esea flexibility

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ESEA Flexibility


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ESEA FLEXIBIL ITY U.S. DEPARTMENT OF EDUCATION

FLEXIBILITY TO IMPROVE STUDENT ACADEMIC

ACHIEVEMENT AND INCREASE THE QUALITY OFINSTRUCTION

In order to move forward with State and local reforms designed to improveacademic achievement and increase the quality of instruction for all studentsin a manner that was not originally contemplated by the No Child Left BehindAct of 2001 (NCLB), a State educational agency (SEA) may request flexibility,on its own behalf and on behalf of its LEAs, through waivers of ten provisions

of the Elementary and Secondary Education Act of 1965 (ESEA) and theirassociated regulatory, administrative, and reporting requirements. In orderto receive this flexibility, an SEA must meet the principles described in thenext section. Terms that are defined in the Definitions section of thisdocument are in bold type the first time they appear.

1. Flexibility Regarding the 20132014 Timeline for Determining

Adequate Yearly Progress (AYP): An SEA would no longer need to followthe procedures in ESEA section 1111(b)(2)(E) through (H) for settingannual measurable objectives (AMOs) to use in determining AYP. Instead,an SEA would have flexibility to develop new ambitious but achievableAMOs in reading/language arts and mathematics in order to providemeaningful goals that will be used to guide support and improvementefforts for the State, local educational agencies (LEAs), schools, andstudent subgroups.

2. Flexibility in Implementation of School Improvement Requirements : AnLEA would no longer be required to comply with the requirements in ESEAsection 1116(b) to identify for improvement, corrective action, or


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Achievement Program funds or Rural and Low-Income School Programfunds would have flexibility under ESEA sections 6213(b) and 6224(e) to

use those funds for any authorized purpose regardless of the LEAs AYPstatus.

5. Flexibility for Schoolwide Programs : An LEAwould have flexibility tooperate a schoolwide program in a Title I school that does not meet the40 percent poverty threshold in ESEA section 1114(a)(1) if the SEA hasidentified the school as a priority school or a focus school, and the LEAis implementing interventions consistent with the turnaround principles

or interventions that are based on the needs of the students in the schooland designed to enhance the entire educational program in the school, asappropriate.

6. Flexibility to Support School Improvement : An SEA would haveflexibility to allocate ESEA section 1003(a) funds to an LEA in order toserve any priority or focus school, if the SEA determines such schools are

most in need of additional support.

7. Flexibility for Reward Schools : An SEA would have flexibility to usefunds reserved under ESEA section 1117(c)(2)(A) to provide financialrewards to any reward school, if the SEA determines such schools aremost appropriate for financial rewards.

8. Flexibility Regarding Highly Qualified Teacher (HQT) Improvement

Plans: An LEA that does not meet its HQT targets would no longer have todevelop an improvement plan under ESEA section 2141 and would haveflexibility in how it uses its Title I and Title II funds. An SEA would beexempt from the requirements regarding its role in the implementation of


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Department and its participating LEAs would not be required to notify theSEA prior to transferring funds.

10. Flexibility to Use School Improvement Grant (SIG) Funds toSupport Priority Schools: An SEA would have flexibility to award SIG fundsavailable under ESEA section 1003(g) to an LEA to implement one of thefour SIG models in any priority school.

OPTIONAL FLEXIBILITY

In addition to its request for waivers of each of the requirements above, anSEA may wish to request flexibility through a waiver related to the following:

Flexibility in the Use of Twenty-First Century Community Learning Centers(21st CCLC) Program Funds: An SEA would have flexibility under ESEAsections 4201(b)(1)(A) and 4204(b)(2)(A) to permit community learningcenters that receive funds under the 21st CCLC program to use thosefunds to support expanded learning time during the school day in additionto activities during non-school hours or periods when school is not insession (i.e., before and after school or during summer recess).


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PRINCIPLES FOR IMPROVING STUDENT ACADEMIC

ACHIEVEMENTAND INCREASING THE QUALITY OF INSTRUCTION

To receive flexibility through the waivers outlined above, an SEA mustsubmit a request that addresses each of the following four principles,consistent with the definitions and timelines described later in thisdocument, to increase the quality of instruction for students and improvestudent academic achievement in the State and its LEAs. In the SEAs

request, the SEA must describe how it will ensure that LEAs will fullyimplement these principles, consistent with the SEAs authority under Statelaw and the SEAs request.

1. College- and Career-Ready Expectations for All StudentsOver the past few years, Governors and Chief State School Officers havedeveloped and adopted rigorous academic content standards to prepareall students for success in college and careers in the 21st century. Statesare also coming together to develop the next generation of assessmentsaligned with these new standards, and to advance essential skills thatpromote critical thinking, problem solving, and the application ofknowledge. To support States in continuing the work of transitioningstudents, teachers, and schools to a system aligned to college and careerready expectations, this flexibility would remove obstacles that hinderthat work.

To receive this flexibility, an SEA must demonstrate that it has college-and career-ready expectations for all students in the State by adoptingcollege- and career-ready standards in at least reading/language arts


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2. State-Developed Differentiated Recognition, Accountability, andSupport

Fair, flexible, and focused accountability and support systems are criticalto continuously improving the academic achievement of all students,closing persistent achievement gaps, and improving equity. Based on theprinciples for accountability developed by the Council of Chief StateSchool Officers, many States are already moving forward with next-generation systems that recognize student growth and school progress,align accountability determinations with support and capacity-buildingefforts, and provide for systemic, context-specific interventions that focus

on the lowest-performing schools and schools with the largestachievement gaps. This flexibility would give SEAs and LEAs relief fromthe school and LEA improvement requirements of NCLB so they canimplement these new systems.

To receive this flexibility, an SEA must develop and implement a systemof differentiated recognition, accountability, and support for all LEAs in

the State and for all Title I schools in these LEAs. Those systems mustlook at student achievement in at least reading/language arts andmathematics for all students and all subgroups of students identified inESEA section 1111(b)(2)(C)(v)(II); graduation rates for all students and allsubgroups; and school performance and progress over time, including theperformance and progress of all subgroups. They may also look atstudent achievement in subjects other than reading/language arts andmathematics, and, once an SEA has adopted high-quality assessments,

must take into account student growth. An SEAs system of differentiatedrecognition, accountability, and support must create incentives andinclude differentiated interventions and support to improve studentachievement and graduation rates and to close achievement gaps for all


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improving student achievement exits priority status. Work to close achievement gaps by publicly identifying Title I

schools with the greatest achievement gaps, or in which subgroupsare furthest behind, as focus schools and ensuring that each LEAimplements interventions, which may include tutoring and publicschool choice, in each of these schools based on reviews of thespecific academic needs of the school and its students. The SEAmust also develop criteria to determine when a school that ismaking significant progress in improving student achievement andnarrowing achievement gaps exits focus status.

Provide incentives and supports to ensure continuous improvementin other Title I schools that, based on the SEAs new AMOs and othermeasures, are not making progress in improving studentachievement and narrowing achievement gaps.

Build SEA, LEA, and school capacity to improve student learning inall schools and, in particular, in low-performing schools and schoolswith the largest achievement gaps. The SEA must provide timely

and comprehensive monitoring of, and technical assistance for, LEAimplementation of interventions in priority and focus schools, andmust hold LEAs accountable for improving school and studentperformance, particularly for turning around their priority schools.The SEA and its LEAs must also ensure sufficient support forimplementation of interventions in priority schools, focus schools,and other Title I schools identified under the SEAs differentiatedrecognition, accountability, and support system (including through

leveraging funds the LEA was previously required to reserve underESEA section 1116(b)(10), SIG funds, and other Federal funds, aspermitted, along with State and local resources).


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will be used for continual improvement of instruction;(2) meaningfully differentiate performance using at least three

performance levels; (3) use multiple valid measures in determiningperformance levels, including as a significant factor data on studentgrowth for all students (including English Learners and students withdisabilities), and other measures of professional practice (which may begathered through multiple formats and sources, such as observationsbased on rigorous teacher performance standards, teacher portfolios, andstudent and parent surveys); (4) evaluate teachers and principals on aregular basis; (5) provide clear, timely, and useful feedback, including

feedback that identifies needs and guides professional development; and(6) will be used to inform personnel decisions. An SEA must develop andadopt guidelines for these systems, and LEAs must develop andimplement teacher and principal evaluation and support systems that areconsistent with the SEAs guidelines. To ensure high-qualityimplementation, all teachers, principals, and evaluators should be trainedon the evaluation system and their responsibilities in the evaluation

system. As part of developing and implementing these evaluation andsupport systems, an SEA must also provide student growth data oncurrent students and the students taught in the previous year to, at aminimum, teachers of reading/language arts and mathematics in gradesin which the State administers assessments in those subjects in a mannerthat is timely and informs instructional programs. Once these evaluationand support systems are in place, an SEA may use data from thesesystems to meet the requirements of ESEA section 1111(b)(8)(C) that it

ensure that poor and minority children are not taught at higher rates thanother children by inexperienced, unqualified, or out-of-field teachers.

4. Reducing Duplication and Unnecessary Burden


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CONSULTATION

Each SEA must engage diverse stakeholders and communities in thedevelopment of its request. By engaging relevant stakeholders at the outsetof the planning and implementation process, an SEA can ensure they haveinput in shaping the SEAs comprehensive plan, which will help ensuresuccessful implementation of the SEAs plan. Ideally, an SEA will solicit inputfrom stakeholders representing diverse perspectives, experiences, andinterests, including those that will be impacted by and implement thepolicies included in the SEAs plan, and will strengthen its request by revising

it based on this input.

Each SEA must provide a description of how the SEA meaningfully engagedand solicited input on its request from teachers and their representatives.Each SEA must also provide a description of how the SEA meaningfullyengaged and solicited input on its request from other diverse communities,such as students, parents, community-based organizations, civil rightsorganizations, organizations representing students with disabilities andEnglish Learners, business organizations, and Indian tribes. Finally, each SEAmust provide an assurance that it has consulted with the States Committeeof Practitioners regarding the information set forth in its request.

EVALUATION

Implementing this flexibility presents a valuable opportunity for SEAs, LEAs,and the Department to learn more about the effectiveness of variousprograms, practices, and strategies and to contribute to the evidence base ofwhat works. The Department encourages an SEA that receives approval toi l t thi fl ibilit t ll b t ith th D t t t l t t


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DEFINITIONS

1. College- and Career-Ready Standards : College- and career-readystandards are content standards for kindergarten through 12th grade thatbuild towards college and career readiness by the time of high schoolgraduation. A States college- and career-ready standards must be either(1) standards that arecommon to a significant number of States;or (2) standards that are approved by a State network of institutionsof higher education, which must certify that students who meet the

standards will not need remedial course work at the postsecondary level.

2. Focus School: A focus school is a Title I school in the State that,based on the most recent data available, is contributing to theachievement gap in the State. The total number of focus schools in aState must equal at least 10 percent of the Title I schools in the State. Afocus school is

a school that has the largest within-school gaps between the

highest-achieving subgroup or subgroups and the lowest-achievingsubgroup or subgroups or, at the high school level, has the largestwithin-school gaps in graduation rates; or

a school that has a subgroup or subgroups with low achievement or,at the high school level, low graduation rates.

An SEA must also identify as a focus school a Title I high school with agraduation rate less than 60 percent over a number of years that is notidentified as a priority school.

These determinations must be based on the achievement and lack ofprogress over a number of years of one or more subgroups of students


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provides an accurate measure of student growth over a fullacademic year or course;

produces student achievement data and student growth data thatcan be used to determine whether individual students are collegeand career ready or on track to being college and career ready;

assesses all students, including English Learners and students withdisabilities;

provides for alternate assessments based on grade-level academicachievement standards or alternate assessments based onalternate academic achievement standards for students with themost significant cognitive disabilities, consistent with 34 C.F.R. 200.6(a)(2); and

produces data, including student achievement data and studentgrowth data, that can be used to inform: determinations of schooleffectiveness for purposes of accountability under Title I;determinations of individual principal and teacher effectiveness forpurposes of evaluation; determinations of principal and teacher

professional development and support needs; and teaching,learning, and program improvement.

4. Priority School: A priority school is a school that, based on themost recent data available, has been identified as among the lowest-performing schools in the State. The total number of priority schools in aState must be at least five percent of the Title I schools in the State. Apriority school is

a school among the lowest five percent of Title I schools in theState based on the achievement of the all students group in termsof proficiency on the statewide assessments that are part of theSEAs differentiated recognition accountability and support


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performing school must be making AYP for the all students groupand all of its subgroups. A school may not be classified as a

highest-performing school if there are significant achievementgaps across subgroups that are not closing in the school; or a high-progress school, which is a Title I school among theten percent of Title I schools in the State that are making the mostprogress in improving the performance of the all students groupover a number of years on the statewide assessments that are partof the SEAs differentiated recognition, accountability, and supportsystem, and, at the high school level, is also among the Title I

schools in the State that are making the most progress in increasinggraduation rates. A school may not be classified as a high-progress school if there are significant achievement gaps acrosssubgroups that are not closing in the school.

6. Standards that are Common to a Significant Number of States :Standards that are common to a significant number of States means

standards that are substantially identical across all States in a consortiumthat includes a significant number of States. A State may supplementsuch standards with additional standards, provided that the additionalstandards do not exceed 15 percent of the States total standards for acontent area.

7. State Network of Institutions of Higher Education (IHEs) : AState network of institutions of higher education means a system of

four-year public IHEs that, collectively, enroll at least 50 percent of thestudents in the State who attend the States four-year public IHEs.

8. Student Growth: Student growth is the change in student


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improve the academic achievement of students in priority schools mustbe aligned with all of the following turnaround principles and selected

with family and community input: providing strong leadership by: (1) reviewing the performance ofthe current principal; (2) either replacing the principal if such achange is necessary to ensure strong and effective leadership, ordemonstrating to the SEA that the current principal has a trackrecord in improving achievement and has the ability to lead theturnaround effort; and (3) providing the principal with operationalflexibility in the areas of scheduling, staff, curriculum, and budget; ensuring that teachers are effective and able to improveinstruction by: (1) reviewing the quality of all staff and retainingonly those who are determined to be effective and have the abilityto be successful in the turnaround effort; (2) preventing ineffectiveteachers from transferring to these schools; and (3) providing job-embedded, ongoing professional development informed by theteacher evaluation and support systems and tied to teacher and

student needs; redesigning the school day, week, or year to include additionaltime for student learning and teacher collaboration; strengthening the schools instructional program based onstudent needs and ensuring that the instructional program isresearch-based, rigorous, and aligned with State academic contentstandards; using data to inform instruction and for continuous improvement,

including by providing time for collaboration on the use of data; establishing a school environment that improves school safetyand discipline and addressing other non-academic factors thatimpact student achievement such as students social emotional


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ESEA FLEXIBILITY U.S. DEPARTMENT OF EDUCATION

TIMELINES

The dates identified in the chart as deadlines (bolded in the chart) for complying with a principle are thelatest by which an SEA or LEA must meet a particular principle. The dates identified as when an SEA or

LEA may begin to implement a waiver represent the earliest the SEA or LEA may take advantage of thespecified waiver.

The At Submission column describes generally the information an SEA must supply in order to receivethe flexibility. See the document titled ESEA Flexibility Requestfor more detail on the specific evidencethat States must submit to meet the principles. The initial waiver period will be through the 20132014school year; however, an SEA that wishes to receive the flexibility must develop a plan that covers all fouryears identified in the chart. The SY 20142015 column identifies the additional actions that an SEAmust take if it receives an extension of the flexibility.

TIMELINE FOR IMPLEMENTATION OF ESEA FLEXIBILITY

Principle orwaiver

Required during initial waiver period

Required ifapproved

forextension

At submission SY 20112012

SY 20122013

SY 20132014

SY 20142015

Adopt college-and career-

readystandards

Request includesevidence that the

State hasformally adoptedcollege- andcareer-readystandards

Implementcollege- andcareer-ready

Request includesplan fortransitioning to and

SEA and LEAs prepare toimplement college- and career-ready standards

SEA andLEAsimplement

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Principle orwaiver


Required ifapproved

forextension

At submission SY 20112012 SY 20122013 SY 20132014 SY 20142015standards implementing

college- and career-ready standards

college- andcareer-readystandards

Develop andadministerhigh-qualityassessmentsaligned with

college- andcareer-readystandards

Request includesplan for developingand administeringhigh-qualityassessments

aligned withcollege- and career-ready standards,and assurance thatSEA will developand administeralternateassessmentsconsistent with 34C.F.R. 200.6(a)(2)

SEA develops statewide high-quality assessments alignedwith college- and career-readystandards

SEAadministerspilot high-qualityassessments

aligned withcollege- andcareer-readystandards

SEAadministershigh-qualityassessments aligned

withcollege- andcareer-readystandards

Adopt ELPstandards thatcorrespond tocollege- andcareer-readystandards

Request includesassurance that SEAwill adopt ELPstandards

SEA adoptsELPstandardsthatcorrespondto Statescollege- andcareer-readystandards,

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Principle orwaiver


Required ifapproved

forextension

At submission SY 20112012 SY 20122013 SY 20132014 SY 20142015consistentwith therequirementin ESEAsection3113(b)(2)

Develop andadminister ELP

assessments

Request includesassurance that SEA

will develop andadminister ELPassessments

SEA developsand

administersELPassessmentsaligned withthe StatesELPstandards,consistentwith therequirements

in ESEAsections1111(b)(7),3113(b)(2),and 3122(a)(3)(A)(ii)

Annuallyreport college-going and

Request includesassurance that SEAwill annually report

SEAannuallyreports to

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Principle orwaiver


Required ifapproved

forextension

At submission SY 20112012 SY 20122013 SY 20132014 SY 20142015college credit-accumulationrates for allstudents andsubgroups ofstudents ineach LEA andeach public

high school inthe State

to the public therequired data

the publiccollege-going andcollegecredit-accumulation rates, asdefined

under StateFiscalStabilization FundIndicators(c)(11) and(c)(12)

Waiver to setnew ambitiousbut achievable

AMOs

Request includesproposed newAMOs and

justification thatthey are ambitiousbut achievable

SEA may apply new AMOs to AYPdeterminations beginning with SY 2011-2012 assessment results

Continueapplyingnew AMOs

Waiver ofrequirementsto identifyschools andLEAs forimprovement

Beginning with release of AYPdeterminations based on SY 20112012assessments, SEA and LEAs need notidentify LEAs or schools, respectively, forimprovement

Continuewaiver

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Principle orwaiver


Required ifapproved

forextension

At submission SY 20112012 SY 20122013 SY 20132014 SY 20142015statusWaiver ofrequirementsfor schools andLEAs inimprovementstatus to takecertain

specifiedactions

Beginning in SY 2012-2013,LEAs and schools need nottake required actionsunder ESEA section1116(b) or (c) (per thewaiver discussed in thepreceding row, LEAs and

schools will no longer be inimprovement status)

Continuewaiver

Develop andimplement aState-basedsystem ofdifferentiatedrecognition,accountability,and support

Request includes adescription of theSEAs differentiatedrecognition,accountability, andsupport system andthe SEAs plan forimplementation

SEA implements its systemof differentiatedrecognition, accountability,and support

Continueimplementingdifferentiatedrecognition,accountability, and

supportsystem

Annuallyidentify andrecognize orrewardhighest-performingand high-

Request includesSEAs methodologyfor identifyingschools and list ofschools based on SY2010-2011assessment results

SEA annually publicly identifies andrecognizes or rewards highest-performingand high-progress Title I schools

Continueannuallypubliclyidentifyingrewardschools

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Principle orwaiver


Required ifapproved

forextension

At submission SY 20112012 SY 20122013 SY 20132014 SY 20142015progress Title IschoolsImplementschoolinterventionsconsistent withthe turnaroundprinciples in

priority schools

Request includesSEAs methodologyfor identifyingschools, list ofschools based on SY20102011

assessment results,and a plan toimplementinterventionsconsistent with theturnaroundprinciples in suchschools over theperiod of theflexibility

SEA makespublic its listof priorityschools

LEAs implementinterventions consistentwith the turnaroundprinciples in each Title Ischool identified as apriority school and

consistent with SEAstimeline for implementingsuch interventions in all ofthose schools over theperiod of the flexibility

Continueimplementinginterventions in priorityschools

Implementinterventionsin focusschools

Request includesSEAs methodologyfor identifyingschools, list ofschools based on SY20102011assessment results,SEAs process forensuring LEAs

SEA makespublic its listof focusschools

LEAs implementinterventions in each Title Ischool identified as a focusschool

Continueimplementinginterventions in focusschools

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Principle orwaiver


Required ifapproved

forextension

At submission SY 20112012 SY 20122013 SY 20132014 SY 20142015implementinterventions basedon needs, andexamples ofinterventions

Build capacityto improvestudent

learning

Request includesdescription of theSEAs process for

building SEA, LEA,and school capacity

SEA implements its processfor building SEA, LEA, andschool capacity through

monitoring and technicalassistance; holding LEAsaccountable for improvingschool and studentperformance; and ensuringsufficient support forimplementation ofinterventions in priorityschools, focus schools, andother identified schools

Waiver ofpovertythreshold forpriority andfocus schoolsto operate aschoolwideprogram

LEAs may operate aschoolwide program intheir priority schools toimplement interventionsconsistent with theturnaround principles andin their focus schools toimplement interventionsthat are based on the

Continuewaiver

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Principle orwaiver


Required ifapproved

forextension

At submission SY 20112012 SY 20122013 SY 20132014 SY 20142015needs of the students inthe school and designed toenhance the entireeducational program in aschool

Waiverprovidingflexibility for

rural LEAs

LEAs that receive Small,Rural School AchievementProgram or Rural and Low-

Income School Programfunds may use those fundsfor any authorized purposeregardless of their AYPstatus

Continuewaiver

Develop,adopt, andimplementteacher andprincipal

evaluation andsupportsystems

Request includes aplan to developguidelines forevaluation andsupport systems,

process forensuring LEAimplementation,and assurance thatSEA has providedstudent growth datato teachers or willdo so by thedeadline required

SEA adoptsguidelinesfor teacherand principalevaluation

and supportsystems

SEA providesstudentgrowth datato teachers

LEAs developevaluationand supportsystemsconsistent

with Stateguidelines

LEAs pilotimplementation ofevaluationand support

systems(e.g., pilot in afew schools;implement inall schools butdo notpublicizeresults) orfully

LEAs fullyimplementevaluationand supportsystems

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Principle orwaiver


Required ifapproved

forextension

At submission SY 20112012 SY 20122013 SY 20132014 SY 20142015under the StateFiscal StabilizationFund

implementevaluationand supportsystems

Waiver oflimits ontransferabilityof funds and

requirementsto reporttransfers priorto transferringfunds

Limits on transferability do not apply toFY 2011 and subsequent funds

Continuewaiver

Waiver forflexibility tosupport schoolimprovement

SEA may allocate ESEAsection 1003(a) funds toany LEA in order to servefocus and priority schoolsidentified under the State-

developed differentiatedrecognition, accountability,and support system, if theSEA determines suchschools are most in need ofadditional support

Continuewaiver

Waiver forflexibility toreward schools

SEA may use fundsreserved under ESEAsection 1117(c)(2)(A) to

Continuewaiver

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Principle orwaiver


Required ifapproved

forextension


SY 20122013

SY 20132014

SY 20142015

provide financial rewardsto any reward schoolidentified under the State-developed differentiatedrecognition, accountability,and support system, if theSEA determines suchschools are most

appropriate for financialrewardsWaiverregardingHighlyQualified

Teacher (HQT)improvementplan

LEAs that do not meet the States HQTtargets need not develop an improvementplan or restrict their use of Title I andTitle II funds; SEA need not implementHQT plans or agreements regarding theuse of funds and need not providetechnical assistance to LEAs inimplementing their plans

Continuewaiver

Waiver to useSIG funds tosupportpriority schools

SEA may award SIG funds to an LEA toimplement one of the four SIG models in apriority school, even if that school is nototherwise a Tier I or Tier II school

Continuewaiver

Review andevaluateState-leveladministrativeand reporting

SEA assures it willreview and evaluateState-leveladministrativerequirements and

SEA reviews and evaluates State-leveladministrative and reportingrequirements and adjusts appropriately inorder to reduce duplication andunnecessary burden on LEAs and schools.

Continuereviewing,evaluating,andadjusting

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Principle orwaiver


Required ifapproved

forextension


SY 20122013

SY 20132014

SY 20142015

requirementsto reduceduplicationandunnecessaryburden

adjust appropriatelyin order to reduceduplication andunnecessaryburden on LEAs andschools.

administrative andreportingrequirements

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esea flexibility

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