performance report as instructed in 

Attachment HS1. Check "no" if annual IRB Certification is required by Attachment HS1, 

but is not attached to the performance report. Please indicate the reason why the IRB 

certification is not attached (e.g., the research has been completed) under Part 5

(Additional Information) of the Project Status Chart. Check "N/A" if annual IRB 

certification does not apply to your grant (i.e., no human subjects research is being 

conducted under this grant or Attachment HSI was not attached to the GAN.)

9. Performance Measures Status and Certification: Please check “yes” or “no” in item 9a. 

to indicate whether complete data (i.e., all of the data that you anticipate will be 

collected) on performance measures for the current budget period are included in this 

report in Part 2 and Part 4 of the performance report. If no, please indicate in item 9b. 

the date when the information will be available and submitted to ED. Complete data 

must be submitted for any performance measures established by ED for the grant 

program and for any individual project performance measures that were included in your 

approved application. 

If complete data on performance measures for the entire current budget period have not 

been obtained when you submit the performance report, please submit available data 

for the budget period to date with this report, unless instructed otherwise by your 

program office. Complete performance measures data for the current budget period 

should be submitted by the date you indicated in item 9b. 

Note: Your program office will inform you of the final date by which performance 

measures data must be submitted to the Department for this program. 
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10. Certification: The grantee’s authorized representative must sign the certification for the 

performance report. If the grantee has any known internal control weaknesses 

concerning data quality (as disclosed through audits or other reviews), this information 

must be disclosed under Part 5 (Additional Information) as well as the remedies taken to 

ensure the accuracy, reliability, and completeness of the data.

PART	1: EXECUTIVE SUMMARY

Under the Executive Summary, you will provide a one to two page summary of the progress you 

have made over the reporting period. The Executive Summary is very important because in 

many cases, you may not have data to report on your TIF program measures. As such, the 

Executive Summary is the place where you should detail the progress you have made during the 

performance period. We will carefully review the information provided in this section to help 

make decisions regarding substantial progress. 

TIF 3 Grantees—The summary should include information on the following:

1. Question 1

2. Question 2

3. Question 3

4. Etc. 

TIF 4 Grantees—The summary should include information on the following: 

[These questions will be updated each year. Here is a sample list of questions]

1. If the project is still in the process of designing the evaluation system and PBCS or if it is 

in full implementation.

2. Which elements of the project are being implemented/which elements are being 

developed.

3. Any delays or challenges in implementation.

4. The status and number of schools using the official LEA-wide human capital management 

system.

5. The impact of the HCMS on human capital management decisions and professional 

development.

6. If applicable, the total number of schools that participated in the performance-based 

compensation for teachers.

7. If applicable, the total number of schools that participated in the performance-based 

compensation for principals.

8. If applicable, the total number of teachers/principals that received a PBCS bonus/salary 

increases.

9. If applicable, the total amount of TIF incentives paid to teachers/principals.

10. The extent to which the expected targets and performance measures were achieved.
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PART	2: TIF PROGRAM PERFORMANCE	OBJECTIVES	INFORMATION	AND	

RELATED	PERFORMANCE	MEASURES	DATA

Part 2 is where you will report on the progress you have made in meeting TIF program

performance objectives and the related performance measures. This section will include the TIF

program performance objectives, established under the Government Performance and Results 

Act (GPRA), also called the “GPRA Indicators”. You will also report on other measures related to 

TIF program objectives. 

GPRA INDICATORS

The TIF 3 program has two GPRA indicators and the TIF 4 program has four indicators. Part 2 

contains the format for reporting data on these indicators and related measures. The measures 

for the GPRA indicators are set forth in the tables below:

TIF 3 Grantees—GPRA Indicators 

GPRA Measure #1

Changes in LEA personnel deployment practices, as measured by changes over time in the 

percentage of teachers and principals in high-need schools who have a record of 

effectiveness.

GPRA Measure #2

Changes in teacher and principal compensation systems in participating LEAs, as measured 

by the percentage of a district’s personnel budget that is used for performance-related 

payments to effective (as measured by student achievement gains) teachers and principals.

TIF 4 Grantees—GPRA Indicators

GPRA Measure #1

The number of teachers and principals, who are rated at the highest level, at least effective, 

and not effective, as measured by the district’s evaluation system and the number who are 

not rated.
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GPRA Measure #2 

The number of teachers teaching in a high-need field or subject, such as teaching English 

learners, students with disabilities, or STEM, who are rated at the highest level, at least 

effective, and not effective, as measured by the district’s evaluation system and the number 

who are not rated.

GPRA Measure #3

The number of teachers and principals who were rated at the highest level, at least effective, 

and not effective, as measured by the district’s evaluation system, and the number who 

were not rated, in the previous year and who returned to serve in the same high-need school 

in the LEA. 

GPRA Measure #4

The number of school districts participating in a TIF grant that use educator evaluation 

systems to inform the following human capital decisions: recruitment; hiring; placement; 

retention; dismissal; professional development; tenure; promotion; or all of the above.

INSTRUCTIONS	BY	QUESTION	IN	PART	2

Part 2 consists of 15 questions. Both TIF 3 and TIF 4 grantees should complete this part by 

following the instructions provided for each item. Note that the instructions will vary by item 

and that some require you to write a narrative explaining your answer to preceding questions. If 

information varies by LEA or district, information must be completed for each district or LEA 

participating in the grant. [Will add instructions on how to do this once website design is

complete.]

QUESTIONS	1-3, 6, AND	7

 Communicating with and Engaging Stakeholders; Data Management System; and 

Professional Development Processes; Description of Student Growth Measures; and 

Description of Observation Measures—please provide a narrative or numeric response 

to each question. There is no character limit, and you should answer each question as 

thoroughly and concisely as needed to fully answer each question. In some cases, there 

are multiple questions in each cell of the table. Please ensure that you answer all of the 

questions in each cell. 

QUESTION	4
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 Human Capital Management – all grantees must complete this question. While this is 

most relevant to TIF 4, we are also collecting this information for TIF 3 grantees. This 

question collects data relevant to GPRA measure #4 for TIF 4 grantees: Changes in LEA 

human capital management practices, as measured by the number of school districts 

participating in a TIF grant that use educator evaluation systems to inform the following 

human capital decisions: recruitment, hiring, placement, retention, dismissal, tenure, 

promotion, professional development, or all of the above. 

QUESTION	5

 Description of Evaluation Measures – please provide the weight assigned to each 

measure and a detailed description of each measure used in your evaluation system(s). 

For example, if you use classroom level value-added data based on performance from 

state assessments to comprise 50% of the evaluation for reading and math teachers, you 

would put 50% in the Percentage Weight cell in the Student Growth Measure column 

and provide a detailed description about what type of assessment(s) and data are used 

and what group of teachers are assessed. If there are a group of teachers that are 

assessed using different assessments or data, such as teachers of non-tested 

subjects/grades who are assessed using student learning objectives, you can add these 

additional measures in an Other Measure column. If you have a teacher evaluation 

system and principal evaluation system that are different, please fill out a chart in 

question 5 for each system. 

QUESTIONS	8 AND	9

 Teacher & Principal Evaluation Systems—please place a check mark in the appropriate

column for each measure you include in your teacher and principal evaluation systems. 

The columns indicate whether your grant uses the measure for all eligible teachers or 

principals or some eligible teachers or principals. No check mark indicates that you do 

not use the measure at all. 

QUESTION	10

 Description of Evaluation System – please describe your teacher and principal evaluation 

systems by providing the narrative. Then, describe the performance categories, how 

many levels you include, and how they are labeled (e.g. proficient, needs improvement, 

etc.) by completing the chart in the performance report. Indicate how many levels you 

include in your evaluation system and how these levels are labeled (where #1 represents 

the lowest category), and how they align with the TIF categories by checking the Not 

Effective, At Least Effective, and at the Highest Level boxes. For instance, if your 

educator evaluation system(s) has five levels of effectiveness, type in the label of those 

levels from lowest to highest level of effectiveness, and check which box of the TIF 

categories aligns to the categories in your evaluation system(s). More than one of your 

levels may be categorized at Not Effective, At Least Effective, or at the Highest Level. If 

you have different teacher and principal evaluation systems, fill out a chart for each 

system.
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o TIF 3 Grantees: If you have fewer than three levels of effectiveness, indicate how 

your categories align with Not Effective and At Least Effective. 

(Note: All questions from this point will ask you to report your responses in terms of

what you’ve indicated in this chart about how your categories align with the TIF 

categories.)

QUESTION 11

 Type of Performance Rating – please indicate whether or not you have a composite 

measure (or score) generated from your evaluation system(s). 

QUESTION 12

 Performance Rating – for the current reporting year (see definition for current reporting 

period in Appendix A: Definitions), please provide the total number of teachers and 

principals within each aggregate performance category not effective, at least effective, 

or at the highest level. Note that you will only complete the “overall performance 

rating” evaluation table (12a) if answered yes that your evaluation system includes a 

final composite evaluation score. Use the categories that you’ve indicated align to your 

categories in Question 10. If each measure has a distinct rating, then please complete 

Tables 12b-12d.

TIF 3 grantees: 

o Question 12 collects data relevant to GPRA measure #1 for TIF 3 grantees: 

Changes in LEA personnel deployment practices, as measured by changes over 

time in the percentage of teachers and principals in high-need schools who have 

a record of effectiveness.

o Question 12a – Overall Performance Rating– will only be completed if your 

evaluation system includes a final composite evaluation score. If each measure 

has a distinct rating, then please include the number of teachers and principals 

who fall into each category for each measure in the system (in 12b, 12c, and 

12d). Please fill out a chart for each additional measure. 

TIF 4 grantees: 

o Question 12 collects data relevant to GPRA measure #1 for TIF 4 grantees: 

Changes in LEA personnel deployment practices, as measured by changes over 

time in the number of teachers and principals who are rated at the highest level, 

at least effective, and not effective, as measured by the district's evaluation 

system and the number who are not rated. 

o Question 12a – Overall Performance Measure - Use the categories that you’ve 

indicated align to your categories in Question 10. TIF 4 grantees do not have to 

complete Questions 12b, 12c, or 12d, unless the appropriate data is available.

QUESTION	13
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 Performance Ratings for Newly Hired Teachers and Principals – please provide the 

number of newly hired teachers and principals rated as not effective, at least effective, 

or at the highest level of effectiveness in the current reporting year. Use the categories 

that you’ve indicated align to your categories in Question 10. For the purposes of the

performance report, newly hired is defined as any teacher or principal working in the 

current reporting period hired within the past three school years.

TIF 3 grantees: 

o Question 13a – “Overall Performance Rating” – will only be completed if your 

evaluation system includes a final composite evaluation score. If each measure 

has a distinct rating, then please include the number of teachers and principals 

who fall into each category for each measure in the system (in 13b, 13c, and 

13d). Please fill out a chart for each additional measure.

TIF 4 grantees: 

o Complete 13a. Use the categories that you’ve indicated align to your categories 

in Question 10. TIF 4 grantees do not have to complete questions 13b, 13c, or 

13d, unless you have the appropriate data.

 TIF 3 grantees do not complete Questions 14 and 15. 

QUESTION	14

 Performance Ratings for Teachers & Principals Retained in the Same School—TIF 4 

grantees must provide the number of teachers and principals who were not effective, at 

least effective, or at the highest level in the last reporting period (see definition for last 

reporting period in Appendix A: Definitions) who were retained in the same school for 

the current school year. Use the categories that you’ve indicated align to your categories 

in Question 10. Please fill out a chart for each additional measure.

Question 14 collects data relevant to GPRA measure #3 for TIF 4 grantees: Changes in 

retention of highly effective teachers, as measured by the number of teachers and 

principals who were rated at the not effective, at least effective, or at the highest level, 

as measured by the district's evaluation system, and the number who were not rated, in 

the previous year and who returned to serve in the same high-need school in the LEA.

QUESTION	15

 Performance Ratings for Teachers of High-Need Subjects – Based on data from the 

current reporting period (see Appendix A: Definitions), TIF 4 grantees must provide the 

number of teachers and principals who fell into each performance category and taught in 

a high-need subject. For this survey, high-need subjects are Science, Technology, 

Engineering, and Math (STEM); courses for students with disabilities (SWDs); and courses 

for English language learners (ELL). Only 15a is required. If you have information for 

15b-d, then you can complete these tables as well.
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Question 15 collects data relevant to GPRA measure #2 for TIF 4 grantees: Changes in 

teacher effectiveness in high-need areas, as measured by changes over time in the 

number of teachers teaching in a high-need field or subject, such as teaching English 

learners, students with disabilities, or STEM, who are rated at the highest level, at least 

effective, and not effective, as measured by the district's evaluation system and the 

number who are not rated. Use the categories that you’ve indicated align to your

categories in Question 8. 

PART	3: BUDGET	INFORMATION	

Part 3 consists of nine questions all related to the project budget during the reporting period. In 

this part you will need to report more specifically on the funds expended during the reporting 

period. Additionally, you must provide an explanation if you did not expend the funds at the 

rate expected during the reporting period and describe any changes to your budget that 

affected your ability to achieve your approved project activities or objectives in the budget 

narrative. Finally, TIF 3 Grantees must report on your required increasing share of performancebased compensation payments and any other match/in-kind contributions that you included in 

your approved application. Appendix B shows your fiscal responsibilities as provided in EDGAR.

INSTRUCTIONS	BY	QUESTION	IN	PART	3

QUESTION	16A

 Current Year Budget Expenditures - This table should reflect current year actual and 

anticipated budget expenditures.

For the current performance period (see Appendix A: Definitions) budget, use the 

approved current year amount from your 524 Section A (budget) form. Note: In the 

example below, there are a significant amount of personnel and fringe costs being 

carried over into the next project year. These are largely the current year performancebased incentive payouts, which will be awarded during the fall of 2014. TIF 3 current year 

for this report is Year 4 and TIF 4 current year budget is Year 2. The current year budget 

column should align with your most recently-approved budget.

EXAMPLE
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Cost 

Categories

Current Year 

Budget

Expended 

through 

5/31/14

Anticipated 

additional 

expenditures 

from 6/01/14 

– 9/30/14

Unexpended 

Funds

Funds carried 

over into next 

project year

Personnel $4,000,000 $1,066,664 $33,336 $1,300,000 $1,600,000 

Fringe 

Benefits $1,380,000 $22,999 $11,501 $793,500 $552,000 

34.50%

Travel $16,000 $7,598 $4,500 $0 $3,902 

Equipment $9,000 $9,000 $0 $0 $0 

Supplies $4,200 $6,308 $0 $0 ($2,108)

Contractual $790,000 $114,777 $475,000 $100,000 $100,223 

Other * $340,000 $120,000 $220,000 $0 $0 

Subtotal 

Direct Costs $6,539,200 $1,347,346 $744,337 $2,193,500 $2,254,017 

Indirect Costs $523,136 $107,788 $59,547 $175,480 $180,321 

8.00%

TOTAL $7,062,336 $1,455,134 $803,884 $2,368,980 $2,434,338 

QUESTION	16B

 Budget Narrative – Please clearly explain all expenditures for each line item in detail as 

well as explanations for unspent funds. A sample budget narrative can be found in 

Appendix C: Sample Budget Narrative. In regard to the current year performance-based 

incentives, clearly indicate the amount of funds you expect to spend on such payments 

during the 2013-2014 school year. Provide a brief description to distinguish between 

funds committed for the increasing share of performance-based payments and other 

match costs. 

QUESTION	17

 Expenditures on Performance Awards by Funding Source - This table requires data on 

funds expended on performance-based awards paid out during the current reporting 

year. You should not report on performance-based awards earned during the reporting 
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year, but paid out in the following reporting year. As such, this table will include lagging 

data, as most grantees will be reporting on performance-based awards paid out during 

the reporting year (2013-14) for performance based on the previous (2012-13) school 

year. 

QUESTION	18

 Performance-Based Payouts - This table should reflect any funds for incentive payments 

that were paid with TIF funds in Year 3 (October 1, 2012 – September 30, 2013). 

EXAMPLE

Cost Category Initially budgeted year 3 

performance-based payment 

expenditures

Actual Year 3 performance-based 

payment expenditures 

Personnel $1,050,000.00 $1,000,000.00

Fringe

(34.5%)

$362,250.00 $345,000.00

Total Costs $1,412,250.00 $1,345,000.00

QUESTION	19

 Increasing Share of Non-TIF Performance Based Compensation - This table is for TIF 3 

only. It should reflect the increasing share contributions of Year 3 incentives. TIF 3 

Grantees that used TIF funds to make performance-based pay incentives in Year 3 must 

report the actual amount (and percentage) of non-TIF funds included in these payments 

(i.e., the increasing share of non-TIF funds). Total incentive payments awarded amount 

does not include indirect costs. 

EXAMPLE

Total Incentive Payments Awarded 

(Year 3)

Total Non-TIF Funds Used 

(Year 3) 

Increasing Share for Year 3

$1,345,000.00 $134,500.00 10%

QUESTION	20

 Additional Cost Share/Matching Cost - This table should reflect any actual current year 

matching costs, except for increasing share costs (applicable to TIF 3 only).
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QUESTION	21

 TIF 3 National Evaluation Grantees Break-Out of “Other” Funds - This table is for TIF 3 

grantees participating in the National Evaluation only. Grantees participating in the 

National Evaluation were given an extra $250,000 per pair of schools participating in the 

national evaluation. At the time of application, grantees budgeted for these costs under 

the “Other” budget category. We need to track how these evaluation funds are being 

spent according to the ED 524 cost categories. Please report on actual expenditures per 

these categories through 5/31/14. 

EXAMPLE

Cost Categories Year 3 Budget Funds Expended Through 

5/31/14

Personnel $99,872 $93,200 

Fringe Benefits $34,455 $32,154 

34.50%

Travel $1,250 $1,120 

Equipment $3,495 $3,450 

Supplies $560 $550 

Contractual $79,000 $77,955 

Other $11,600 $9,853 

Subtotal Direct 

Costs $230,233 $218,282 

Indirect Costs $19,767 $17,463 

8.00%

TOTAL $250,000 $235,745 

QUESTION	22

 Percentage of Personnel Budget Expended on Performance Awards - This table is for TIF 

3 only. This table collects data on GPRA measure #2 for TIF 3: Changes in teacher and 

principal compensation systems in participating LEAs, as measured by the percentage of 

a district’s personnel budget that is used for performance-related payments to effective 

(as measured by student achievement gains) teachers and principals.

The numerator should include all performance-related payments based on teacher 

effectiveness (including awards made under TIF and other programs). The denominator 

should include the entire personnel budget, including fringe. The personnel budget must 

align with the same period as when the performance payments were made. (For 
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example, if performance awards for SY 2012-13 are made in SY 2013-14, the 

denominator must be the entire personnel budget for SY 2013-14). 

QUESTION	23

 Number of Teachers & Principals that Received an Award - This table requires data on 

the number of teachers that received an award based on performance during the 

reporting period. Because of the lag in receiving state growth data, you will not be able 

to report this information in the initial (July) submission. This table will be completed in 

the final submission (January).

QUESTION	24

 Tables a and b require data on the award ranges for teachers and principals. Because of 

the lag in receiving state growth data, you will not be able to report this information in 

the initial (July) submission. This table will be completed in the final submission 

(January).

QUESTION	25

 Payouts by Performance Category – please provide your total amount of performancebased payouts for each level or performance category. You should use the information 

you provided in question 10 to determine how to categorize each level in your evaluation 

system(s). If you have a different teacher and principal evaluation system and you made 

performance-based payouts under each system, please fill out a table for each. 

GENERAL BUDGET TIPS:

 TIF 3 Increasing Share: In documenting expected increasing share costs, please refer to 

the Grant Award Notification (GAN) you received for the Year 3 supplemental award in 

September 2011. This GAN included an appendix that outlined your increasing share 

commitment for each year of the project. The increasing share is a program requirement 

and a condition on your project’s GAN.

 Equipment: The Department’s definition of equipment is a tangible, personal property 

with a per unit cost of $5,000 or more. Items that are under $5,000 per unit are 

considered supplies. However, if your organization sets a lower threshold limit for 

equipment, you should follow your local rules. Also, new equipment not originally 

approved as part of your budget request requires prior approval from your program 

officer before purchase.

 Allocability: Please be sure that your expenses are allocable to the TIF program. This is 

often an issue around equipment costs. Expenditures related to equipment must be 

prorated according to the amount of time the equipment is used for work directly related 

to the TIF project. 
18

 Indirect Costs: Please remember that indirect costs agreements typically exclude 

equipment costs and typically allow grantees to only charge indirect costs to the first 

$25,000 of contracts. Please review your organization’s indirect cost agreement to 

properly charge indirect costs to your TIF grant.

 Contractual: If you procured new contracts during this budget period, please confirm 

whether your organization followed procurement practices and if you received the 

necessary prior approval from your program officer.

 Contractual: Please ensure that your finance office requires documentation before 

approving contract invoices and charging costs to the TIF grant. The documentation 

provided should support the costs (labor hours, travel costs, supply purchases, etc.) of 

the contracted work or services. 

 Contractual: Please also ensure that the contractor is only performing tasks included in 

the contract. If you are issuing a contract modification, the modification must be 

approved before the tasks can commence.

These contractual issues could be findings in audits if work was done outside the period of 

performance/tasks included in the contract or if the grantee does not review appropriate 

documentation before paying invoices.

The questions following the budget tables must be completed by all grantees. You will provide 

specific information on the performance awards for effective teachers and principals. For any 

item requesting award amounts, please round your response to the nearest dollar. For items 

requesting the number of principals and teachers who received a performance award, please 

answer using headcount data. Please do not use full-time equivalency (FTE).

PART	4:		INDIVIDUAL	PROJECT OBJECTIVES	AND	MEASURES

In Part 4 you will be reporting on your individual project objectives and performance measures. 

In your application, you stated your project goals and included one or more objectives under 

each goal. You have worked with your ED Program Officer to refine objectives to be 

measureable and best capture the results of the work of your project. You do not need to 

restate your goals. 

Please refer to Appendix D, titled “Individual Project Objectives and Measures Example” to help 

you understand the instructions below.

GENERAL	INSTRUCTIONS	FOR	PROJECT	OBJECTIVES	AND	MEASURES:

 Complete a table and explanation of progress for each project objective.

 Fill in the title of the Project Objective
19

 Under “Performance Measure,” provide the language of the specific performance 

measure for the stated objective, as outlined in your application. If you have more than 1 

measure for the stated objective, add another table for that measure and number it 1b 

and continue numbering as appropriate.

 Under the “Quantitative Data”:

o If yearly targets have been set and approved by your ED Program Officer, include 

the target data for the current project year in the “Target” box;

o If yearly targets have not yet been set, enter the number “999” in the “Target” 

box. The data reported in the “Actual Performance Data” box will be treated as 

baseline data and you will be required to set targets for future reporting periods 

which must be submitted to your ED Program Officer for approval.

 For performance measures that are stated in terms of a single number (e.g., the number 

of high quality professional development workshops that will be conducted within a 

specific period) the target and actual performance data should be reported as a single

number. 

 For performance measures that are stated in terms of a percentage (e.g., the 

percentage of teachers who attain the target level of student growth across all 

participating schools), the target and actual performance data should be reported as a 

percentage.

 If you are unable to report on data when the performance reports are due, please put 

“999” in the “Actual Performance Data” cell and report on any progress toward the 

objectives in the “Explanation of Progress” section. 

 Use the “Explanation of Progress” field to:

o Indicate what data were collected and how they were analyzed;

o Identify and explain any deviations from your approved evaluation plan, including 

changes in design or methodology, or the individual or organization conducting 

the evaluation;

o Provide information demonstrating that you are making progress towards 

meeting each performance measure, including a brief discussion of the activities 

and accomplishments for the reporting period that relate to each project 

objective;

o Indicate how you used the data and information from your evaluation to monitor 

the progress of your grant and, if needed, to make improvements to your original 

project plan; and

o If expected data were not attained, expected progress was not made toward 

meeting a performance measure or project objective, or a planned activity was 

not conducted as scheduled, describe the plan for addressing the problem or 

issue.

PART	5:		ADDITIONAL	INFORMATION
20

 If applicable, please provide a list of current partners on your grant and indicate if any 

partners changed during the reporting period. Please indicate if you anticipate any change in 

partners during the next budget period. If any of your partners changed during the reporting 

period, please describe whether this impacted your ability to achieve your approved project 

objectives and/or project activities.

 If instructed by your program office, please report on any statutory reporting requirements 

for this grant program. 

 Describe any changes that you wish to make in the grant’s activities for the next budget 

period that are consistent with the scope and objectives of your approved application. 

 If you are requesting changes to the approved Project Director listed in Block 3 of your GAN 

and/or to other approved key personnel listed in Block 4 with a proposed effective date 

during the remainder of the current budget period or the next budget period, please indicate 

the name, title and percentage of time of the requested key personnel. Please indicate 

whether the proposed Project Director or other key personnel change would be effective 

during the current or next budget period. Additionally, please attach a resume or curriculum 

vitae for the proposed key personnel when you submit your performance report. 

Note: Do not report on any key personnel changes that were already made during the 

current or previous budget period(s). Departmental approval must be requested and 

received prior to making key personnel changes.

 Provide any other appropriate information about the status of your project including any 

unanticipated outcomes or benefits from your project.
21

APPENDIX	A: DEFINITIONS		

Term Definition

Budget Period A specific interval of time for which Federal funds are being provided 

from a particular fiscal year to fund a recipient’s approved activities 

and budget. The start and end dates of the budget period are shown 

in block #6 of the Grant Award Notification (GAN).

Current Reporting 

Year/Period

This is the period October 1 – May 30 for interim reports and October 

1 – September 30 for annual reports of the year being reported on. 

This will be the same year that is being implemented when the interim 

performance report is due (July 1st), and the previous year when the 

annual performance report is due (January 17th). For instance, the 

current reporting year for the interim performance report due July 1st, 

2014 is October 1, 2013 – May 30, 2014. The reporting period for the 

annual performance report due January 17, 2015 is October 1, 2013 –

September 30, 2014. 

Evaluation Each TIF project must have a rigorous, transparent, and fair evaluation 

system for teachers and principals that differentiate effectiveness 

using multiple rating categories that take into account student growth 

(as defined in the TIF NIA) as a significant factor, as well as classroom 

observations conducted at least twice during the school year. The 

evaluation process must: (1) Use an objective, evidence-based rubric 

aligned with professional teaching or leadership standards and the 

LEA's coherent and integrated approach to strengthening the 

educator workforce; (2) provide for observations of each teacher or 

principal at least twice during the school year by individuals (who may 

include peer reviewers) who are provided specialized training; (3) 

incorporate the collection 

and evaluation of additional forms of evidence; and (4) ensure a high 

degree of inter-rater reliability (i.e., agreement among two or more 

raters who score approximately the same).

Please note that a formal observation must include the four key 

components of the evaluation system (listed above).

High-Need School A school with 50 percent or more of its enrollment from low-income 

families, based on eligibility for free or reduced-price lunch subsidies 

under the Richard B. Russell National School Lunch Act, or other 

poverty measures that LEAs use (see section 1113(a)(5) of the ESEA 

(20 U.S.C. 6313(a)(5)). For middle and high schools, eligibility may be 

calculated on the basis of comparable data from feeder schools. 

Eligibility as a high-need school under this definition is determined on 

the basis of the most currently available 

data.
22

Last Reporting Period The full reporting period or year is October 1 – September 30. The last 

reporting period is the year or period previous to the current 

reporting year or period. For instance, if the interim report is due July 

1, 2014 for October 1, 2013 – May 30, 2014, then the previous 

reporting period is October 1, 2012 – September 30, 2013.

Newly Hired 

Teacher/Principal

A teacher or principal that has been employed at a school for three 

years or less. 

Other Personnel All school-level staff who are not included in the definition of teacher 

or principal. Examples of these other staff who could be included in 

the PBCS are counselors, librarians, media specialists, social workers, 

janitors, cafeteria workers, bus drivers, and clerical staff.

Performance Based 

Compensation System 

(PBCS)

A PBCS recognizes different levels of effectiveness, skill, and 

performance by providing different levels of compensation. A PBCS 

under the TIF program refers to a system of pay that is not exclusively 

defined by degrees earned or longevity in a job but rather by quality 

and effectiveness of performance. (See the TIF FAQs, pages 9-11, for 

more detailed information.)

Principal For the purposes of TIF, a “principal” is defined as those individuals 

who are considered principals under applicable State and local law or 

policy. 

Reporting Period The reporting period is the current performance year and is typically 

Oct 1st - Sep 30th.

Stakeholder Teacher, administrator, other school personnel, or a member of the 

community at-large. 

Teacher For the purposes of TIF, the term, “teacher” may include not only 

classroom teachers but also resource teachers and other staff, such as 

paraprofessionals and classroom aids, who provide direct instruction. 

The term “teacher” is not defined in Federal statute or regulation and, 

therefore, the term encompasses those individuals who are 

considered teachers under applicable State and local law or policy.
23

APPENDIX B: GENERAL GRANTEE	FISCAL	RESPONSIBILITIES

The Education Department General Administrative Regulations (EDGAR) provides guidance on the 

following provisions from EDGAR addressing fiscal responsibility. If you have any questions about 

these guidelines, ask your general counsel or ED Program Officer. You may access EDGAR at: 

http://www2.ed.gov/policy/fund/reg/edgarReg/edgar.html. 

----------------------------------------------------------------------------------------------------------------

For grantees who implement a system of performance-pay in partnering districts or charter schools 

(usually non-profits and state education agencies): 

EDGAR, §80.40(a)-Monitoring by grantees, states, “Grantees are responsible for managing the dayto-day operations of grant and subgrant supported activities. Grantees must monitor grant and 

subgrant supported activities to assure compliance with applicable Federal requirements and that 

performance goals are being achieved. Grantee monitoring must cover each program, function or 

activity."

The term "grantee" refers to the fiscal agent of the award. If you are a non-profit organization that has 

partnered with districts and/or charter schools, or you are a state education agency that is 

implementing this system of pay for performance in local districts, YOU as the grantee/fiscal agent are 

responsible for monitoring all activities under the grant. Specifically, sub-granting is not allowed 

under the TIF program. It is extremely important that you obtain documentation on expenditures and 

related activities on a routine basis to avoid audit findings that you lack the fiscal management to 

receive additional federal funds.

For ALL grantees:

EDGAR, §74.20-Purpose of financial and program management, states, "Sections 74.21 through 

74.28 prescribe standards for fiscal management systems, methods for making payments and rules for 

-

(a) Satisfying cost sharing and matching requirements;

(b) Accounting for program income;

(c) Approving budget revisions;

(d) Making audits;

(e) Determining allowability of cost; and

(f) Establishing fund availability”

Specifically: EDGAR, §74.21(b)(1), states (in part), "Recipients' financial management systems shall 

provide for the following:

 Accurate, current, and complete disclosure of the financial results of each federally-sponsored 

project in accordance with the reporting requirements established in §74.52...

 Records that identify adequately the source and application of funds for federally-sponsored 

activities.

 Effective control over and accountability for all funds...(and) shall adequately safeguard all 

assets and assure they are used solely for the authorized purpose.

 (Cost) Accounting records...that are supported by source documentation.

Written procedures for determining the reasonableness, allocability, and allowability of costs in 

accordance with the provisions of the applicable Federal cost principles...”
24

APPENDIX C:		EXAMPLE	BUDGET NARRATIVE

Budget Narrative

The table below provides an explanation of expenditures and unspent funds according to cost categories.

Cost Categories Explanation of Expenditures Explanation for Unspent Funds

Personnel and Fringe 

Benefits

Salaries and fringe benefits for TIF program staff including 1.0 

FTEs for: program director, program manager, 3 program 

specialists, data management director, and administrative assistant.

Salaries and fringe benefits for TIF program staff including 0.5 

FTEs for: professional development coordinator (evaluation system) 

and communications manager.

Salaries and fringe benefits for TIF program staff including 0.25 

FTEs for: principal leadership coordinator.

Employee salaries are determined according to 

placement within the market range established 

by Westat Public Schools. Unfilled positions 

that occurred during the performance reporting 

period included an administrative assistant 

position (vacant for 3 months) and program 

manager position (vacant for 6 months). In 

addition, all peer evaluators have not yet been 

hired.

Travel TIF regional event in March for professional development (attendees 

included the TIF program director, program manager, and the data 

management director

Other expenses included airfare, hotel, and per diem reimbursement 

for a cadre of 5 of the TIF Principals and Assistant Principals Team 

Staff (7 members of the cross-district data management team to 

attend the 25th Annual Management Information Systems 

Conference in San Diego (February 1-17, 2013). This conference, 

sponsored by the Institute of Education Sciences, focused on “best 

practices, innovative ideas, current issues, and practical how-to 

advice about management information systems for K-12 education.” 

Attendance at this conference facilitated the evaluation work within 

our district

Travel expenses were less than anticipated. We 

budgeted for the TIF Project Director’s 

Meeting in March and have not yet 

participated. Funds will remain in travel for 

possible meeting later in Year 1.

Equipment Funds have been set aside for the purchase of 

video equipment for filming best practices 

inside classrooms as well as videos for teacher 
25

professional development. These funds will be 

spent once the coordinator has identified the 

correct systems needed for our software 

capabilities. 

Supplies

Supply expenses included:

Professional resources for professional development developers and 

attendees (e.g., Looking in Classrooms; Handbook on Differentiated 

Instruction; Teacher as Assessment Leader, Developing and 

Validating Multiple-Choice Test Items, Writing test Items to 

Evaluate Higher Order Thinking, Cooperative Learning and Higher 

Level Thinking, Designing and Assessing Educational Objectives, 

Skillful Teacher, Building Academic Vocabulary)

Computer equipment for the peer evaluator team (e.g., tablets)

Communication supplies: DVDs, DVD envelopes, batteries, folders, 

dividers, printing costs 

Some of the communication supplies were 

below expected costs, saving the district some 

money and are included in carryover. 

Contractual

Contractual services included program evaluation; development of 

the observation model (vendor: Vendor 1); development and 

implementation (vendor: Vendor 2); development of the Decision 

Support System (vendor: Vendor 3); assessment development 

(vendor: Vendor 5); professional development design and delivery 

for PLC Academy (vendor: Vendor 6); and validation, modification, 

and refinement of the Observation Instrument (vendor: Vendor 7). 

All contracts were procured through Westat Public Schools’ 

procurement procedures. Documentation includes RFPs, task orders 

/ scope of work; invoices. 

The adjusted timeline for the implementation 

of the data management system resulted in a 

carry-over of funds.

A portion of what was expected to be 

contractual services was taken care of by 

internal staff instead (Career Pathway 

Leadership Academy, PLC Academy, 

professional development design and delivery).

Other

Substitute costs for teachers. The need for substitute teacher reimbursement 

was less than anticipated. However, there will 

be further work that will require a cadre of 

teachers to be released from the classroom
26

APPENDIX	D: INDIVIDUAL	PROJECT	OBJECTIVES AND	MEASURES EXAMPLE

Project Objective 1: Thirty teachers with development needs in the area of classroom management will learn to use classroom management 

strategies to improve student achievement. All teachers will demonstrate mastery at 90% or higher on all competencies as measured by the 

“Classroom Management” rubric in the district’s Teacher Observation Tool.

1.a. Performance Measure Quantitative Data

Number and percent of 30 teachers who demonstrated mastery at 90% 

or higher on all competencies as measured by the teacher observation 

tool.

Target Actual Performance Data

100% 67%

Explanation of Progress: 

1.a. During this performance reporting period, Sample District provided classroom management training to 30 teachers who were identified, through the 

classroom observation process, to have needs in this area. This training consisted of 5 Saturday workshops of 3 hours each over a 10 week period from 

December 4, 2011 through February 12, 2012. Each participating teacher was also observed twice in the teacher’s classroom during the training period. 

During the observations, the trainer/coach observed teacher practice and, during a post-observation conference, provided constructive feedback. At the end 

of the training, each participant was observed during a summative process using only the “Classroom Management” component of the official Teacher 

Observation Tool. 

Of the 30 teachers who were observed during this summative process, 20 received a score of 90% or higher. While our target was 100%, we are making 

substantial progress towards meeting the project measure and objective. The 30 teachers identified to participate in the training all made substantial 

improvement in their classroom management skills, as evidenced by the teacher observation tool. The 10 teachers that missed the target scored between 72% 

and 88%. These 10 teachers will receive additional support in the next performance period, including additional coaching and the ability to participate in a 

modified version of the Saturday workshop sessions. By providing this extra support, we expect that these remaining teachers will score 90% or higher on the 

“Classroom Management” component of the Teacher Observation Tool in the subsequent reporting period.