Title I-Improving the Academic Achievement of the Disadvantaged, 64436-64513 [E8-25270]
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Federal Register / Vol. 73, No. 210 / Wednesday, October 29, 2008 / Rules and Regulations
DEPARTMENT OF EDUCATION
34 CFR Part 200
RIN 1810–AB01
[Docket ID ED–2008–OESE–0003]
Title I—Improving the Academic
Achievement of the Disadvantaged
Office of Elementary and
Secondary Education, Department of
Education.
ACTION: Final regulations.
AGENCY:
SUMMARY: The Secretary amends the
regulations governing programs
administered under Part A of Title I of
the Elementary and Secondary
Education Act of 1965, as amended, to
clarify and strengthen current Title I
regulations in the areas of assessment,
accountability, public school choice,
and supplemental educational services.
DATES: These regulations are effective
November 28, 2008.
FOR FURTHER INFORMATION CONTACT:
Zollie Stevenson, Jr., Director, Student
Achievement and School Accountability
Programs, Office of Elementary and
Secondary Education, U.S. Department
of Education, 400 Maryland Avenue,
SW., room 3W230, Washington, DC
20202–6132. Telephone: (202) 260–
1824.
If you use a telecommunications
device for the deaf (TDD), you may call
the Federal Relay Service (FRS) at
1–800–877–8339.
Individuals with disabilities may
obtain this document in an alternative
format (e.g., Braille, large print,
audiotape, or computer diskette) on
request to the contact person listed
under FOR FURTHER INFORMATION
CONTACT.
These
regulations amend regulations in 34
CFR part 200, implementing certain
provisions of Title I, Part A of the
Elementary and Secondary Education
Act of 1965 (ESEA), as amended by the
No Child Left Behind Act of 2001
(NCLB), which are designed to help
disadvantaged children meet high
academic standards. On April 23, 2008,
the Secretary published a notice of
proposed rulemaking (NPRM) for the
Title I, Part A program in the Federal
Register (73 FR 22020).
These final regulations reflect an
effort to respond to the results of six
years of implementation of the reforms
introduced into the ESEA by NCLB. The
accountability reforms implemented
during that time—including annual
testing in reading and mathematics,
school and local educational agency
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SUPPLEMENTARY INFORMATION:
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(LEA) accountability for the
achievement of all students (including
students in certain subgroups), the
measurement of school performance and
identification for improvement where
necessary, and the provision of public
school choice and supplemental
educational services (SES) options to
parents and their children—have
resulted in fundamental changes in the
way that States and LEAs approach the
challenge of educating all students to
high standards. Parents and educators
now have more information and data
than ever before on how our schools are
performing and where schools and LEAs
need to make changes. Superintendents,
principals, and teachers are hard at
work developing and implementing
strategies for raising student
achievement and improving school
performance, including by
fundamentally restructuring chronically
poor-performing schools. Nearly all
States are reporting increases in student
achievement, as measured by their own
assessments in reading and mathematics
in grades 3 through 8 and high school,
and all States have put in place
comprehensive plans for ensuring that
all students are proficient in reading
and mathematics by 2014.
These final regulations build on and
strengthen the advances States have
made with their assessment and
accountability systems. We believe a
small number of significant regulatory
changes can make a real difference in
sustaining and advancing the reforms
brought about by NCLB, pending
reauthorization of the ESEA. The final
regulations reflect careful consideration
of comments we received on our
proposed regulations and include a
number of changes made in response to
those comments, while remaining
consistent with the policy goals of the
NPRM.
The most far-reaching change in these
regulations is in how States, LEAs, and
schools are held accountable for
graduating students from high school.
We believe that establishing a uniform
and more accurate measure of
calculating graduation rate that is
comparable across States is a critical
and essential step forward in improving
high school accountability. New
requirements governing the provision of
SES and public school choice will help
ensure that parents and students are
informed of their options in a timely
and effective manner and that LEAs
make effective use of their funds to
provide public school choice and SES.
The changes to the regulations regarding
SES will also help ensure that SES
providers offer high-quality services.
Changes addressing the inclusion of
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student subgroups in school and LEA
adequate yearly progress (AYP)
determinations will ensure greater
accountability for the achievement of all
groups of students. Amendments to the
regulations governing restructuring of
schools in improvement will help
ensure that LEAs take significant reform
actions to improve chronically
underperforming schools, as required by
the statute. Requiring the inclusion of
State data from the National Assessment
of Educational Progress (NAEP) on State
and local report cards will provide
parents and the public with additional
important information about the
performance of the students in their
State.
The other provisions of these final
regulations make important
clarifications or technical changes to
existing policies. The regulations permit
all States to request authority to include
measures of student growth in their
AYP determinations so long as States’
growth proposals meet certain criteria.
The regulations also codify the creation
of the National Technical Advisory
Council (National TAC) and the
Department’s current policy regarding
the identification of schools and LEAs
for improvement. Amendments to the
assessment regulations clarify that the
term ‘‘multiple measures’’ in the statute
means that States may use single or
multiple question formats, or multiple
assessments within a subject area.
Lastly, technical changes to the
definition of ‘‘highly qualified teacher’’
align the Title I regulations with the
Individuals with Disabilities Education
Act (IDEA).
In the absence of reauthorization, we
believe these final regulations are
necessary to further the interests of
parents and children and to improve the
implementation of NCLB in order to
continue progress toward the goal of 100
percent student proficiency in reading
and mathematics by 2014.
Major Changes in the Regulations
The following is a summary of the
major substantive changes in these final
regulations from the regulations
proposed in the NRPM. (The rationale
for each of these changes is discussed in
the Analysis of Comments and Changes
section elsewhere in this preamble.)
• In § 200.7(a)(2)(iii) (disaggregation
of data), the final regulations require
each State to submit its revised
Consolidated State Application
Accountability Workbook
(Accountability Workbook), which
would include any changes to its
minimum group size and other
components of AYP, to the Department
for peer review in time for any changes
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to be in effect for AYP determinations
based on 2009–2010 assessment results.
• Section 200.11 (participation in
NAEP) clarifies the NAEP data that State
and LEA report cards must contain: the
percentage of students at each
achievement level reported on the
NAEP, in the aggregate and, for State
report cards, disaggregated for each
subgroup described in § 200.13(b)(7)(ii);
and participation rates for students with
disabilities and limited English
proficient (LEP) students.
• The final regulations make a
number of changes to § 200.19 (other
academic indicators). The section is
reorganized to separate the requirements
for other academic indicators for
elementary and middle schools from the
requirements for calculating graduation
rate (the required ‘‘other academic
indicator’’ for high schools). The final
regulations maintain the current
requirements for the other academic
indicators for elementary and middle
schools; however, they make a number
of changes for calculating graduation
rate.
—Section 200.19(b)(1)(ii)(A) adds a
definition of ‘‘students who transfer
into the cohort’’ to mean those
students who enroll after the
beginning of the entering cohort’s first
year in high school, up to and
including in grade 12.
—Section 200.19(b)(1)(ii)(B) makes clear
that a student who emigrates to
another country may be removed from
the cohort and clarifies that a school
or LEA must confirm in writing that
a student transferred out, emigrated to
another country, or is deceased.
—Section 200.19(b)(1)(ii)(B)(1) clarifies
that, to confirm that a student
transferred out, the school or LEA
must have official written
documentation that the student
enrolled in another school or
educational program that culminates
in the award of a regular high school
diploma.
—Section 200.19(b)(1)(iii) clarifies that
the term ‘‘students who graduate in
four years’’ means students who earn
a regular high school diploma at the
conclusion of their fourth year, before
the conclusion of their fourth year, or
during a summer session immediately
following their fourth year.
—Section 200.19(b)(1)(v) permits a
State, in addition to calculating a
four-year adjusted cohort graduation
rate, to propose to the Secretary for
approval an ‘‘extended-year adjusted
cohort graduation rate.’’
—Section 200.19(b)(1)(v)(A) defines an
extended-year adjusted cohort
graduation rate as the number of
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students who graduate in four years or
more with a regular high school
diploma divided by the number of
students who form the adjusted
cohort for the four-year adjusted
cohort graduation rate, provided that
the adjustments account for any
students who transfer into the cohort
by the end of the year of graduation
being considered minus the number
of students who transfer out, emigrate
to another country, or are deceased by
the end of that year.
—Section 200.19(b)(1)(v)(B) permits a
State to calculate one or more
extended-year adjusted cohort
graduation rates.
—The final regulations do not require a
State to use the Averaged Freshman
Graduation Rate (AFGR) prior to the
State’s ability to use an adjusted
cohort graduation rate.
—Section 200.19(b)(2) permits a State to
use a transitional graduation rate
before being required to use the fouryear adjusted cohort graduation rate,
if that transitional rate meets the
graduation rate requirements in the
current regulations.
—Section 200.19(b)(3)(i) requires a State
to set a single graduation rate goal that
represents the rate the State expects
all high schools in the State to meet
and annual graduation rate targets
that reflect continuous and substantial
improvement from the prior year
toward meeting or exceeding the
State’s graduation rate goal.
—Section 200.19(b)(3)(ii) requires a
State to hold any high school or LEA
that serves grade 12 and the State
accountable for meeting the State’s
graduation rate goal or targets
beginning with AYP determinations
based on school year 2009–2010
assessment results.
—Section 200.19(b)(4)(ii) requires a
State and its LEAs to report the fouryear adjusted cohort graduation rate
in the aggregate and disaggregated by
the subgroups described in
§ 200.13(b)(7)(ii) beginning with
report cards providing results of
assessments administered in the
2010–2011 school year. If a State
adopts an extended-year adjusted
cohort graduation rate, the State and
its LEAs must report this rate
separately from its four-year rate
beginning with the first year for
which the State calculates such a rate.
—Section 200.19(b)(5) requires a State,
beginning with AYP determinations
based on school year 2011–2012
assessment results, to use the fouryear adjusted cohort graduation rate
to calculate AYP at the school, LEA,
and State levels, in the aggregate and
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disaggregated by the subgroups
described in § 200.13(b)(7)(ii).
—Prior to calculating AYP under
§ 200.20(a)(1)(ii) (meeting the State’s
annual measurable objectives) based
on school year 2011–2012 assessment
results, a State must calculate
graduation rate in the aggregate at the
school, LEA, and State levels using
the four-year adjusted cohort
graduation rate or the transitional
graduation rate.
—Section 200.19(b)(6) requires a State
to revise its Accountability Workbook
to include certain information and
submit its revisions to the Department
for technical assistance and peer
review in time for any changes to be
in effect for AYP determinations
based on 2009–2010 assessment
results.
—Section 200.19(b)(7) permits a State
that cannot meet the regulatory
deadline for reporting a four-year
adjusted cohort graduation rate to
request an extension of time from the
Secretary, provided the State submits,
by March 2, 2009, evidence
satisfactory to the Secretary
demonstrating that it cannot meet that
deadline and a detailed plan and
timeline addressing the steps the State
will take to implement, as
expeditiously as possible, the fouryear adjusted cohort graduation rate.
Even if a State receives an extension,
it must calculate graduation rate at the
school, LEA, and State levels both in
the aggregate and disaggregated by the
subgroups described in
§ 200.13(b)(7)(ii) beginning with AYP
determinations based on school year
2011–2012 assessment results.
• Section 200.22(b)(1) (National TAC)
makes clear that the National TAC must
include members who have knowledge
of and expertise in designing and
implementing standards, assessments,
and accountability systems for all
students, including students with
disabilities and LEP students.
• Section 200.37(b)(5)(ii)(B) (notice of
identification for improvement,
corrective action, or restructuring)
requires an LEA to indicate, in its notice
to parents, those SES providers who are
able to serve students with disabilities
or LEP students.
• Section 200.39(c)(1)
(responsibilities resulting from
identification for school improvement)
requires an LEA to display certain
information regarding public school
choice and SES on its Web site in a
timely manner to ensure that parents
have current information. Paragraph
(c)(2) requires an SEA to post on its Web
site the required information for any
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LEA that does not have its own Web
site.
• Section 200.43 (restructuring)
contains two changes. First, paragraph
(a)(4) makes clear that, if a school begins
to implement a restructuring option as
a corrective action, the school need not
implement a significantly more rigorous
and comprehensive reform at the
restructuring stage. Second, paragraph
(b)(3)(v) clarifies that a major
restructuring of a school’s governance
may include replacing the principal so
long as this change is part of a broader
reform effort.
• Section 200.44(a)(2) (public school
choice) makes clear that an LEA must
offer, through the 14-day notice required
under § 200.37, the option to parents to
transfer their child so that the child may
transfer in the school year following the
school year in which the LEA
administered the assessments that
resulted in its identification of the
school for improvement, corrective
action, or restructuring.
• Section 200.47 (SEA
responsibilities for SES) contains
several changes.
—Paragraph (a)(1)(ii)(B) requires an SEA
to post on its Web site, for each LEA,
the amount of funds the LEA must
spend on choice-related
transportation and SES and the
maximum per-pupil amount the LEA
must spend for SES.
—Paragraph (a)(3)(ii) requires an SEA to
indicate on its list of approved SES
providers those that are able to serve
students with disabilities or LEP
students.
—Paragraph (b)(2)(ii)(C) requires an LEA
to ensure that the instruction a
provider gives and the content a
provider uses are of high quality,
research-based, and specifically
designed to increase the academic
achievement of eligible children.
• Section 200.48 (funding for choicerelated transportation and SES) contains
several changes.
—Paragraph (d)(1)(i) no longer requires
an LEA to obtain approval from its
SEA before spending less than an
amount equal to at least 20 percent of
its Title I, Part A allocation (the ‘‘20
percent obligation’’) on choice-related
transportation, SES, and parent
outreach and assistance. Instead,
revised paragraph (d)(2) requires an
LEA that wishes to use unspent
choice-related transportation and SES
funds for other allowable activities to
(1) meet, at a minimum, certain
criteria specified in paragraph
(d)(2)(i), (2) maintain records
demonstrating that it has met those
criteria, (3) notify the SEA that it has
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met the criteria and that it intends to
spend the remainder of its 20 percent
obligation on other allowable
activities, and (4) specify the amount
of the remainder.
—Paragraph (d)(3) requires SEAs to
ensure an LEA’s compliance with the
criteria in paragraph (d)(2)(i) through
its regular monitoring process.
However, in addition to its regular
monitoring process, for any LEA that
(1) the SEA determines has spent a
significant portion of its 20 percent
obligation for other allowable
activities and (2) has been the subject
of multiple complaints, supported by
credible evidence, regarding its
implementation of the Title I public
school choice or SES requirements,
the SEA must review the LEA’s
compliance with the criteria in
paragraph (d)(2)(i) by the beginning of
the next school year.
—Paragraph (d)(4)(i) provides that, if an
SEA finds that an LEA has failed to
meet any of the criteria in paragraph
(d)(2)(i), the LEA must (1) spend an
amount equal to the remainder
specified in paragraph (d)(2)(iii)(B) in
the subsequent school year, in
addition to its 20 percent obligation
for that year, on choice-related
transportation costs, SES, or parent
outreach and assistance; or (2) meet
the criteria in paragraph (d)(2)(i) and
obtain permission from the SEA
before using any unspent choicerelated transportation and SES funds
for other allowable activities in that
subsequent school year.
—Under paragraph (d)(4)(ii), an SEA
may not grant permission to an LEA
to spend less than the amount in
paragraph (d)(4)(i)(A) unless the SEA
has confirmed the LEA’s compliance
with the criteria in paragraph (d)(2)(i)
for that subsequent school year.
—Paragraph (d)(2)(i)(A) requires an LEA
that wishes to use unspent funds from
its 20 percent obligation for other
allowable activities to partner, ‘‘to the
extent practicable,’’ with outside
groups, such as faith-based
organizations, other community-based
organizations, and business groups to
help inform eligible students and
their families of the opportunities to
transfer or receive SES.
—Paragraph (d)(2)(i)(B)(3) requires an
LEA to provide a minimum of two
enrollment ‘‘windows,’’ at separate
points in the school year, that are of
sufficient length to enable parents of
eligible students to make informed
decisions about requesting
supplemental educational services
and selecting a provider.
• Section 200.56 (definition of
‘‘highly qualified teacher’’) makes clear
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that a special education teacher is a
‘‘highly qualified teacher’’ under the
ESEA if the teacher meets the
requirements for a ‘‘highly qualified
special education teacher’’ under the
Individuals with Disabilities Education
Act (IDEA).
Analysis of Comments and Changes
In response to the Secretary’s
invitation in the NPRM, 400 parties
submitted comments on the proposed
regulations. An analysis of the
comments and changes in the
regulations since publication of the
NPRM follows.
We discuss substantive issues under
the sections of the regulations to which
they pertain. Generally, we do not
address technical or minor changes, and
suggested changes that we are not
authorized to make under the law.
Section 200.2 State Responsibilities for
Assessment
Comment: Numerous commenters
argued that the definition of multiple
measures, as proposed in § 200.2(b)(7),
is far too narrow and should be
expanded to permit States to include, in
their AYP definitions, other measures of
student performance such as written
and oral presentations and projects,
student portfolios, performance
assessments, local assessments, teacherdesigned assessments, and curriculumembedded assessments. Other
commenters stated that formative and
adaptive assessments are widely used at
the local level and asked that they be
specifically referenced in the
regulations. One commenter stated that
student learning needs to be assessed
throughout the year with several
assessments in order to determine how
much students learn during the school
year. Several commenters recommended
that the regulations specifically
reference alternate assessments based on
grade-level achievement standards as
one way to meet the multiple measures
requirement.
Discussion: The Secretary’s intent in
amending § 200.2(b)(7) was to clarify the
meaning of ‘‘multiple measures’’ in the
context of State assessment systems
required under section 1111(b)(3) of the
ESEA, particularly in light of frequent
criticisms that school accountability
should not be based only on a single
assessment of student achievement.
Section 1111(b)(3)(C)(vi) of the ESEA
requires that State assessments ‘‘involve
multiple up-to-date measures of student
academic achievement, including
measures that assess higher-order
thinking skills and understanding.’’ In
proposed § 200.2(b)(7), we clarified that
this requirement could be met by using
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single or multiple question formats that
range in cognitive complexity within a
single assessment or by using multiple
assessments within a subject area. We
did not in any way intend to narrow the
basic definition of the term or to permit
States to use only certain types of
assessments.
The requirement that State
assessments involve multiple measures
of academic achievement is one of a
number of requirements in section
1111(b)(3)(C) of the ESEA that all State
assessments must meet (e.g., that State
assessments are used to measure the
achievement of all children; that they
are aligned with the State’s challenging
academic content and student academic
achievement standards; that they are
valid and reliable; and that they are of
adequate technical quality for each
purpose used). These requirements do
not prevent a State from using, in
determining AYP, results from other
measures of student achievement such
as those mentioned by the commenters
(e.g., local assessments; curriculumembedded assessments; performance
assessments), provided those measures
are submitted for peer review and
determined by the Secretary to meet the
statutory and regulatory requirements.
The Secretary does not believe it is
necessary or appropriate to refer to
specific types of assessments, such as
formative assessments, adaptive
assessments, and portfolio assessments,
in § 200.2(b)(7). The key point is not the
type of measure but the fact that any
assessment used by a State for
accountability determinations must
meet the requirements in section
1111(b)(3)(C) of the ESEA and be
approved by the Secretary.
Changes: None.
Comment: Many commenters
recommended that non-test-based
measures such as attendance rates,
grade-point averages, graduation and
dropout rates, in-school retention rates,
and the percentage of students taking
honors and advanced placement classes
be included in AYP determinations.
Discussion: The ESEA and the
Department’s current regulations
already both require and permit States
to use non-test-based measures, such as
those recommended by the commenters,
in AYP determinations. Specifically,
both section 1111(b)(2)(C)(vi) of the
ESEA and current § 200.19(a)(1) (new
§ 200.19(a) and (b)) require a State to
include at least one other academic
indicator in its AYP determinations,
which must be the graduation rate for
high schools and an academic indicator
of the State’s choosing for elementary
and middle schools. A State may, at its
discretion, also include additional
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academic indicators. Current § 200.19(b)
(new § 200.19(c)) provides examples of
additional academic indicators that a
State may use, which include additional
State or local assessments, the
percentage of students completing
advanced placement courses, and
retention rates. As outlined in current
§ 200.19(c) (new § 200.19(d)), however,
a State’s other academic indicators must
be valid and reliable; consistent with
relevant, nationally recognized
professional and technical standards, if
any; and consistent throughout the State
within each grade span. Moreover,
under § 200.19(e), a State may not use
its other academic indicators to reduce
the number of, or change, the schools
that would otherwise be subject to
school improvement, corrective action,
or restructuring.
Changes: None.
Comment: One commenter stated that
the Department should provide more
flexibility for LEAs to experiment with
various assessment systems that are
aligned with the State’s academic
content and student academic
achievement standards, but developed
with community and local involvement
and input.
Discussion: Section 200.3 specifically
permits a State to include, in the State
assessment system that it uses to
determine AYP, a combination of State
and local assessments. If a State permits
the inclusion of local assessments,
however, the State must, among other
things, establish technical criteria to
ensure that each local assessment meets,
for example, the statutory and
regulatory requirements for validity,
reliability, and technical quality, and
demonstrate that the local assessments
are equivalent to one another in their
content coverage, difficulty, and quality;
have comparable validity and reliability
with respect to subgroups of students;
and provide unbiased, rational, and
consistent determinations of the annual
progress of schools and LEAs within the
State. Moreover, locally developed
assessments that are not included as
part of the annual State assessment
system under section 1111(b)(3) of the
ESEA may be used as an additional
other academic indicator under current
§ 200.19(b) (new § 200.19(c)).
Changes: None.
Comment: Numerous commenters
supported the proposed changes in
§ 200.2(b)(7). One of these commenters,
however, expressed concern that there
may be continued confusion about the
differences between the use of multiple
measures and the use of multiple nonacademic indicators in accountability
determinations.
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Discussion: Section 200.2(b)(7)
addresses only the requirement in
section 1111(b)(3)(C)(vi) of the ESEA
that State assessments involve multiple,
up-to-date measures of student
academic achievement. As discussed
earlier, such measures must meet all the
statutory and regulatory requirements
applicable to State assessments.
Separate and apart from this
requirement is the flexibility for a State
to include multiple, additional
academic indicators in making AYP
determinations, consistent with section
1111(b)(2)(C)(vii) and (b)(2)(D) of the
ESEA and current § 200.19(b) (new
§ 200.19(c)). These indicators, however,
may not be used to reduce the number
of, or change, the schools that would
otherwise be subject to school
improvement, corrective action, or
restructuring (see § 200.19(e)).
Changes: None.
Comment: One commenter expressed
concern that requiring multiple types of
questions on a State assessment could
delay the reporting of results. One
commenter stated that including
different types of questions to assess
higher-order thinking skills would add
complexity to an assessment and may
increase the time it takes to score the
assessment and make AYP
determinations. Another commenter
stated that the language in the proposed
regulations did not describe how States
should assess higher-order thinking
skills.
Discussion: We wish to emphasize
that the new language in § 200.2(b)(7) is
intended merely to clarify the several
ways a State may involve multiple
measures in the State’s assessment
system. If a State chooses to make a
substantive revision to its assessment
system by changing the way it
implements the multiple measures
requirement in § 200.2(b)(7), it must
submit its proposed change to the
Department for peer review. Otherwise,
no actions are required by States as a
result of the amendment to this section.
Changes: None.
Comment: One commenter stated that
the regulations on multiple measures set
a bar that any State could currently
claim to meet. Another commenter
asked why the requirement to use
multiple measures to assess student
achievement and higher-order thinking
skills was not negotiated as a part of the
original State accountability plans,
given the statutory mandate that such
measures be used. Another commenter
asked why the Department is only now
emphasizing that multiple assessments
may be used in States’ accountability
systems. One commenter stated that the
Department objected to multiple
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measures in the early implementation of
the NCLB amendments to the ESEA and
asked why the Department has changed
its position.
Discussion: The Secretary explained
in the preamble to the NPRM that the
changes to § 200.2(b)(7) simply clarify
section 1111(b)(3)(C)(vi) of the ESEA,
which requires State accountability
systems to include multiple up-to-date
measures of student academic
achievement. We believe it is necessary
to make these clarifications based on
our understanding that some parents,
teachers, and administrators mistakenly
believe that the ESEA requires the use
of a single assessment. The changes do
not impose new requirements or require
States to change their current
assessment systems; nor do they
represent a change in the Department’s
position. The Department has
consistently made clear to States, since
the early implementation of NCLB, that
multiple assessments may be used to
measure student achievement in a
subject area in order to assess mastery
of the breadth of a particular content
domain, provided that all assessments
used to determine AYP meet the
applicable statutory and regulatory
requirements. There are States, for
example, that currently use reading and
writing assessments to calculate AYP in
reading/language arts or use algebra and
probability assessments to calculate
AYP in mathematics. These policies
may continue under the revised
regulation.
Changes: None.
Comment: One commenter requested
clarification regarding whether a State
that uses multiple assessments to
measure achievement must ensure that
those assessments are uniform
throughout the State.
Discussion: Section 1111(b)(1)(B) of
the ESEA and § 200.1 make clear that a
State must adopt challenging academic
content and student achievement
standards, which must be the same
standards the State applies to all
students. A State’s assessments must be
aligned with those standards. Therefore,
a State’s assessments, although they
need not necessarily be uniform, must
measure the same content and the same
level of achievement.
Changes: None.
Comment: One commenter objected to
the provision in proposed
§ 200.2(b)(7)(i), which stated that
multiple measures may include a singlequestion format to measure student
achievement. The commenter
recommended removing the words
‘‘single or’’ in § 200.2(b)(7)(i).
Discussion: We believe that States
should have the flexibility to assess
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student academic achievement, as
defined by the State, using a singlequestion format. Assessments that use
one type of question format are able to,
and in fact are required to, assess
varying levels of cognitive complexity
and higher-order thinking skills.
Therefore, we decline to make the
change suggested by the commenter.
Changes: None.
Comment: One commenter stated that
the proposed regulation would define
multiple measures in a way that
undermines the ESEA by subsuming the
multiple-measures requirement within
the requirement to assess higher-order
thinking skills and understanding of
challenging content. The commenter
stated that the purpose of multiple
measures is to ensure the validity and
reliability of judgments about
proficiency, as required by the ESEA, by
providing multiple ways for students to
demonstrate proficiency in the same
skills and knowledge. The commenter
maintained that the regulation, as
drafted, implies that the purpose of
multiple measures is to assess higherorder thinking skills and understanding
of challenging content. The commenter
recommended that the Department (1)
remove the proposed language and
retain the language in the current
regulations; (2) clarify that, in order to
achieve the overall purpose of ensuring
validity and reliability of the
proficiency determinations made under
the ESEA, multiple measures must
include different ways of measuring the
same proficiencies of students in the
knowledge and skills identified in the
State’s standards; and (3) provide
guidance on how multiple measures can
be combined in order to make valid and
reliable determinations of a student’s
proficiencies.
Discussion: The regulations provide
clarifications that are necessary to
ensure that States understand that their
assessments may include single or
multiple question formats and that they
may use multiple assessments to
measure achievement in a specific
content domain. They also refer to
assessments that measure objectives
within a particular content domain and
assessments with items that both
measure higher-order thinking skills
(e.g., reasoning, synthesis, and analysis)
and knowledge and recall items that
assess the depth and breadth of mastery
of a particular content domain. The
changes requested by the commenter are
not necessary given the purpose of the
amendments to this particular section of
the regulations.
Changes: None.
Comment: Many commenters
recommended that the final regulations
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in § 200.2(b)(7) include language
requiring that assessments use the
principles of ‘‘universal design’’ in
order to increase the accessibility of
assessments for a wide variety of
students.
Discussion: Although we agree that
using the principles of universal design
in developing assessments would
increase the accessibility of
assessments, we do not believe it is
necessary to include such a requirement
in these regulations. Section 200.2(b)(2)
already requires State assessments to be
‘‘designed to be valid and accessible for
use by the widest possible range of
students, including students with
disabilities and students with limited
English proficiency.’’ In addition, the
regulations in 34 CFR 300.160(g)
implementing the IDEA require States to
use universal design principles, to the
extent possible, in developing all
general State and district-wide
assessment programs, including
assessments described under section
1111 of the ESEA.
Changes: None.
Section 200.7 Disaggregation of Data
Comment: Many commenters objected
to the Department’s proposal to amend
§ 200.7, which would require a State to
determine the minimum number of
students sufficient to yield statistically
reliable information for each purpose for
which disaggregated data are used and
to ensure, to the maximum extent
practicable, that all student subgroups
are included, particularly at the school
level, for purposes of making
accountability decisions. Several
commenters did not agree with the
statement in the preamble to the NPRM
that nearly 2 million students are not
counted in NCLB subgroup
accountability determinations at the
school level because States set
unnecessarily large minimum group
sizes. The commenters asserted that this
statement is not based on peer-reviewed
research by reputable scholars. One of
the commenters argued that the
statement ignores the fact that every
child is included in at least one group
(the ‘‘all students’’ group) either at the
school or LEA level. Other commenters
objected to statements in the preamble
that the commenters interpreted to be a
suggestion by the Department that States
set their minimum group size in order
to exclude certain subgroups and
minority students from accountability
determinations. These commenters
maintained that States set minimum
group sizes in order to protect the
privacy of students and not to exclude
certain subgroups and minority students
from accountability determinations.
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Another commenter stated that the
proposed changes would result in
schools being identified for
improvement based on the scores of too
few students.
Discussion: The Secretary’s intent in
amending § 200.7 was to ensure that
schools and LEAs are held accountable
for the achievement of all their students.
The Department recognizes that, when
reporting information to the public,
States must balance the need to
maintain student privacy and the need
for statistically reliable information with
the clear intent of the statute to hold
schools and LEAs accountable for the
achievement of their subgroups.
Further, if schools and LEAs are held
accountable only for the achievement of
their students as a whole, the
importance that the ESEA places on
disaggregated data and subgroup
accountability would be diminished.
Section 1111(b)(2)(C)(v) of the ESEA
requires a State to define AYP so that its
annual measurable objectives apply to
all students as well as to specific
subgroups of students—that is,
economically disadvantaged students,
students from major racial and ethnic
groups, students with disabilities, and
LEP students. Section 1111(b)(2)(I) of
the ESEA makes clear that, for a school
or LEA to make AYP, all students as
well as each subgroup of students must
meet or exceed the State’s annual
measurable objectives. This emphasis
on subgroup accountability is one of the
major changes that Congress made to the
ESEA’s accountability provisions when
it enacted NCLB. In fact, as stated in
section 1001(3) of the ESEA, one of the
primary purposes of NCLB is to close
the achievement gap between high- and
low-performing students, especially the
achievement gaps between minority and
non-minority students and between
disadvantaged children and their more
advantaged peers. This purpose could
not be accomplished without subgroup
accountability.
Disaggregated accountability is
tempered only by the need to ensure
statistical reliability and to protect
student privacy. Thus, section
1111(b)(2)(C)(v) of the ESEA and § 200.7
do not require accountability
determinations by student subgroup if
the size of the subgroup is too small to
yield statistically reliable information or
is such that personally identifiable
information about individual students
would be revealed. Logically, the larger
a State’s minimum group size, the less
likely that students in a subgroup will
constitute an accountability group,
particularly at the school level, and that
the school will be held accountable for
the performance of that subgroup. Thus,
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it is appropriate that the regulations
require States to find the optimal
minimum group size that maximizes the
inclusion of student subgroups in
accountability decisions.
It is important to note that these
regulations amend § 200.7(a), which is
intended to ensure that the minimum
group size that is used by a State to
calculate proficiency rates in AYP
determinations yields statistically
reliable information. Section 200.7(b) of
the current regulations includes an
additional requirement with which a
State must comply when reporting
information to the public. Specifically
under this section, a State may not
report achievement results if the results
would reveal personally identifiable
information about an individual student
in accordance with the Family
Educational Rights and Privacy Act
(FERPA). 20 U.S.C. 1232g; 34 CFR part
99. Because the threshold (i.e., the
number of students) that a State uses to
ensure that it does not reveal personally
identifiable information is generally
lower than the threshold it uses for
ensuring its proficiency calculations
yield statistically reliable information, a
State can, and often does, establish
separate minimum group sizes for
calculating proficiency rates and for
reporting assessment results.
Changes: None.
Comment: Some commenters stated
that the proposed regulations did not go
far enough to ensure that States use
statistically reliable methods to
determine minimum group size. Several
commenters recommended that the
Department establish a uniform
minimum group size for all States. A
few commenters recommended a
minimum group size of between 10 and
20 with confidence intervals that do not
exceed 95 percent. Another commenter
recommended a minimum group size of
no greater than 30 and no confidence
intervals greater than 90 percent.
Several commenters supported a
minimum group size of 67.
Other commenters argued that a State
should be permitted to use confidence
intervals along with their minimum
group size in making AYP
determinations. One commenter stated
that a small minimum group size
requires larger confidence intervals to
make accurate school and LEA AYP
determinations. Some commenters,
however, stated that confidence
intervals exceeding 95 percent are
unwarranted. Still other commenters
argued that confidence intervals greater
than 90 percent should not be allowed.
Discussion: The diversity of
recommendations by commenters
reflects the lack of consensus in the
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education community on a uniform
minimum group size that all States
would be required to use. Given this
lack of consensus, as well as the lack of
research supporting the use of a specific
number, we believe the requirements in
§ 200.7 establish a reasonable approach
to ensuring that States establish
minimum group sizes that appropriately
balance statistical reliability and privacy
with the statutory emphasis on
disaggregation and subgroup
accountability.
A State’s minimum group size must
be large enough to produce statistically
reliable information and protect
students’ privacy, yet small enough to
maximize the inclusion of student
subgroups in accountability decisions.
Further, the Department believes that a
State’s minimum group size must be
considered along with other
components of a State’s AYP definition.
Therefore, § 200.7(a)(2)(ii) requires a
State to explain how a State’s minimum
group size interacts with the other
components of its AYP definition to
affect the statistical reliability of the
data, and to ensure the maximum
inclusion of students and student
subgroups in AYP determinations.
The National TAC will provide advice
to the Department on how a State
should consider the interactions of the
various components in its AYP
definition (such as the interaction of
minimum group size and confidence
intervals). In addition, external peer
reviewers will review the evidence
submitted by a State in order to help
ensure that the State is establishing a
system that leads to statistically sound
AYP determinations and also maximizes
the inclusion of all students and student
subgroups while ensuring student
privacy.
Changes: None.
Comment: A few commenters
requested that the Department consider
requiring States and LEAs to include
additional groups in the student
subgroups referenced in proposed
§ 200.7(a)(2). One commenter suggested
that the Department require States and
LEAs to disaggregate data for AYP
determinations not only for students
with disabilities but by disability
category.
Discussion: Although the Secretary
understands the intent of these
comments, we do not think it is
appropriate to expand the subgroups
covered by this regulation beyond those
specified in the ESEA and
§ 200.13(b)(7)(ii). We believe that the
inclusion of these subgroups is
sufficient to ensure meaningful and
comprehensive accountability for all
students. Further, the more specific the
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categories (e.g., individual disability
categories), the smaller the groups
would be and, therefore, the less likely
they would meet a State’s minimum
group size and be reflected in
accountability determinations.
Changes: None.
Comment: Another commenter,
wanting to gain more information about
the extent to which accountability
systems exclude highly mobile students
from accountability determinations,
suggested that proposed § 200.7(a)(2)
require States to provide information
about the number of students excluded
from accountability determinations due
to student mobility.
Discussion: We agree with the
commenter and believe
§ 200.7(a)(2)(ii)(C) already requires a
State to provide information in its
Accountability Workbook about
students excluded from accountability
determinations due to student mobility.
Section 200.7(a)(2)(ii)(C) requires a State
to provide information regarding the
number and percentage of students and
student subgroups excluded from
school-level accountability
determinations. This requirement
encompasses subgroups that are
excluded from school-level
accountability determinations as a result
of the State’s minimum group size and
other statistical principles, as well as
students excluded from school-level
accountability determinations as a result
of not attending the same school for a
‘‘full academic year.’’
Changes: None.
Comment: One commenter stated that
lowering a State’s minimum group size
would have a profound impact on small
schools because the assessment results
from one or two students could affect
AYP determinations.
Discussion: It is true that if a State,
through the process outlined in the final
regulations, adopts a smaller minimum
group size, the number of schools with
student subgroups included in AYP
calculations is likely to increase. A
State’s minimum group size, however,
would still need to be of sufficient size
to yield statistically reliable information
and protect the privacy of individual
students. Thus, it is unlikely that one or
two students would have a deleterious
effect on AYP determinations, except
when a subgroup is at or near a State’s
minimum group size. In that case, the
performance of one or two students
could affect AYP determinations no
matter what the minimum group size is.
We believe that the requirement that
States adopt an optimal minimum group
size strikes a balance between the need
to produce statistically reliable
information and the goal of maximizing
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inclusion of student subgroups in
accountability. When this balance is
achieved, students in all schools,
including small schools, benefit because
their schools are held accountable for
their achievement.
Changes: None.
Comment: One commenter
recommended that States be allowed to
use a specific number or percentage of
a population in their definition of
minimum group size.
Discussion: Any State that uses or
wishes to use a minimum group size
that is based on a specific number or
percentage of the school population
would need to demonstrate how this
method yields statistically reliable
information for each purpose for which
disaggregated data are used and ensure
that, to the maximum extent practicable,
all groups are included for the purposes
of making accountability
determinations, consistent with
§ 200.7(a)(2)(i).
Changes: None.
Comment: One commenter
recommended that the regulations
clarify whether the minimum group size
applies to graduation rate calculations.
Discussion: Section 200.7(a)(2)(i)(A)
requires a State to establish a minimum
group size that yields statistically
reliable information for each purpose for
which disaggregated data are used.
Therefore, minimum group size, and the
requirements that accompany it, applies
to determining whether a group has met
the State’s annual measurable
objectives; whether it has at least a 95
percent participation rate; whether it
made AYP based on ‘‘safe harbor;’’ and
whether it met the State’s objectives for
the other academic indicators, including
graduation rate. Minimum group size
also applies to reporting achievement
data to the public. The Department
believes that the current language is
clear and declines to amend the
regulations.
Changes: None.
Comment: Many commenters
expressed concerns regarding the
provision in proposed § 200.7(a)(2)(ii)
that would require a State to revise its
Accountability Workbook to include
information about its minimum group
size and the students and student
subgroups excluded from school-level
accountability determinations. Several
commenters representing States asserted
that revising their Accountability
Workbook would be an unnecessary
fiscal and staffing burden. Others stated
that the time and resources needed to
revise the Accountability Workbook
were significantly underestimated in the
Summary of Costs and Benefits in the
NPRM. One commenter stated that
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requiring a State to revise its
Accountability Workbook gives the
perception that the State is concealing
its data.
A number of other commenters
supported proposed § 200.7(a)(2)(ii).
Several commenters recommended
making information about the exclusion
of students from accountability
determinations more transparent by
requiring a State to report: (a) The
results of empirical or simulation
studies and the process the State used
to select its minimum group size; and
(b) the number and percentage of
subgroups that made AYP using the
‘‘safe harbor’’ provision or confidence
intervals. The commenters
recommended including information
about the exclusion of students from
accountability determinations on State
and LEA report cards because the public
is more likely to read a report card than
an Accountability Workbook.
Discussion: Transparency is a key
element of NCLB. The Department
believes it is appropriate for a State to
explain in its Accountability Workbook
the effect that the various components
of the State’s AYP definition have on
the inclusion of students and student
subgroups in accountability
determinations. Making this information
available through a State’s
Accountability Workbook will enable
the public to gain a better understanding
of how schools are being held
accountable for the performance of their
students and student subgroups.
We disagree that the requirements in
§ 200.7(a)(2)(ii) are unnecessary or give
the impression that a State is concealing
data. We believe that the benefits of
increasing transparency and
accountability greatly outweigh the
costs to a State of revising its
Accountability Workbook. We address
the specific concerns about the costs of
revising Accountability Workbooks in
the Summary of Costs and Benefits
section later in this preamble.
We do not believe it is necessary to
require a State to submit the additional
information recommended by the
commenters. Although some States may
include the information recommended
by the commenters in their
Accountability Workbook, we believe
that States should have flexibility in
how they address the requirements in
§ 200.7(a)(2)(ii). We also do not agree
that the information included in a
State’s Accountability Workbook should
be included on State and LEA report
cards. The information in
§ 200.7(a)(2)(ii) that a State is required
to submit to the Department is more
appropriately provided in the State’s
Accountability Workbook where the
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various elements of the State’s AYP
definition are outlined and to ensure
peer review of those elements.
Changes: None.
Comment: Several commenters
objected to requiring a State to submit
a revised Accountability Workbook six
months following the effective date of
the final regulations. The commenters
stated that a six-month timeline is too
short and is unrealistic given that each
State would need to conduct an
extensive policy review to establish its
minimum group size. Other commenters
requested that the Department wait until
Congress reauthorizes the ESEA before
requiring a State to revise its
Accountability Workbook because
reauthorization will likely require
additional changes to States’
accountability systems.
Discussion: In order to have a
cohesive accountability system, a State
must understand how the various
components of its AYP determinations
fit together to provide accurate
accountability decisions. The Secretary
believes that now, more than six years
after the implementation of NCLB, is an
appropriate time for a State to
reexamine its policies to ensure that
there is a balance between, on the one
hand, the need for statistical reliability
of AYP determinations and students’
privacy and, on the other hand, the need
to ensure maximum inclusion of
students and student subgroups in
accountability determinations. Since
receiving initial approval for its
accountability system, every State has
amended its Accountability Workbook
with respect to the definition of AYP.
Although the Department has worked to
ensure that any amendments to a State’s
AYP definition are considered within
the context of other components in the
definition, we believe that now is an
appropriate time to reexamine how the
components fit together to ensure that
sound accountability decisions are
made.
However, the Department recognizes
that it will take some time for the
National TAC to provide input on the
types of evidence the Secretary should
consider in reviewing a State’s
Accountability Workbook and for the
Department to provide guidance to
States. Therefore, we have revised
§ 200.7(a)(2)(iii) to require a State to
submit the required information in time
for changes to be in effect for school
year 2010–2011 AYP determinations
using school year 2009–2010 assessment
results.
Changes: We have revised
§ 200.7(a)(2)(iii) to require each State to
submit a revised Consolidated State
Application Accountability Workbook
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in accordance with paragraph (a)(2)(ii)
to the Department in time for any
changes to be in effect for school year
2010–2011 AYP determinations based
on school year 2009–2010 assessment
results.
Comment: A few commenters
recommended that § 200.7(a)(2)(ii)(C) be
revised to refer to ‘‘school-level
subgroup accountability’’ rather than
‘‘school-level accountability.’’ The
commenters stated that students in an
excluded group would still be included
in the overall school AYP calculation
and that it is important to be clear that
the concern is with students who are
excluded from school-level
accountability determinations.
Discussion: We believe
§ 200.7(a)(2)(ii)(C) appropriately
requires each State to provide
information regarding the number and
percentage of students and student
subgroups that are excluded from
school-level accountability
determinations, which will include, but
not be limited to, students from various
subgroups who are excluded from
accountability determinations. In
addition to a State’s minimum group
size, other factors in a State’s AYP
definition affect the inclusion of
students at the school level. For
example, a State’s definition of ‘‘full
academic year’’ also affects the number
of students who are excluded from
school-level accountability
determinations. We believe it is
important to understand the full impact
of the components that converge to
make up a State’s definition of AYP at
both the school and subgroup levels.
Therefore, we decline to make the
suggested change.
Changes: None.
Comment: A few commenters
supported the requirements in
§ 200.7(a)(2)(ii) regarding the
submission of Accountability
Workbooks, but stated that the
additional data collection will be costly.
The commenters requested that
Congress provide additional funding
and resources to allow States to upgrade
their data systems.
Discussion: Section 200.7(a)(2)(ii)
requires a State, in its Accountability
Workbook, to: (a) Explain how the
State’s minimum group size yields
statistically reliable information and
ensures that all student subgroups, to
the maximum extent practicable, are
included in AYP determinations; (b)
explain how components of the State’s
definition of AYP, in addition to the
minimum group size, interact to affect
the statistical reliability of the data and
to ensure the maximum inclusion of all
students and student subgroups; and (c)
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64443
provide information regarding the
number and percentage of students and
student subgroups excluded from school
accountability determinations.
Considering that a State uses this
information each year to make AYP
determinations, the Department believes
that the State should have this
information readily available and
should not have to collect additional
data. In addition, evaluating a State’s
definition of AYP is a statutory
requirement and part of what is required
in an Accountability Workbook. We
address other more specific concerns
about the costs of revising
Accountability Workbooks in the
Summary of Costs and Benefits section.
With regard to the commenters’
request for additional funding and
resources for a State to upgrade its data
systems, the Department’s Institute of
Education Sciences (IES) Statewide
Longitudinal Data Systems program has
provided almost $122 million to 27
States to design, develop, and
implement statewide longitudinal data
systems that can accurately manage,
analyze, disaggregate, and use
individual student data. The President’s
fiscal year 2009 budget request for this
program is $100 million, a significant
increase intended to support new
awards to States that have not yet
received funding, as well as to support
the expansion of systems in previously
funded States. The 2009 request would
support approximately 32 awards for
developing longitudinal data systems or
expanding existing data systems.
Changes: None.
Comment: One commenter suggested
that the Department identify States that
need to change their minimum group
size and require only those States to
revise their Accountability Workbooks.
Another commenter recommended that
the Department establish a specific
minimum group size and require States
that want a different minimum group
size to revise their Accountability
Workbooks.
Discussion: The Department believes
that each State should re-examine its
minimum group size, along with the
other components of its AYP definition,
in order to ensure that the components
interact to provide statistically reliable
information while maximizing the
inclusion of students and student
subgroups in accountability
determinations. Section 200.7(a)(2)(ii) is
focused not only on a State’s minimum
group size, but also on ensuring that the
entirety of a State’s AYP definition is
coherent and results in statistically
reliable accountability determinations.
For the reasons stated previously in this
section, at this time, we do not believe
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it is appropriate to establish one
minimum group size for all States.
Changes: None.
Comment: One commenter expressed
concern that decisions regarding
minimum group size would be partisan
and biased if States were required to
justify their minimum group size to the
National TAC.
Discussion: The National TAC will
not evaluate States’ minimum group
size. Rather, the National TAC will
provide advice to the Department on
how States should consider the
interactions of the various components
in their AYP definition and will provide
recommendations to the Secretary that
the Secretary and peer reviewers may
consider when reviewing each State’s
revised Accountability Workbook. We
note that the National TAC is a
nonpartisan group that is subject to
Federal Advisory Committee Act
(FACA) requirements, thus guarding
against any perception that its
recommendations are based on anything
but sound education policy.
Changes: None.
Comment: None.
Discussion: In the course of our
internal review of the proposed
regulations, we determined that the
regulations should refer to ‘‘minimum
group size’’ rather than ‘‘minimum
subgroup size’’ because AYP
determinations are made for the ‘‘all
students’’ group as well as student
subgroups.
Changes: We have revised
§ 200.7(a)(2)(ii) to change the term
‘‘minimum subgroup size’’ to
‘‘minimum group size.’’
Section 200.11
Participation in NAEP
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Section 200.11(c)
Report Cards
Comment: Many commenters
supported the proposal in § 200.11(c)
that States and LEAs be required to
include results from the NAEP on their
report cards, stating that this
information provides an important tool
to help the public evaluate and compare
results across States and to help parents
learn more about how the rigor of their
State’s standards and assessments might
compare with other States and with
national benchmarks.
However, several commenters
recommended that the regulations
encourage, but not require, States to
include NAEP results on State and LEA
report cards. One commenter
maintained that States should have the
discretion to determine whether
information on the NAEP would be
valuable to the public and, if so, how to
disseminate it. Several commenters
stated that it is unnecessary to require
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States to include NAEP results on State
and LEA report cards because many
States already post NAEP results on
their Web sites. Other commenters
recommended requiring NAEP results to
be posted on State and LEA Web sites
instead of requiring that they be
included on SEA and LEA report cards.
One commenter stated that State Web
sites are the most appropriate vehicle
for making publicly available
comparisons of results from State
assessments and the NAEP and for
communicating the relationship
between the NAEP and State
assessments. Finally, several
commenters stated that this proposed
requirement could be viewed as an
effort to push States to adopt a national
curriculum that is aligned with the
standards and curriculum implicit in
the NAEP.
Discussion: The NAEP is the only
nationally representative and
continuing assessment of what
America’s students know and can do in
various grades and subject areas and,
therefore, is an important source of
information about student achievement.
The Secretary believes that NAEP data
should be easily accessible and
available to parents and the public in
order to provide them with a tool for
comparing how students in a State are
performing on the NAEP with how
students in the State are performing on
State assessments.
The Department does not believe that
giving States the option to include
NAEP data on State and LEA report
cards or requiring only that they post
NAEP results on State or LEA Web sites
would be sufficient. We believe that
including NAEP results on State and
LEA report cards provides the greatest
transparency and gives parents easy
access to an important tool for assessing
the educational performance of students
in their State. We also do not agree with
commenters who stated that requiring
the inclusion of NAEP data on State and
LEA report cards may be viewed as an
effort to push States to adopt a national
curriculum aligned with the standards
and curriculum implicit in the NAEP.
The purpose of requiring State and LEA
report cards to include NAEP results is
to ensure that NAEP results are easily
accessible and available to parents and
the public.
Changes: None.
Comment: A number of commenters
supported requiring NAEP results on
State report cards, but not on LEA report
cards. One commenter stated that State
NAEP results on LEA report cards
would be irrelevant to parents because
the data would not help a parent decide
which school their child should attend.
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Other commenters stated that including
the information on LEA report cards
would lead parents and the public to
conclude, mistakenly, that students in
that LEA participated in the NAEP.
Discussion: While we agree that
including NAEP results on LEA report
cards will not likely help a parent
decide which school their child should
attend, we believe that the data will give
parents an important comparison
between the percent of students
proficient according to State standards
and assessments and the percent of
students proficient on the NAEP.
Therefore, we disagree with commenters
who recommended that we require
NAEP results to be included only on
State report cards.
Changes: None.
Comment: Several commenters
recommended amending the regulations
to make clear that NAEP results must be
reported on State and LEA report cards
disaggregated by subgroup, including
subgroups for students from major
ethnic and racial groups, LEP students,
and students with disabilities. The
commenters also recommended that we
require States and LEAs to include on
their report cards information about the
participation of students with
disabilities on the NAEP. Other
commenters recommended that we
require State and LEA report cards to
include the State’s average scale score
for the NAEP mathematics and reading
assessments in comparison with the
national average scale score for the
NAEP mathematics and reading
assessments.
Discussion: The Secretary agrees that
the regulations should be more specific
about the State NAEP data that are to be
reported on State and LEA report cards.
In order to provide parents and the
public with sufficient information to
compare how students in a State are
performing on the NAEP with their
performance on State assessments, we
believe the data should, at a minimum,
be reported in terms of the percentage
of students, at each achievement level
reported on the NAEP (below basic,
basic, proficient, advanced) in the
aggregate on State and LEA report cards.
Recognizing commenters’ concerns, as
described later in this section regarding
the burden of including NAEP data on
State and LEA report cards, however,
we are revising the regulations to
require that the achievement data be
disaggregated for each subgroup for
which AYP determinations are made
only on the State’s report card.
We also agree with commenters that
the participation rates for students with
disabilities and the participation rates
for LEP students should be included on
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both State and LEA report cards. States
and LEAs may include additional NAEP
data, such as scale scores, but we
decline to require them to do so.
Changes: We have revised § 200.11(c)
to make clear that each State and LEA
must include on its report card the most
recent available academic achievement
results in grades four and eight on the
State’s NAEP reading and mathematics
assessments. We also have added two
paragraphs to this section to make clear
that State and LEA report cards must
include: (1) The percentage of students
at each achievement level reported on
the NAEP in the aggregate and, for State
report cards, disaggregated by
economically disadvantaged students,
students from major racial and ethnic
groups, students with disabilities, and
LEP students; and (2) the participation
rates for students with disabilities and
the participation rates for LEP students.
Comment: Numerous commenters
opposed the proposed regulations,
stating that NAEP results would be
misinterpreted by parents and the
public and create an inappropriate
comparison because the results reflect
different types of tests that are
developed for different purposes and
that have different constructs, different
standards-setting procedures, and
different ‘‘cut scores.’’ Many
commenters stated that parents already
receive an abundance of data on the
academic performance of their child,
and on their child’s school and LEA,
and that adding NAEP results to report
cards would be cumbersome, confusing,
and of little value to parents. Other
commenters stated that the NAEP and
State assessments test different groups
of students and are not administered at
the same time in the school year, and
that NAEP results are not disaggregated
by the same subgroups required under
the ESEA.
A number of commenters stated that
it is important to clarify on report cards,
using simple and clear terms, that only
limited comparisons can be made
between the NAEP results and the
results on State assessments and to
clearly explain that NAEP results are
based on Statewide samples of students
and not necessarily on the same
students whose results are reported on
the State assessments. Several
commenters stated that the Department
has not provided guidance on how to
interpret NAEP results and to explain
the differences between the NAEP and
State assessments. One commenter
asked whether the Department will
provide technical assistance to help
States accurately interpret and explain
the differences between the NAEP and
State assessments.
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Discussion: The Secretary recognizes
that simple comparisons of student
performance on the NAEP and State
assessments cannot be made without
some understanding of the key
differences between the two
assessments. Just as States and LEAs
provide information about their State
assessments to help parents and the
public interpret assessment data, we
encourage States and LEAs to provide
information on interpreting NAEP
results. We believe that providing
parents and the public with information
about the differences between the NAEP
and State assessments, in a manner that
is easily accessible and understandable,
will allay commenters’ concerns that
NAEP results would be misinterpreted,
misleading, confusing, or of little value
to parents and the public. The
Department intends to provide guidance
to States on how best to convey this
information to parents and the public in
simple and clear terms.
Changes: None.
Comment: A number of commenters
stated that the Department exceeded its
statutory authority by requiring State
and LEA report cards to include NAEP
results. The commenters stated that the
ESEA prescribes in detail the
information that must be included on
State and LEA report cards, as well as
other information that may be included.
Because the ESEA does not require the
inclusion of NAEP results on report
cards, and does not indicate that States
and LEAs may include this information
on their report cards, the commenters
stated that the Department lacks the
authority to add to these requirements.
Discussion: We agree with the
commenters that section 1111(h)(1) and
(2) of the ESEA sets out specific
information that States and LEAs must
include on their report cards and also
permits States and LEAs to include
additional optional information. We
note that section 1111(h)(1)(D)
specifically expresses the rationale for
including optional information on
report cards: to ‘‘best provide parents,
students, and other members of the
public with information regarding the
progress of each of the State’s public
elementary schools and public
secondary schools.’’ Congress obviously
believed that participation in the NAEP
is important because, in sections
1111(c)(2) and 1112(b)(1)(F) of the
ESEA, it required each State and LEA,
if selected, to participate in NAEP’s
reading and mathematics assessments in
fourth and eighth grades as a condition
of receiving Title I, Part A funds. For the
reasons stated previously, we believe
that including State NAEP results on
State and LEA report cards is consistent
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64445
with Congress’ reason for permitting
additional information on report cards—
that is, to best provide parents, students,
and the public information regarding
the academic progress of students in the
State. Accordingly, the Secretary has
exercised her specific regulatory
authority in section 1901(a) of the ESEA
and her general regulatory authority in
section 410 of the General Education
Provisions Act, 20 U.S.C. 1221e–3, to
require States and LEAs to include State
NAEP data on their report cards to
provide another significant indicator of
student achievement in the State.
Changes: None.
Comment: One commenter stated that
the proposed amendment to § 200.11
conflicts with language in Executive
Order 12866 on reducing regulatory
burden.
Discussion: Executive Order 12866,
which governs Federal agencies’
regulatory planning and review,
requires agencies to adhere to a number
of principles when considering and
promulgating regulations. Among those
Principles of Regulation is the principle
that each agency tailor its regulations to
impose the least burdens on society,
including individuals, businesses of
differing sizes, and other entities
(including small communities and
governmental entities), consistent with
obtaining the agency’s objectives, taking
into account, among other things and to
the extent practicable, the costs of
cumulative regulations.
Thus, although Executive Order
12866 encourages agencies to take
efforts to reduce regulatory burden, it
also recognizes that some burden may
be necessary for an agency to achieve its
objectives. The Executive Order,
therefore, also requires an agency to
analyze the costs and the benefits of a
regulation and ‘‘to propose or adopt a
regulation only upon a reasoned
determination that the benefits of the
intended regulation justify its costs.’’ As
we discuss elsewhere in this section, we
believe that the benefits of requiring
States and LEAs to include NAEP data
on their respective report cards
significantly outweigh the burden of
complying with this requirement. The
NAEP is the only nationally
representative and continuing
assessment of student achievement. We
believe that keeping parents and the
public informed about student
achievement is worth the additional
time and resources needed to make this
information readily available.
Accordingly, we disagree with the
commenter that the NAEP requirement
conflicts with Executive Order 12866.
Changes: None.
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Comment: One commenter stated that
the amount of time and effort that
would be required to ensure accurate
and appropriate use of NAEP results far
outweighs any potential benefits. A
number of commenters stated that
NAEP results are already available to
States and the public and that requiring
the data to be included on report cards
would place an undue burden on States
and LEAs and require additional
resources. The commenters stated that
changes to report cards require
significant staff time and resources
because States must seek input from
stakeholders, obtain State Board of
Education approval, and pay the costs
for reproduction. Several commenters
stated that the Department should
provide States with sufficient time to
make these changes.
Discussion: We disagree with the
comment that the amount of time and
effort required to ensure accurate and
appropriate use of NAEP results
outweighs any potential benefits of
including this information on report
cards. We believe that the benefits of
providing parents and the public with
information that will help them evaluate
student achievement and the State’s
educational system outweigh the
additional time and resources needed to
make this information readily available.
Further, we do not agree that the
amount of time and effort required to
include NAEP data (and appropriate
interpretations of those data) will be
substantial. State NAEP results are
available on the Web site of the
Department’s National Center for
Education Statistics (NCES), as well as
through other sources, and obtaining
these data should not pose a significant
burden. That said, as we have noted
previously, we are revising the
regulations to provide that only State
report cards must include disaggregated
achievement data.
Finally, we note that States and LEAs
may use their Title I, Part A
administrative funds to pay for the staff
time and resources needed to make
these changes to their report cards,
which we expect to be implemented
when States and LEAs report the results
from assessments administered in the
2008–2009 school year. We address the
specific concerns about the costs of
making these changes to State and LEA
report cards in the Summary of Costs
and Benefits section.
Changes: We have revised § 200.11(c)
to make clear in paragraph (c)(1) that
only State report cards must include
NAEP achievement data disaggregated
by subgroup.
Comment: One commenter
recommended that, in addition to the
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results from State NAEP reading and
mathematics assessments, States and
LEAs should be required to report NAEP
results on assessments for all academic
subjects, including history, civics,
government, economics, and geography.
Discussion: We agree that including
NAEP results on State and LEA report
cards for all academic subjects would be
informative. Given that AYP
determinations are based on student
performance in reading/language arts
and mathematics, however, we believe
that, at a minimum, NAEP results for
these two subjects must be included on
State and LEA report cards. There is
nothing in these regulations that would
prevent a State or LEA from reporting
the results from other NAEP
assessments on their report cards if they
so choose.
Changes: None.
Comment: One commenter agreed
with the proposal to require NAEP
results on State and LEA report cards,
provided that the most recent data are
used and that the Department ranks
State assessments for rigor so that
stakeholders can determine whether
their State’s assessments reflect the
same level of rigor as the NAEP. One
commenter expressed concern that
NAEP results would not be available in
time to report them with the State
assessment data. Another commenter
recommended that the regulations
establish a specific date by which NAEP
results will be provided so that there
would be no delay in reporting State
assessment data. The commenter
recommended that the Department not
enforce the NAEP requirement if there
is a delay in releasing NAEP data.
Discussion: Section 200.11(c) requires
States and LEAs to include only the
most recently available academic
achievement results from the State’s
NAEP reading and mathematics
assessments on their report cards. In
other words, States and LEAs will
include on their report cards the most
recent NAEP data that are available
(whatever year’s data happen to be most
recent). A delay in the release of NAEP
data therefore would not affect the
timing of report cards. With regard to
the commenters’ recommendation that
the Department rank order State
assessments for rigor, NCES has
conducted several analyses comparing
the results from the NAEP with results
from State assessments in reading and
mathematics (see https://nces.ed.gov/
nationsreportcard/researchcenter/
statemapping.asp).
Changes: None.
Comment: One commenter opposed
requiring States to report NAEP results
on State and LEA report cards because
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of deficiencies in the NAEP
mathematics assessment. The
commenter recommended that, because
the National Mathematics Advisory
Panel report identified a deficiency with
the NAEP mathematics assessment, the
Department correct this problem before
requiring States and LEAs to include
NAEP results on their report cards.
Discussion: NCES is responsible by
law for carrying out the NAEP. See 20
U.S.C. 9010. The National Assessment
Governing Board, appointed by the
Secretary but independent of the
Department, sets policy for the NAEP
and is responsible for developing the
framework and test specifications that
serve as the blueprint for the
assessments. NCES and the National
Assessment Governing Board take
seriously the criticisms of the National
Mathematics Advisory Panel and are
considering the Panel’s
recommendations.
In the meantime, we note that one of
the resources upon which the National
Mathematics Advisory Panel relied in
making its recommendations for NAEP
and State tests was the 2007 Validity
Study of the NAEP Mathematics
Assessment: Grades 4 and 8. Although
that report identified some areas for
improvement, it concluded that, ‘‘The
NAEP mathematics assessment is
sufficiently robust to support the main
conclusions that have been drawn about
United States and state progress since
1990.’’ 1 The Task Group on Assessment
of the Mathematics Advisory Panel
found that NAEP employs acceptable
processes for setting standards and cut
scores.2 Based on the findings of these
reviews, the Secretary continues to
believe that NAEP is still the best
indicator of student achievement in
mathematics and that the inclusion of
NAEP data on State and local report
cards should not be delayed until NCES
makes revisions in response to the
National Mathematics Advisory Panel’s
recommendations.
Changes: None.
Section 200.19
Indicators
Other Academic
Reorganization of § 200.19
Comment: None.
Discussion: In light of the significant
number of changes the Department is
including in the final regulations on the
‘‘other academic indicator’’ for high
1 Daro, P., Stancavage, F., Ortega, M., DeStefano,
L., & Linn, R. (2007). Validity Study of the NAEP
Mathematics Assessment: Grades 4 and 8. (pp. ii
and 119).
2 U.S. Department of Education, Standards for
Success: The National Mathematics Advisory Panel,
Reports of the Task Groups and Subcommittees.
(2008). Washington, DC: Author.
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schools, we have reorganized § 200.19 to
group all the requirements for high
schools in new paragraph (b) and all the
requirements for elementary and middle
schools in new paragraph (a). We
believe that this reorganization makes
this section of the regulations more
accessible and will aid readers’
understanding of the new high school
graduation requirements.
Changes: Section 200.19 has been
reorganized as follows:
• Section 200.19(a) sets forth all of
the requirements for elementary and
middle schools with respect to other
academic indicators.
• Section 200.19(b) sets forth all of
the requirements for high schools with
respect to the other academic
indicator—graduation rate.
• Section 200.19(c) incorporates the
requirements from current § 200.19(b)
regarding additional academic
indicators.
• Section 200.19(d) incorporates the
requirements from current § 200.19(c)
regarding statistical quality of data.
• Section 200.19(e) is substantively
unchanged from the current regulation
and has been changed only to update
cross-references to other paragraphs
within this section.
New § 200.19(b) (Proposed
§ 200.19(a)(1)) Definition of Adjusted
Cohort Graduation Rate
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General
Comment: Many commenters
supported the Department’s proposal to
require States to use an adjusted cohort
graduation rate, as defined in proposed
§ 200.19(a)(1), to calculate graduation
rate for purposes of determining
whether a high school has made AYP.
The commenters noted that the
proposed definition closely follows the
definition of graduation rate adopted by
the National Governors Association
(NGA) in 2005. Commenters also stated
that using a uniform method of
calculating graduation rate would allow
policymakers to make more meaningful
cross-State comparisons and would give
parents and other interested individuals
a more accurate picture of high school
completion in their communities. In
addition, the commenters stated that
information gained from using this
graduation rate would allow school
leaders to make more targeted
adjustments in high school curriculum
and programs in order to improve the
transition of students from school to
work and from school to college.
Other commenters, however, opposed
our proposal regarding the definition of
graduation rate. Several of these
commenters suggested that the
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Department conduct studies of the
implications of using an adjusted cohort
graduation rate before requiring the use
of such a rate for LEA-or school-level
accountability determinations. Other
commenters stated that the proposed
regulations were too prescriptive and
punitive and recommended that the
Department instead take a broader
approach and provide technical
assistance to States in the design,
development, and implementation of
initiatives that would result in
improved graduation rates.
Several commenters argued that,
while establishing a uniform method for
calculating graduation rate is a
commendable endeavor, the regulations
do not provide for the support system
and services necessary to address the
causes of low graduation rates. One
commenter suggested that any
additional focus on graduation rate be
coupled with support for research on
and development of career and
technical education strategies.
Discussion: The Secretary appreciates
the commenters’ support for the
proposed regulations. We do not agree
with those commenters who believe that
studies are needed before States are
required to use an adjusted cohort rate.
Nor do we agree that the regulations are
prescriptive or punitive. The regulations
requiring States to use a uniform and
accurate cohort-based method of
calculating high school graduation rates
reflect broad consensus in the field. In
August 2004, NCES released a report
synthesizing the recommendations of a
panel of experts on graduation rate
calculations that recommended the use
of an adjusted cohort graduation rate.3
Additionally, in 2005, the lead
recommendation of the NGA Task Force
on High School Graduation Rate Data
was for all States to immediately adopt
and begin taking steps to implement a
standard four-year adjusted cohort
graduation rate (the ‘‘NGA rate’’),
consistent with that proposed by the
NCES panel.4 All 50 governors agreed to
adopt the NGA rate.
An adjusted cohort graduation rate
will improve our understanding of the
characteristics of the population of
students who do not earn regular high
school diplomas or who take longer
3 National Institute of Statistical Sciences and
Education Statistics Services Institute. (2004).
National Institute of Statistical Sciences/Education
Statistics Services Institute Task Force on
Graduation, Completion, and Dropout Indicators
(NCES 2005–105). U.S. Department of Education.
Washington, DC: National Center for Education
Statistics.
4 National Governors Association. (2006).
Graduation Counts: A Report of the National
Governors Association Task Force on High School
Graduation Rate Data. Washington, DC: Author.
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than four years to graduate. An
approach that provides technical
assistance to States in designing
programs to increase high school
graduation is not sufficient. Moreover,
all 50 States have already agreed to
adopt the NGA rate, a rate similar to the
four-year adjusted cohort graduation
rate, and most States have made
significant progress in implementing the
rate. NGA’s recent report (2008) states
that 16 States already use the NGA rate
to calculate their high school graduation
rate; five more States plan to report the
NGA rate in late 2008, eight more in
2009, nine more in 2010, six more in
2011, and one more in 2012; five States
are uncertain about their plans to use
the NGA rate.5 In summary, the great
majority of States are planning to
implement the NGA rate within the next
few years. Later in this preamble, we
provide data suggesting that all but one
State will have the capability to
implement an adjusted cohort
graduation rate within four years.
We agree that better and more data
alone will not increase graduation rates,
but those data will provide States, LEAs,
and schools with critical information
that is necessary for understanding the
reasons for low graduation rates and for
designing better programs and services
to help students graduate.
Changes: None.
Comment: Several commenters
questioned whether the Secretary has
the authority to define how each State
must calculate its graduation rate.
Discussion: We believe these
regulations, which require a uniform
definition of graduation rate that each
State must use for NCLB purposes, are
clearly within the Secretary’s regulatory
authority. Section 1111(b)(2)(C)(vi) of
the ESEA requires a State to include, in
determining AYP, a measure of
graduation rate, defined as ‘‘the
percentage of students who graduate
from secondary school with a regular
diploma in the standard number of
years.’’ The legislative history
accompanying NCLB makes clear that
this definition must track students who
graduate ‘‘on time’’—that is, ‘‘within
four years of starting the ninth grade for
high schools that begin with the ninth
grade’’—and must avoid counting a
dropout as a transfer. H.R. Rep. No. 334,
107th Cong, 1st Sess. 713 (2001). To
date, each State has used its own
definition. Some of those definitions,
however, do not track a cohort of
students from entry in high school
through graduation. Moreover, many do
5 National Governors Association. (2008).
Implementing Graduation Counts: State Progress to
Date, 2008. Washington, DC: Author.
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not sufficiently account for students
who drop out, thereby overstating a
school’s graduation rate. Section 1901(a)
of the ESEA authorizes the Secretary to
‘‘issue such regulations as are necessary
to reasonably ensure that there is
compliance with [Title I].’’ Accordingly,
the Secretary has chosen to require that
States use a uniform and accurate
method of calculating graduation rate in
order to hold schools, LEAs, and States
accountable for increasing the number
of students who graduate on time with
a regular high school diploma.
Changes: None.
Comment: Several commenters stated
that adopting an adjusted cohort
definition of graduation rate has
significant costs because States would
be required to establish data systems
that can track students individually.
Other commenters contended that States
do not have the data-system capacity to
track students who transfer between
LEAs and that current budget
constraints are affecting States’
development of longitudinal data
systems. Other commenters suggested
that the Federal government provide
technical assistance and funding to help
States build capacity and the
infrastructure needed to track
transferring students. One commenter
recommended that the Department
provide incentives and funding to help
States develop longitudinal data
systems that can track individual
students over time, whether they drop
out of high school and re-enter at a later
date, enroll in a General Education
Development (GED) program, enter an
alternative school, or are placed in a
juvenile detention center.
Discussion: The definition of
graduation rate in the final regulations
is very similar to the one that States’
governors endorsed and requires the
same data system capacity. In addition,
the NGA reports that 36 States now have
the information systems they need to
collect longitudinal data and are
tracking cohorts of students as they
progress through the school system and,
within four years, 49 States should have
high school cohort data that will allow
them to use the NGA rate.6 Again, these
data reflect activities that States
initiated in the absence of these
regulations. Moreover, the Department
supports States’ development of
longitudinal student data systems
through the Department’s Statewide
Longitudinal Data Systems program. As
noted earlier, for fiscal years 2005
(when the program began) through 2008,
Congress appropriated more than $122
million for this program and, through
7 U.S. Department of Education. (2008). Condition
of Education 2008. Washington, DC: Author.
6 Id.
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fiscal year 2007, 27 States have received
these grants. In addition, the President,
in his fiscal year 2009 budget request,
has asked Congress to more than double
funding for this program to $100
million. Thus, we believe that the
regulations would not impose
significant costs on States that they were
not already likely to assume in the
absence of these regulations or that they
would have to support with non-Federal
funds.
Changes: None.
Comment: One commenter argued
that the proposed definition of
graduation rate would unfairly penalize
a school for students who drop out of
school in order to get a job because,
under the proposed definition, a
dropout could not be removed from the
cohort. This commenter stated that
some students do not function well in
a regular school setting and may need to
enter the workforce early; in these cases,
the commenter said that dropping out of
school may be in the best interest of all
concerned.
Discussion: The Secretary strongly
disagrees that it would be best for the
educational system and students if
certain students drop out of high school
to join the workforce instead of
graduating from high school. Numerous
reports and statistics from the U.S.
Department of Labor (DOL) indicate the
importance of a high school diploma.
For example, in 2006, the
unemployment rate for high school
dropouts aged 25 and older was more
than 1.5 times the rate of individuals
who had a high school diploma (6.8
percent compared to 4.3 percent,
respectively). Data for the same year
also show that median annual earnings
for high school graduates were $29,000,
or nearly 32 percent higher than the
$22,000 earned by those who did not
receive a high school diploma.7 These
data make very clear the high economic
costs of not completing high school.
Changes: None.
Comment: Several commenters
questioned the Department’s proposal to
require States to use an adjusted
graduation cohort rate that is based on
‘‘first-time in 9th grade’’ cohorts
because, according to the commenters,
the rate would not account for the 9th
grade ‘‘bulge’’ reported in nearly all
high schools (i.e., a larger enrollment of
students in 9th grade due to student
retention). Several commenters
suggested that the adjusted cohort
graduation rate allow States to use
actual 9th grade enrollment rather than
an estimated enrollment. One
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commenter recommended that the
Department consider requiring States to
use an alternative definition of
graduation rate that would use an age
rather than a grade as the starting point.
Another commenter noted that there are
students who drop out of school prior
to entering high school and
recommended that, because the adjusted
cohort graduation rate would not
include these students, the Department
should adopt an approach that measures
the high school graduation rate of
students who graduate from middle or
junior high school.
Discussion: Including ‘‘first-time 9th
graders’’ in the definition of graduation
rate in the final regulation is explicitly
intended to account for the 9th grade
‘‘bulge,’’ which otherwise would distort
the adjusted cohort rate by counting
retained students in multiple cohorts.
For example, unless the cohort is based
on a count of first-time 9th graders, a
student who is retained in 9th grade, but
successfully completes the next four
years of high school and receives a
regular diploma, would be counted as a
four-year graduate, even though the
student spent five years in high school.
To avoid such inaccuracies in
measuring a school’s graduation rate, a
State must have data allowing it to
determine ‘‘first-time’’ status for each
student in 9th grade and thus count, not
estimate, the number of such students in
order to accurately identify the 9th
grade cohort for a given year. Note that
high schools in which the 10th grade is
the earliest grade would use first-time
10th graders as the initial cohort.
Further, we decline to adopt the
recommendation that the Department
base the adjusted cohort graduation rate
on the age of students. Nor do we agree
that the Department should be
measuring the graduation rate of
students starting with middle school
graduates as the baseline. The ESEA
specifically requires a measurement of
on-time graduation from high school as
a means of holding high schools
accountable; a measure that is either
based on age or uses middle school
graduation as the starting point most
likely would not meet that requirement.
Changes: None.
Adjusted Cohort Graduation Rate—
Standard Number of Years and
Extended-year Graduation Rate
Comment: Some commenters
supported proposed
§ 200.19(a)(1)(i)(C)(1), which would
have defined the term ‘‘standard
number of years’’ to mean four years
unless a high school begins after ninth
grade, in which case the standard
number of years is the number of grades
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in the school. Many commenters,
however, opposed this definition. A
number of these commenters expressed
concern that applying this definition
would penalize schools serving students
who typically take longer to graduate,
such as students with disabilities; LEP
students; returning dropouts; students
with necessary medical leave; children
of immigrants; children of migrant
workers; children with parents serving
in the military; incarcerated students;
students involved in the foster care,
juvenile justice, or homeless shelter
systems; students in alternative
education programs; and students who
enter high school performing at a State’s
lowest level of achievement. The
commenters stated that the effect of this
provision would be to undermine the
education and accomplishments of
these struggling students. Other
commenters stated that schools and
LEAs should not be penalized in AYP
calculations for any student who takes
more than four years to graduate, no
matter how long that student takes.
Some commenters argued that the
proposed definition did not recognize
the investments that SEAs and LEAs
have made in programs that provide
additional time and services to students
who need more support to meet
challenging content standards and pass
rigorous exit exams. Some commenters
argued that early college high schools
and alternative education settings, such
as those designed for students who are
‘‘under-credited’’ or have dropped out
of high school, that award a regular high
school diploma should be provided a
waiver from meeting the four-year
requirement for accountability
purposes. Some commenters expressed
concern that subgroups singled out for
not reaching a ‘‘standard number of
years’’ target would be stigmatized and
that this regulation could promote
discrimination. One commenter asked if
there was a research basis for our
proposed definition of ‘‘standard
number of years.’’
One commenter recommended that
the graduation rate calculation take into
account that some students graduate
high school in less than the ‘‘standard
number of years’’ and ensure that these
students are not counted as dropouts.
Discussion: Section 1111(b)(2)(C)(vi)
of the ESEA requires that graduation
rate be defined as the percentage of
students who graduate from secondary
school with a regular diploma in the
‘‘standard number of years.’’ We have
interpreted and continue to interpret the
‘‘standard number of years’’ to be four
years because the vast majority of high
schools in this country provide four
years of education and expect students
to graduate at the end of those four years
with a regular high school diploma.
Rather than using the phrase ‘‘standard
number of years,’’ however, we now use
‘‘students who graduate in four years’’
and define that phrase in
§ 200.19(b)(1)(iii) to make clear that it
includes not only students who earn a
regular high school diploma at the
conclusion of their fourth year but also
those who graduate early or during a
summer session immediately following
their fourth year. Moreover, as described
in greater detail later in this preamble,
we have added a provision in
§ 200.19(b)(1)(v) that addresses many of
the commenters’ concerns about
students who need more than four years
to graduate by permitting a State also to
include in its AYP definition, subject to
approval by the Secretary, an
‘‘extended-year adjusted cohort
graduation rate.’’ This extended-year
graduation rate would include students
who graduate in four years or more with
a regular high school diploma. States
may decide to include one or more years
64449
beyond the standard four years (e.g., an
extended-year graduation rate that
combines a five-year rate and a six-year
rate). A State may also choose to have
more than one extended-year graduation
rate (e.g., a five-year rate and a six-year
rate) without combining those rates into
one extended-year graduation rate.
Examples of ways in which extendedyear graduation rates may be used in
AYP determinations can be found later
in this preamble in the discussion of
new § 200.19(b)(6)(i)(F). If a State
chooses to calculate an extended-year
graduation rate, such rate should not be
limited to groups of students based on
their characteristics (e.g., students with
disabilities, LEP students).
Changes: New § 200.19(b)(1)(i)(A)
(proposed § 200.19(a)(1)(i)(A)(1)) defines
‘‘four-year adjusted cohort graduation
rate’’ as the number of students who
graduate in four years with a regular
high school diploma divided by the
number of students who form the
adjusted cohort for that graduating class.
New § 200.19(b)(1)(ii)(A) defines
‘‘students who transfer into the cohort’’
to mean the students who enroll after
the beginning of the entering cohort’s
first year in high school, up to and
including in grade 12. New
§ 200.19(b)(1)(iii) defines ‘‘students who
graduate in four years’’ as students who
earn a regular high school diploma at
the conclusion of their fourth year,
before the conclusion of their fourth
year, or during a summer session
immediately following their fourth year.
(For ease of reference, we sometimes
refer to this rate elsewhere in the
preamble as the ‘‘four-year rate.’’) The
following formula shows the calculation
of the four-year adjusted cohort
graduation rate reported in the summer
of 2006 (based on the class entering 9th
grade in the fall of 2002).
We also have revised the regulations
in § 200.19(b)(1)(v) to provide that, in
addition to calculating a four-year rate,
a State may propose to the Secretary for
approval an extended-year adjusted
cohort graduation rate. This rate is
defined as the number of students who
graduate in four years or more with a
regular high school diploma divided by
the number of students who form the
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16:27 Oct 28, 2008
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adjusted cohort for the four-year rate,
accounting for any students who
transfer into the cohort by the end of the
year of graduation being considered and
for students who transfer out, emigrate
to another country, or are deceased by
the end of that year. A State may
calculate one or more extended-year
adjusted cohort graduation rates. (For
ease of reference, we sometimes refer to
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the extended-year adjusted cohort
graduation rate or rates elsewhere in the
preamble as the ‘‘extended-year rate.’’)
The following formula shows the
calculation of a five-year extended-year
rate reported in the summer of 2007
(based on the class entering 9th grade in
the fall of 2002).
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Number of cohort members who earned regular high school
diplomas through summer 2006
l
Number of first-time 9th graders in fall 2002 (starting
cohort) plus transfers in minus students who transfer
u
a
out, emigrate, or die during school years 2002-2003,
2003-2004, 2004-2005, and 2005-2006
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Federal Register / Vol. 73, No. 210 / Wednesday, October 29, 2008 / Rules and Regulations
Appendix A provides an example of
how the four-year and extended-year
adjusted cohort graduation rates would
be calculated.
Comment: Several commenters argued
that the definition of ‘‘standard number
of years’’ should not apply to students
with disabilities because the IDEA
allows students with disabilities to
receive special education services
through 21 years of age. The
commenters stated that this requirement
in the IDEA should supersede the ESEA
requirements and that the definition of
adjusted cohort graduation rate should
provide an exception for students with
disabilities who require additional time
to (1) complete the requirements for a
regular high school diploma, (2) meet
their individualized education program
(IEP) goals, or (3) fulfill the
requirements for other State-approved
diplomas.
Discussion: As we noted in response
to the previous comments, we are
revising the regulations, in new
§ 200.19(b)(1)(v), to permit a State, in
addition to calculating a four-year rate,
to calculate an extended-year rate that
includes, as graduates, students who
graduate in four years or more with a
regular high school diploma. Therefore,
students with disabilities who need
additional time to complete the
requirements for a regular high school
diploma and who graduate with a
regular high school diploma may be
included as graduates in an extendedyear rate (if a State chooses to use an
extended-year rate). Students with
disabilities who fulfill requirements for
any other State-approved alternative
award, certificate of attendance, or GED
credential or who complete their IEP
goals but do not receive a regular high
school diploma may not be counted as
graduating in either the four-year or
extended-year rate, consistent with the
definition of regular high school
diploma in new § 200.19(b)(1)(iv).
Changes: As previously noted, we
have revised the regulations to provide
in new § 200.19(b)(1)(v) that, in addition
to calculating a four-year rate, a State
may calculate an extended-year adjusted
cohort graduation rate.
Comment: One commenter asked how
the definition of ‘‘standard number of
years’’ in proposed
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§ 200.19(a)(1)(i)(C)(1) would apply to a
school that does not have four grades.
Discussion: New § 200.19(b)(1)(i)(B)
provides that, if a high school does not
have four grades (e.g., does not have a
9th grade), then the State uses the
number of grades in the school to
calculate its adjusted cohort graduation
rate. For example, if a school has three
grades, then the adjusted cohort will be
made up of those three grades. Any
student who graduates in more than
three years would be included in an
extended-year rate, if a State chooses to
use an extended-year rate.
Changes: None.
Comment: Some commenters
supported proposed
§ 200.19(a)(1)(i)(C)(2), which would
have permitted a State to propose, for
approval by the Secretary, an alternate
definition of ‘‘standard number of
years’’ that would apply to limited
categories of students who, under
certain conditions, may take longer to
graduate. These commenters stated that
schools and LEAs should receive credit
for students who take longer than four
years to graduate. However, the majority
of commenters opposed this proposal
for a variety of reasons. Several
commenters expressed concern that the
criteria the Department would use to
evaluate a State’s alternate definition of
‘‘standard number of years’’ would be
subjective and stated that further
discussion was necessary to ensure that
the Department establishes a clear,
transparent process and timeline for
approving States’ alternate definitions.
The commenters contended that, if
States are permitted to propose their
own categories of students and alternate
definitions of ‘‘standard number of
years,’’ graduation rates will remain
difficult, if not impossible, to compare
across States. Some commenters, on the
other hand, argued that States should
have the flexibility to propose an
alternate definition of ‘‘standard number
of years’’ without seeking approval from
the Department. Other commenters
objected to this provision because they
wanted schools and States to be
accountable for graduating all students
within four years and stated that no
exceptions should be allowed for
students who may take longer to
graduate.
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Discussion: The Secretary has
amended the final regulations to remove
the provision for a State to propose an
alternate definition of ‘‘standard number
of years’’ when calculating the four-year
adjusted cohort graduation rate.
Accordingly, each school, LEA, and
State must calculate a four-year adjusted
cohort graduation rate, in accordance
with § 200.19(b)(1)(i) through (iv). This
provision will ensure use of an accurate,
uniform method of calculating
graduation rate that will be comparable
across States. To address the
commenters’ concerns that some
students need more time to graduate
with a regular high school diploma, new
§ 200.19(b)(1)(v) permits a State to also
establish an extended-year adjusted
cohort graduation rate because we
recognize it is important for schools and
LEAs to receive credit for successfully
graduating students, even if some
students take longer to graduate for a
variety of reasons.
Changes: As previously noted, new
§ 200.19(b)(1)(i)(A) provides for a fouryear adjusted cohort graduation rate.
New § 200.19(b)(1)(v) provides that, in
addition to calculating a four-year rate,
a State may calculate an extended-year
adjusted cohort graduation rate, subject
to approval by the Secretary.
Cohort Reassignment
Comment: Many commenters opposed
proposed § 200.19(a)(1)(i)(C)(2), which
would have allowed States to propose
and use, if approved by the Secretary,
an alternate definition of the ‘‘standard
number of years’’ required for high
school graduation because it would
have allowed States to reassign students
from their original cohort to a
subsequent cohort if those students
were not expected to graduate in the
‘‘standard number of years.’’
Commenters identified three major
problems with using cohort
reassignment. First, according to the
commenters, cohort reassignment would
allow States to predetermine how many
years certain categories of students
would take to graduate high school with
a regular high school diploma, thereby
reducing State accountability for those
students and causing schools to ignore
the educational needs of individual
students. This potential outcome was
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Numerator in the 4-year adjusted cohort graduation rate
plus cohort members who earned a regular high school
s
diploma through summer 2007
Denominator in the 4-year adjusted cohort graduation rate
o
plus transfers in during the 2006-2007 school year minus
students who transfer out, emigrate, or die during
the 2006-2007 school year
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particularly troubling to commenters
because, according to these commenters,
the populations that are most likely to
be reassigned are students who already
suffer from low expectations (e.g.,
students with disabilities and LEP
students). Second, many commenters
stated that cohort reassignment is
complicated and lacks transparency.
These commenters argued that it is
difficult to know which students and
how many were reassigned to later
cohorts and to identify the cohorts to
which they were reassigned. They
claimed that, therefore, cohort
reassignment would make the adjusted
cohort rate less useful as a tool for
determining whether a school is
graduating its students on time. Third,
some commenters argued that
permitting cohort reassignment would
be inconsistent with the Department’s
overall goal of having States use a
consistent, accurate, and uniform
method for calculating graduation rate.
Many of these commenters
recommended use of an extended-year
graduation rate.
Discussion: As noted previously, after
considering the public comments, the
Secretary has revised the regulations to
remove the provision that would have
allowed a State to propose and use an
alternate definition of ‘‘standard number
of years.’’ We recognize, however, that
some students may take longer to
graduate than others. Accordingly,
rather than permitting cohort
reassignment, we have revised the
regulations to require States to calculate
and report a four-year adjusted cohort
graduation rate. If a State chooses to do
so, and receives approval from the
Secretary, it may also calculate and
report an extended-year graduation rate.
We believe that, with these changes,
schools and LEAs will be held
accountable for their performance in
graduating students in four years while
also receiving credit for graduating
additional students in a cohort over a
longer time frame. We agree with the
commenters that cohort reassignment
could reduce State and local
accountability for students who are
reassigned to a different cohort, would
add complexity and reduce
transparency in graduation rate
calculations, and would undermine
comparability in graduation rates across
States.
Changes: As previously stated, new
§ 200.19(b)(1)(i)(A) requires States to
calculate a four-year adjusted cohort
graduation rate. New § 200.19(b)(1)(v)
provides that, in addition to calculating
a four-year rate, a State may calculate an
extended-year adjusted cohort
graduation rate.
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Adjusted Cohort Graduation Rate—
Removing Students From the Cohort
Comment: None.
Discussion: In reviewing the
comments on documenting student
transfers, we realized that the proposed
definition of the adjusted cohort
graduation rate did not provide for
removing a student from the cohort who
emigrates to another country and is no
longer in the United States. We believe
such a student should not continue to
be included in the cohort and have
revised the regulations accordingly.
Changes: We have revised new
§ 200.19(b)(1)(ii)(B) to include students
who emigrate to another country among
the students whom a school or LEA
may, with written confirmation (as
discussed in the following paragraphs),
remove from the cohort.
Comment: A number of commenters
expressed concern about requiring
States to document that a student has
transferred before removing the student
from an adjusted cohort. Several
commenters requested that we modify
the requirement in proposed
§ 200.19(a)(1)(i)(A)(2) that would require
a school or LEA to have official
documentation that the student has
enrolled in a program of study in
another school, LEA, or other
educational program that culminates in
the award of a regular high school
diploma in order to confirm that a
student has transferred. These
commenters appeared to assume that, in
proposing to require ‘‘official
documentation,’’ we meant to require a
school to receive a request for a
student’s transcript. These commenters
argued that, in many cases, it would be
very difficult for schools to obtain this
specific documentation and suggested
the Department consider other types of
documentation. They also stated that
documenting transfers can be
challenging because some families move
and withdraw from school without any
notification to school officials,
especially in the case of migrant
students, children of undocumented
immigrants, or students who move
outside the United States. The
commenters specifically noted that
there is no national database with
common student identifiers to track
students who transfer across State lines
and that parents are not required under
most State laws to notify their child’s
school when they move out of an LEA
or to provide the child’s former school
with the name of the student’s new high
school.
One commenter questioned why proof
of enrollment in another school would
be required when a family moves. The
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64451
commenter stated that, in these
circumstances, a school should be
required only to obtain evidence that a
family has moved in order to count the
student as a transfer. Several
commenters suggested that a school or
LEA should only be required to have
‘‘reasonable evidence’’ (rather than
‘‘official documentation’’) that the
student has enrolled in a program of
study in another school, LEA, or other
educational program that culminates in
the award of a regular high school
diploma. These commenters suggested
that ‘‘reasonable evidence’’ that a
student has transferred could include: a
records request from the receiving high
school; an approved application for
home schooling, or enrollment in a
virtual school or distance education
program; signed documentation from
the student’s parent or legal guardian
that the family is moving out of the
LEA, State, or country and that the
student will be enrolled in school in the
new location; and telephone or other
personal contact with a responsible
adult who verifies that the student’s
family has moved out of the LEA and
that the adult believes the student is
attending school elsewhere. These
commenters also stated that ‘‘reasonable
evidence’’ that a student has died may
include a written statement to that
effect. One commenter recommended
that, if a student transfers to another
school in the same State, confirmation
that the student appears on the
receiving school’s enrollment list in the
State’s student record system should be
required.
Discussion: We agree with the
commenters that further clarification is
needed regarding the documentation
that is needed to confirm that a student
has transferred out, emigrated to another
country, or died. New
§ 200.19(b)(1)(ii)(B) therefore requires a
school or LEA, before removing a
student from the cohort, to confirm in
writing that the student transferred out,
emigrated to another country, or is
deceased. Unless a school or LEA can
confirm that a student has transferred
out, emigrated to another country, or is
deceased, the school or LEA must
consider that student to still be in the
cohort for purposes of the graduation
rate calculation. Too often, any student
who leaves the cohort for any reason is
classified as a transfer, even if the
student does not enroll in another
program of study that culminates in the
award of a regular high school diploma.
With respect to a student who
transfers out, in particular, new
§ 200.19(b)(1)(ii)(B)(1) requires the
school or LEA to have official written
documentation that the student has
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enrolled in another school or in an
educational program that culminates in
the award of a regular high school
diploma. Official written documentation
that a student transferred out may
include several different types of
documentation, such as a request for
records from the receiving high school;
an approved application for home
schooling or distance education;
evidence of a transfer that is recorded in
a State’s data system; or a letter from an
official in the receiving school
acknowledging the student’s
enrollment. Documentation must be in
writing rather than a telephone
conversation or other verbal
communication with a parent, relative,
or neighbor so that the transfer can be
verified through audits or monitoring.
Although the Secretary appreciates
that it may be difficult for a school or
LEA to confirm through official written
documentation that a student has
transferred to another school or
educational program that awards a
regular high school diploma, we believe
that it is critically important for school
officials to do so in order to have an
accurate measure of the school’s and
LEA’s graduation rates.
With respect to students who are
deceased or who have emigrated to
another country, the school or LEA also
must confirm this fact in writing but
need not obtain official documentation.
For example, written confirmation of a
student who has emigrated might
include a school administrator’s memo
to the student’s file, based on a phone
conversation with a parent, stating that
the student is leaving the country. The
Department plans to provide nonregulatory guidance on ways that States
can obtain official written
documentation of a student’s transfer to
another school or educational program
and can obtain appropriate written
confirmation of a student’s emigration
or death before removing the student
from the cohort.
Finally, regarding the comment that it
is difficult to confirm the transfer of
migrant students, the Department is
currently implementing the Migrant
Student Information Exchange system.
This system contains information on
migrant students that can be accessed by
all States and LEAs to help ensure that
the academic records of these highly
mobile students are preserved despite
frequent moves, and should be of great
assistance to States in need of
documentation of the re-enrollment of
students in another school or in an
educational program that results in the
award of a regular high school diploma.
Changes: Section 200.19(b)(1)(ii)(B)
has been amended to clarify that, to
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remove a student from the cohort, a
school or LEA must confirm in writing
that the student transferred out,
emigrated to another country, or is
deceased. Section 200.19(b)(1)(ii)(B)(1)
has been amended to require that, when
confirming that a student has
transferred out, a school or LEA must
have official written documentation that
the student has enrolled in another
school or in an educational program that
culminates in the award of a regular
high school diploma.
Comment: Several commenters
recommended that schools and LEAs
not be penalized if, after multiple
attempts, they are unsuccessful in
contacting the parents or student to
confirm that a student has transferred.
Several other commenters, however,
recommended that we specifically
prohibit States from removing a student
from a cohort as an ‘‘error’’ simply
because the school could not confirm
the student’s final status.
Discussion: Although we recognize
that in some cases it may be difficult for
an LEA to obtain official written
documentation of a student’s transfer,
we decline to allow a State to remove
a student from the cohort simply
because the student’s status cannot be
confirmed. Currently, in many cases, a
student who is documented as a transfer
to another school has dropped out of
school, and removal of such a student
from the cohort produces an inaccurate
graduation rate. It is critical that LEAs
accurately calculate high school
graduation rates in order to give parents
and the public important information
about the success of a school, LEA, and
State in graduating students and to
ensure that AYP determinations are
based on valid graduation rate
calculations.
With respect to commenters who
requested that we specifically prohibit
the removal of students whose status
cannot be confirmed as ‘‘errors,’’ we
believe the regulation is clear that
students may not be removed from the
cohort in this situation and believe that
no further change in the regulations is
necessary.
Changes: None.
Comment: One commenter stated that
many youth leave school and then enter
workforce programs and adult basic
education programs, and even go
directly into community colleges, and
do not necessarily return to high school.
This commenter recommended that LEA
data systems document and take these
transitions into account.
Discussion: Although LEAs may
choose to track and report on students
who leave school and enter workforce
programs, adult basic education
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programs, and community colleges, they
may not count these students as
transfers in the four-year adjusted
cohort graduation rate. These students
must be counted as dropouts unless
they earn a regular high school diploma
or enroll in another school or in an
educational program that culminates in
the award of a regular high school
diploma (not including an alternative
degree, such as a GED credential).
Changes: None.
Comment: Several commenters
recommended that the regulations more
specifically address the issue of creating
uniform exit code policies across States.
One commenter stated that, without
transparency and common guidelines
for exit codes, inconsistent coding
practices undermine the accuracy of
graduation rates and contribute to a lack
of comparability among States. One
commenter recommended that the
Department require, through these
regulations, that States submit to the
Secretary for approval a plan for how
State exit codes will be considered in
calculating graduation rate in order to
help ensure that the use of exit codes
does not undermine the accuracy,
comparability, and transparency of
graduation rates.
Discussion: Although we agree with
the commenter that it is important for
States to create and maintain exit code
rules, we do not think it is appropriate
that the Department require
standardized exit codes across States.
However, the Department, through
NCES, has provided guidance for the
inclusion of exit codes in State data
systems. In 2006, a Task Force of NCES’
National Forum on Education Statistics
(Task Force) developed a system of
voluntary student exit codes designed
for use with student information
systems. The Task Force’s goal was to
construct a taxonomy that could
account, at any point in time, for all
students enrolled (or previously
enrolled) in a particular school or LEA.
Through careful review of coding
systems used by States and LEAs, six
broad categories emerged that were
mutually exclusive and covered every
possible situation. The six major exit
code categories are: still enrolled in the
same LEA; transferred; dropped out;
completed school; not enrolled, eligible
to return (e.g., a student who is
participating in a foreign exchange
program); and exited—neither
completed nor dropped out (e.g., a
student who is deceased). This work
was published in a guidebook that can
be found at: https://nces.ed.gov/
pubs2006/2006804.pdf. The Department
will continue to provide guidance to
States in this area and encourages States
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as they develop their data systems to
consider the recommendations of the
Task Force.
Changes: None.
Comment: One commenter
recommended that the Department
clarify in the regulations that the
requirements for calculating an adjusted
cohort graduation rate apply to States as
well as schools and LEAs, and that
States may not remove students from a
cohort without acceptable confirmation
and documentation from an LEA.
Discussion: We do not anticipate that
a State would remove students from a
cohort without confirmation from an
LEA. Because a State must calculate the
same graduation rate that is required for
its schools and LEAs, we do not believe
it is necessary to make any additional
clarifications in the regulations specific
to calculating States’ graduation rates.
Changes: None.
Comment: One commenter suggested
requiring an SEA- or LEA-administered
audit in any school or LEA in which 20
percent or more of the entering 9th
grade class is removed from the cohort
on the basis of having transferred prior
to graduation, or in any school or LEA
in which documentation is lacking for
more than 10 percent of students who
are removed from the cohort as transfer
students. This commenter also
suggested that the Department direct the
Office of Inspector General (OIG), as a
priority activity, to review graduation
rate data, conduct audits to determine
the accuracy of State-reported
graduation rates, and evaluate the
adequacy of State policies regarding
data quality and accuracy.
Discussion: Although we agree that
States may determine that either an
SEA- or an LEA-administered audit is
necessary in schools or LEAs in which
a certain percentage of students are
removed from the cohort, we do not
believe it is appropriate for the Federal
government to require these audits. We
also decline to direct the OIG to review
the accuracy of State-reported
graduation rates and State policies
regarding data quality and accuracy
because the Secretary does not set OIG
priorities. We do, however, monitor
State compliance with these regulations,
and implementation of the four-year
adjusted cohort graduation rate will
certainly be a component of the
Department’s monitoring of Title I
programs.
Changes: None.
Comment: One commenter
recommended that the Department
specifically state in the regulations that
‘‘marginalized’’ students, such as
incarcerated students, must remain in
the cohort and be included in the
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denominator of the adjusted cohort rate.
Several commenters expressed concern
that using an adjusted cohort rate would
allow States to remove students who are
in prison from the cohort. The
commenters stated that this should not
be permitted and suggested requiring
States that want to remove incarcerated
students from the cohort to propose, for
approval by the Secretary, evidence that
a State has in place (1) a plan to educate
children in prison that will allow those
students to receive a regular high school
diploma; and (2) measures to ensure a
full accounting of every child removed
from any school’s cohort. One
commenter recommended that the
regulations make clear that students
who are incarcerated may be removed
from the adjusted cohort. Another
commenter recommended that States be
permitted to remove students in
alternative programs from the adjusted
cohort.
Discussion: New § 200.19(b)(1)(ii)(B)
makes clear that, in order to remove a
student from the adjusted cohort, a
school or LEA must confirm in writing
that the student (1) transferred to
another school or in an educational
program that culminates in the award of
a regular high school diploma; (2)
emigrated to another country, or (3) is
deceased. Unless a student, such as an
incarcerated student or a student in an
alternative program, meets one of these
three conditions, the student may not be
removed from the adjusted cohort and
must remain in the denominator in
calculations of the four-year rate for the
school, LEA, and State in which the
student last attended high school.
Changes: None.
Comment: We received a number of
comments about how the proposed
regulations would affect the tracking of
students who are homeless or otherwise
highly mobile. One commenter
suggested that, because LEAs may not
have much control over how long it
takes highly mobile students to
graduate, the regulations should allow
States to assign these students to a
cohort based on a student’s grade-level
placement at the time of the transfer.
Another commenter opposed use of the
adjusted cohort rate because it assumes
a relatively stable student cohort
beginning with the 9th grade and,
according to the commenter, some
programs with students who are highly
mobile have no cohort to track. Another
commenter stated that the proposed
regulations would provide a
disincentive for an LEA to which a
highly mobile student has transferred to
promote the continued education of this
student who might not graduate on
time. Another commenter asked that the
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Department clarify how calculation of
the adjusted cohort graduation rate
would be affected by school boundary
changes within an LEA.
Discussion: The adjusted cohort rate
does not assume stable cohorts, but does
assume that a State has in place an
accurate student record system that can
track the progress of all individual
students over time. States must account
for students who are highly mobile in
the same way that they track students
who do not move frequently. If a
student transfers out of a school, and the
transfer can be documented, the student
is placed in the corresponding cohort at
the new school or program. This should
provide an incentive, not a disincentive,
for a receiving school to graduate that
student on time. Schools that undergo a
boundary change should be able to
obtain the proper documentation from
the LEA necessary to account for
transfers out of a given cohort, and to
place transfers into their proper cohorts.
Changes: None.
Comment: Several commenters noted
that rapid and sustained enrollment
increases or decreases will either mask
or exaggerate graduation rates.
Discussion: The adjusted cohort
graduation rate is based on data that
follow the trajectory of individual
students over time. States should not
encounter problems with either masked
or exaggerated graduation rates.
Changes: None.
Regular High School Diploma
Comment: Some commenters
expressed concern about our proposal to
define a regular high school diploma as
the standard high school diploma that is
awarded to students in the State, that is
fully aligned with the State’s academic
content standards or is a higher
diploma, and that is not a GED
credential, certificate of attendance, or
any alternative award. The commenters
stated that allowing States to set their
own high school graduation
requirements would reduce the
comparability of graduation rates due to
differing standards for graduation.
Another commenter remarked that the
proposed regulations did not provide a
definition of what graduation itself
means. This commenter stated that State
governors and educators generally agree
that graduation should attest to the
readiness of a student for postsecondary
education or for productive work and
that our regulations should reflect this
definition. Some commenters argued
that the graduation rate should include
students who pass local requirements
but not State assessment requirements
for graduation.
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Discussion: State requirements for
earning a regular high school diploma
vary across States, and it is the role of
States, not the Federal government, to
define what high school graduation
means, based on a State’s content
standards, which indicate what students
should know and be able to do by the
time they leave high school. In fact,
under section 1905 of the ESEA, as well
as other similar provisions, the
Secretary is specifically prohibited from
mandating, directing, or controlling a
State’s, LEA’s, or school’s ‘‘specific
instructional content, academic
achievement standards and assessments,
curriculum, or program of instruction.’’
To regulate on what constitutes
‘‘graduation’’ or what curricula a
student must complete to receive a
‘‘regular high school diploma’’ would
violate this prohibition. We, therefore,
are not authorized to make the
commenters’ recommended changes to
the regulations.
Changes: None.
Comment: Many commenters stated
that the proposed definition of regular
high school diploma was too narrow
and that it should include any type of
graduation diploma issued to a student.
Some commenters suggested that the
definition should include GED
credentials. These commenters argued
that a GED credential is accepted as an
alternative to a regular high school
diploma and satisfies eligibility
requirements for entrance into
postsecondary training opportunities,
such as colleges and technical schools,
as well as entrance into the job market.
Some commenters argued that
modified or special education diplomas
should be considered regular high
school diplomas because not including
these types of diplomas penalizes high
schools for meeting the needs of
students with disabilities. Several
commenters recommended that the
regulations explain that States have the
option to craft a definition of ‘‘regular
diploma’’ that encompasses high-quality
accredited alternative education
programs or special-purpose schools
with curricula that are aligned with
State academic standards and offer
students a regular high school diploma
based on graduation requirements that
may differ from those applied to other
schools in the State. One commenter
recommended that States be more
transparent about the requirements for
earning a regular high school diploma.
Discussion: It is important that only
students who receive a regular high
school diploma (which could include a
higher diploma) that is fully aligned
with a State’s academic content
standards be included in the four-year
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rate in order to ensure that graduation
rates accurately reflect the percentage of
students who graduate with a diploma
that represents what the State
determines all students should know
and be able to do by the end of 12th
grade; alternative credentials, such as a
GED credential and modified special
education diplomas, do not meet these
requirements. Furthermore, research
demonstrates that GED recipients earn
less than, and are generally not as
successful in the labor market and in
postsecondary education as, students
who earn a regular high school
diploma.8 We agree with the commenter
that States should be transparent about
their diploma requirements and
encourage States to make that
information widely available.
Changes: None.
Comment: Another commenter noted
that the definition of graduation rate
proposed by the Department differs
from the graduation rate adopted by the
NGA. The commenter stated that, under
the NGA rate, students who earn
modified diplomas, such as special
education diplomas, count as graduates
if the modified diploma is the standard
that the State and the school system
have set for a student with an IEP.
Discussion: The commenter is correct
that the NGA rate allows students who
graduate with modified high school
diplomas to count as graduates. Section
1111(b)(2)(C)(iv) of the ESEA, however,
defines graduation rate as the
‘‘percentage of students who graduate
from secondary school with a regular
diploma in the standard number of
years.’’ The legislative history
accompanying this provision makes
clear that Congress intended a ‘‘regular
diploma’’ to exclude ‘‘an alternative
degree that may not be fully aligned
with State academic standards, such as
a certificate or GED.’’ H.R. Rep. No. 334,
107th Cong, 1st Sess. 713 (2001). The
four-year rate required in these
regulations, therefore, does not permit
students who receive modified or other
diplomas that are not regular high
school diplomas to be counted in the
rate. For this reason, we no longer refer
to the ‘‘NGA rate’’ when discussing the
four-year adjusted cohort graduation
rate, as defined in new § 200.19(b)(1).
Changes: None.
Comment: Some commenters
recommended that we authorize States
to establish procedures allowing schools
and LEAs to count as graduates some
students with the most significant
cognitive disabilities who perform at a
proficient level on a State’s alternate
assessment based on alternate academic
8 Id.
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achievement standards, but in no case
more than one percent of all students
assessed.
Discussion: In order for students to be
counted as graduates, they must
graduate with a regular high school
diploma. Typically, students with the
most significant cognitive disabilities do
not receive regular high school
diplomas but, instead, are working to
meet their IEP goals or fulfill the
requirements for a State-approved
alternative diploma. Performing at a
proficient level on a State’s alternate
assessment based on alternate academic
achievement standards is not equivalent
to receiving a regular high school
diploma. Any student graduating with a
credential other than a regular high
school diploma may not be counted as
a graduate for purposes of determining
AYP; however, a State may choose to
report the rate of students who
successfully meet their IEP goals in
order to highlight this important work.
The final regulations also permit a State
to set its graduation rate goal at less than
100 percent in recognition that students
who are assessed based on alternate
academic achievement standards, for
example, may not receive a regular high
school diploma. We discuss these
provisions later in this preamble.
Changes: None.
Timeline for Use of the Four-Year
Adjusted Cohort Graduation Rate
Comment: Several commenters
opposed the requirement in proposed
§ 200.19(a)(1)(i) that would require
States to use the four-year adjusted
cohort rate definition no later than the
2012–2013 school year. Other
commenters recommended that the
Department require States to use the
four-year adjusted cohort graduation
rate earlier than the proposed 2012–
2013 school year deadline; some
commenters suggested that the deadline
be the 2010–2011 school year, while
others recommended a 2011–2012
school year deadline. One commenter
suggested that States, LEAs, and schools
be required to report the adjusted cohort
graduation rate no later than the 2010–
2011 school year and to use the rate for
AYP determinations no later than the
2011–2012 school year. Some of the
commenters who suggested requiring
implementation earlier than the
proposed deadline stated that the
Department should provide States that
do not have the technical capacity to
implement the four-year adjusted cohort
graduation rate by the new deadline
additional time to do so. Most of the
commenters who suggested requiring an
earlier deadline stated that in no case
should the Department permit a State to
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implement the adjusted cohort
graduation rate any later than the 2012–
2013 school year.
Discussion: We agree with the
commenters who recommended
requiring States to implement the fouryear adjusted cohort graduation rate
earlier than the 2012–2013 school year,
given that, based on data from the recent
NGA report,9 we believe the great
majority of States will be able to do so.
We believe that an earlier deadline will
help maximize the number of States
using this rate as soon as possible.
Accordingly, the final regulations
require States to (a) report the four-year
rate beginning with report cards
providing results of assessments
administered in the 2010–2011 school
year and (b) calculate the four-year rate
for determining AYP based on school
year 2011–2012 assessment results.
Under the heading, Implementation
Timelines, later in this notice, we have
summarized the implementation
timeline for the graduation rate
requirements.
Changes: We have revised the
regulations as follows:
• New § 200.19(b)(4) provides that
States must calculate, for reporting
purposes, the four-year adjusted cohort
graduation rate, in the aggregate and
disaggregated by subgroup, beginning
with report cards providing assessment
results for the 2010–2011 school year.
• New § 200.19(b)(5) requires a State
to calculate the four-year rate, in the
aggregate and disaggregated by
subgroups, for purposes of determining
AYP, beginning with AYP
determinations based on school year
2011–2012 assessment results.
Comment: Some commenters
requested that the Department allow
flexibility for States that do not have the
capacity to implement the four-year
adjusted cohort graduation rate by the
deadline proposed in the regulations.
These commenters noted that States
may need additional time, beyond the
deadline proposed, to develop their
longitudinal data systems and to train
staff on implementing the new
requirements. Several commenters
recommended that States that currently
do not have the capacity to implement
the adjusted rate, or States that would
not be able to meet the proposed 2012–
2013 deadline, be required to
demonstrate why they do not have the
capacity, what changes they must make
in order to attain that capacity, and the
timeline for making those changes.
Commenters suggested a range of ways
a State could demonstrate this. Some
commenters suggested that this
9 Id.
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justification be required in the State’s
Accountability Workbook; one
commenter suggested that the
Department enter into compliance
agreements or timeline waivers with any
States that do not implement the rate
using the adjusted cohort definition by
the deadline.
Commenters made various
suggestions as to the information a State
should be required to provide, such as
an affirmation that it lacks the data
system to report the data; an
explanation of what changes will need
to be made to its data systems; the
transitional rate the State will use in the
meantime; a timeline for creating the
capacity and using the data; and an
agreement to file interim reports on its
progress.
Discussion: We understand, based on
the NGA report, that some States will
not be able to begin using the four-year
rate for reporting and AYP
determinations by the deadlines and
agree with the commenters who
suggested States be able to request more
time to do so. We also agree with
commenters that if these States need
more time, these final regulations
should require States to explain why
they do not have that capacity, what
changes they will make in order to
develop that capacity, and their timeline
for making those changes. We, therefore,
have added new § 200.19(b)(7), which
permits a State that is unable to meet
the 2010–2011 deadline for reporting
the four-year adjusted cohort graduation
rate to request an extension of that
deadline from the Secretary. To receive
an extension, a State must submit, by
March 2, 2009, evidence satisfactory to
the Secretary demonstrating that it
cannot meet the deadline and a detailed
plan and timeline addressing the steps
the State will take to implement, as
expeditiously as possible, a graduation
rate consistent with § 200.19(b)(1)(i)
through (iv). As a condition of
approving an extension, the Secretary
may require the State to use a more
rigorous transitional graduation rate
than it has been using until such time
as the State is able to implement the
four-year adjusted cohort graduation
rate. The Department will use the State’s
plan and timeline to provide technical
assistance and support to the State to
implement the four-year rate as soon as
possible. In addition, fiscal year 2009
grantees under the Statewide
Longitudinal Data Systems grant
program that lack the capacity to
implement the four-year rate may use
their grant to develop the data
capabilities needed to implement that
rate.
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Any State that cannot meet the 2010–
2011 deadline for reporting the fouryear adjusted cohort graduation rate and
does not submit a request for an
extension by March 2, 2009, which is
subsequently approved by the Secretary,
will be out of compliance with the
regulations. Should a State not meet the
2010–2011 deadline, the Secretary has
the authority to take appropriate action,
including, but not limited to placing a
condition on a State’s Title I, Part A
grant, requiring the State to enter into a
Compliance Agreement with the
Department, or withholding Title I, Part
A funds.
Changes: We have added the
following regulations:
• New § 200.19(b)(7)(i) provides that,
if a State cannot meet the deadline for
reporting the four-year rate in
§ 200.19(b)(4)(ii)(A), the State may
request an extension of that deadline
from the Secretary.
• New § 200.19(b)(7)(ii) requires that,
to receive an extension, a State must
submit, by March 2, 2009, evidence
satisfactory to the Secretary
demonstrating that the State cannot
meet the deadline in
§ 200.19(b)(4)(ii)(A), and a detailed plan
and timeline addressing the steps the
State will take to implement, as
expeditiously as possible, a graduation
rate consistent with § 200.19(b)(1)(i)
through (iv).
Comment: Some commenters asked
whether proposed § 200.19(a)(1)(ii)(A)
would have required States that can
calculate the adjusted cohort graduation
rate to begin using it immediately for
reporting and AYP purposes (i.e., for the
2008–2009 school year), ahead of the
timeline that we proposed in the NPRM.
Some commenters argued that, given
that most States have or are close to
having the data systems necessary to
calculate the adjusted cohort graduation
rate, the regulations should specify that
States that can immediately calculate
the adjusted cohort graduation rate must
do so. On the other hand, some
commenters opposed any requirement
that States be required to use the
adjusted cohort graduation rate
immediately.
Discussion: The final regulations do
not require immediate use of the fouryear adjusted cohort graduation rate by
States that have the systems and data
required to calculate this rate.
According to NGA, only 16 States
currently have the ability to calculate
the four-year rate.10 The Secretary has
decided not to require these 16 States to
use the four-year adjusted cohort
graduation rate for accountability
10 Id.
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purposes before the deadlines in
§ 200.19(b)(4) and (5). However, we
encourage such States to use the fouryear rate as soon as possible.
Changes: None.
New § 200.19(b)(2) (Proposed
§ 200.19(a)(1)(i))—Transitional
Graduation Rate
Comment: One commenter supported
our proposal in the NPRM to require
States that are not yet able to calculate
the adjusted cohort graduation rate to
use the AFGR on a transitional basis.
Another commenter supported the use
of the AFGR for reporting purposes
because, according to the commenter, it
would be useful to compare the AFGR
to what States are currently reporting for
graduation rate. However, for several
reasons, the vast majority of
commenters opposed requiring the
AFGR as the transitional measure of
graduation rate for accountability
purposes. First, commenters argued that
the AFGR is an inadequate substitute for
a true longitudinal rate and stated that
they did not agree with the statement in
the NPRM that research has shown the
AFGR to be a reliable, accurate estimate
of the high school graduation rate.
According to the commenters, the AFGR
would likely over-estimate graduation
rates in high schools in which students
drop out before the beginning of 10th
grade, a common occurrence in schools
serving large numbers of minority and
low-income students. The commenters
also stated that the AFGR is inaccurate
in communities with significant in-or
out-migration because the AFGR
calculation has no mechanism for
reassigning students whose families
enter or leave an LEA. Second,
commenters expressed concern that
requiring States to use the AFGR as a
transitional measure would create
additional administrative, technical,
and financial burdens and hinder States’
efforts to transition to the adjusted
cohort graduation rate, as well as hinder
efforts to educate and inform high
schools and the public of the pending
adoption of the adjusted cohort
graduation rate. Third, commenters
argued that making a significant change
now in defining graduation rate, and
then again when the adjusted cohort
graduation rate definition is
implemented, would only create
confusion, undermine public
confidence regarding graduation rate
data and school accountability systems
in general, and complicate longitudinal
analyses due to the use of as many as
three different rates as well as multiple
sets of goals and targets. Overall,
commenters stated that the problems
potentially created by using the AFGR
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as the transitional measure of
graduation rate greatly outweigh the
possible benefits of its increased
accuracy compared to the rates
currently used by some States.
Other commenters recommended
alternatives to using the AFGR. Some
commenters recommended that States
be allowed to continue using their
current graduation rate definitions until
they can implement the adjusted cohort
graduation rate. One commenter
suggested that the AFGR be required as
a transitional measure only for States
that, by 2009, have not collected at least
two years of data necessary to compute
the adjusted cohort graduation rate. One
commenter recommended the use of
what the commenter said was a more
reliable estimate of graduation rate, the
Cumulative Promotion Index (CPI)
method. Another commenter
recommended that States be allowed to
propose, for Secretarial approval, an
interim rate that measures or estimates
the number of graduates compared to
the number of students in a high
school’s entering grade; does not use
dropout data; counts as graduates only
those students who receive a regular
high school diploma; can be
disaggregated; and can be used on an
annual basis to determine a rate of
growth.
Discussion: Although we believe the
AFGR is a more valid and reliable
graduation rate measure than some
States currently use, we are persuaded
by the commenters’ reasons for not
requiring the use of the AFGR as the
transitional measure. To respond to
these concerns, we have revised the
regulations to focus States, LEAs, and
schools on moving toward a uniform
and more accurate method of
calculating high school graduation
rate—the four-year adjusted cohort
graduation rate—in order to provide
parents and the public with important
information about the number of
students graduating in four years with a
regular high school diploma, and to
ensure that AYP determinations are
based on valid graduation rate
calculations. We now believe that
requiring the use of any interim
alternative graduation rate, whether the
AFGR or the alternatives suggested by
the commenters, would not necessarily
produce increases in accuracy and
reliability, compared to current rates
used by States, sufficient to compensate
for the risks of slowing progress toward
fully implementing the four-year rate.
Changes: We have removed the
requirement in proposed
§ 200.19(a)(1)(ii) to use the AFGR as the
transitional measure for those States
that cannot yet calculate the four-year
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rate. Instead, under new § 200.19(b)(2),
a State must use either the four-year
adjusted cohort graduation rate or, on a
transitional basis, a graduation rate that
meets the requirements in current
§ 200.19(a)(1)—i.e., measures the
percentage of students from the
beginning of high school who graduate
with a regular high school diploma in
the standard number of years, or another
definition, developed by the State and
approved by the Secretary, that more
accurately measures the rate of student
graduation from high school with a
regular high school diploma.
Comment: One commenter questioned
the apparent inconsistency in the
proposed regulations that would have
required use of the AFGR in schoollevel ‘‘safe harbor’’ AYP determinations
but not for other school-level AYP
determinations.
Discussion: The proposed regulations
would not have required disaggregated
AFGR results at the school level, except
in the case of ‘‘safe harbor’’ calculations,
because we did not have sufficient
confidence in the validity of
disaggregated AFGR results with small
populations of students. However,
because section 1111(b)(2)(I)(i) of the
ESEA requires disaggregation of the
other academic indicator—in this case,
the graduation rate—in calculating ‘‘safe
harbor’’ at the school level, we had no
choice but to propose requiring
disaggregation of the AFGR for ‘‘safe
harbor’’ calculations. We note that this
apparent inconsistency is not present in
the final regulations, which do not
require use of the AFGR.
Changes: As noted previously, we
have removed the requirement in
proposed § 200.19(a)(1)(ii) to use the
AFGR as the transitional measure for
those States that cannot yet calculate the
four-year rate.
Comment: One commenter
recommended that the Department
publish State-level AFGRs for every
State through 2012–2013.
Discussion: The Department currently
publishes State-level AFGRs at the
following Web site: https://nces.ed.gov/
programs/digest/d07/tables/
dt07_102.asp?referrer=list.
Changes: None.
Comment: One commenter asked
specific questions about how to
calculate the AFGR.
Discussion: As stated previously, we
are removing the requirement to use the
AFGR as the transitional graduation rate
measure. However, information about
the AFGR is available at the following
Web site: https://nces.ed.gov/pubs2007/
dropout05/
DefiningAveragedFreshman.asp.
Changes: None.
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New § 200.19(b)(3) (Proposed
§ 200.19(d)(1))—Goal and Targets
Comment: Several commenters
supported proposed § 200.19(d) (new
§ 200.19(b)(3)), which would require
States to set a graduation rate goal that
represents the rate that the State expects
all high schools to meet and to define
how schools and LEAs must
demonstrate continuous and substantial
improvement from the prior year toward
meeting or exceeding the State’s
graduation rate goal. However, some of
these commenters expressed concern
that the proposed regulations did not go
far enough in specifying what the
Department would consider to be
rigorous goals and targets, arguing that
States are not likely to make needed
improvements in their graduation goals
and targets if they are allowed to set
their own goals and targets and are
required only to undergo another round
of Secretarial review. One commenter
noted that the proposed regulations
would not have required States’ goals
and targets to be peer reviewed and did
not provide specific guidance on how
States should set their goals and targets.
Another commenter requested
clarification about the role the
Department would play in approving
States’ goals and targets.
Some commenters noted that the term
‘‘continuous and substantial
improvement’’ in proposed
§ 200.19(d)(1)(ii) (new
§ 200.19(b)(3)(i)(B)) was not defined and
suggested that the regulations indicate
more clearly what standards States’
goals and targets would be expected to
meet. Many commenters suggested
changes intended to ensure adoption of
rigorous goals and targets, including
requiring all States to use the same goals
and targets (in part, to promote
comparability), requiring ‘‘high,
ambitious end goals’’ and growth
targets, and requiring States to set a
minimum increase in the rate each year
that is ‘‘aggressive, attainable, and
uniform.’’
Other recommendations included
adding specific goals (e.g., 90 percent)
and targets (e.g., three percent increase
annually), requiring higher targets for
five-year graduation rates than for fouryear rates, setting targets that would
eliminate subgroup differences in
graduation rates within four years, or
establishing goals that reflect the
economic needs of a State’s employers.
On the other hand, one commenter
supported flexibility in this area and
urged the Department not to impose
rigid standards for approving a State’s
goal and targets. The commenter
requested that the Department use a
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transparent peer review process and
permit States to use a variety of
approaches in setting their goals and
targets, including, for example, goals
that increase over time and definitions
of progress that use an averaging model.
Discussion: The Secretary believes
that high schools and LEAs with low
rates of graduation should not make
AYP by simply maintaining the same
low rate or minimally increasing it from
year to year. At a time when a high
school diploma is the absolute
minimum credential needed for success
in the labor force, the Secretary believes
States must set aggressive goals and
hold LEAs and high schools accountable
for graduating more of their students.
However, given the variation in State
assessment and accountability systems
and differences in State graduation
requirements, the Secretary believes that
States should have the flexibility to
establish their own graduation rate goal
and targets and, therefore, declines to
specify in these regulations what the
goal and targets must be for each State
or to define ‘‘continuous and substantial
improvement.’’
We agree that the proposed
regulations should have been clearer in
requiring States to set a single
graduation goal and to set specific
targets towards meeting or exceeding
that goal. Therefore, we have amended
proposed § 200.19(d)(1) (new
§ 200.19(b)(3)(i)) to require States to set
a single graduation rate goal that
represents the rate the State expects all
high schools in the State to meet and to
set annual graduation rate targets that
reflect continuous and substantial
improvement from the prior year toward
meeting or exceeding the graduation
rate goal.
Regarding questions about the
Department’s role in approving States’
goal and targets, the final regulations
require each State to submit its
graduation rate goal and targets to the
Department as part of its revised
Accountability Workbook, which will
be peer reviewed.
Changes: We have made the following
changes in new § 200.19(b)(3)(i)
(proposed § 200.19(d)(1)):
• Section 200.19(b)(3)(i)(A) requires a
State to set a single graduation rate goal
that represents the rate it expects all
high schools in the State to meet.
• Section 200.19(b)(3)(i)(B) requires a
State to set annual graduation rate
targets that reflect continuous and
substantial improvement from the prior
year toward meeting or exceeding the
State’s goal.
We also have added new
§ 200.19(b)(6)(i), which requires each
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State to revise its Accountability
Workbook to include the following:
• The State’s graduation rate
definition that the State will use to
determine AYP based on school year
2009–2010 assessment results (new
§ 200.19(b)(6)(i)(A)).
• The State’s progress toward meeting
the deadline in § 200.19(b)(4)(ii)(A) for
calculating and reporting the graduation
rate defined in § 200.19(b)(1)(i) through
(iv) (new § 200.19(b)(6)(i)(B)).
• The State’s graduation rate goal and
targets (new § 200.19(b)(6)(i)(C)).
• An explanation of how the State’s
graduation rate goal represents the rate
the State expects all high schools in the
State to meet and how the State’s targets
demonstrate continuous and substantial
improvement from the prior year toward
meeting or exceeding the goal (new
§ 200.19(b)(6)(i)(D)).
• The graduation rate for the most
recent school year of the high school at
the 10th percentile, the 50th percentile,
and the 90th percentile in the State,
ranked in terms of graduation rate (new
§ 200.19(b)(6)(i)(E)).
• If a State uses an extended-year
adjusted cohort graduation rate, a
description of how it will use that rate
with its four-year rate to determine
whether its schools and LEAs have
made AYP (new § 200.19(b)(6)(i)(F)).
In addition, we have added new
§ 200.19(b)(6)(ii) to require each State to
submit, consistent with the timeline in
§ 200.7(a)(2)(iii), its revised
Accountability Workbook to the
Department for technical assistance and
peer review.
Comment: Several commenters stated
that rules or policies on establishing
graduation rate goals and targets need to
be reasonable and realistic for
alternative schools, including early
college high schools and schools
designed to serve former or potential
dropout students, so as to ensure that
these schools are not penalized for
helping struggling students successfully
complete high school.
One commenter suggested that States
be permitted to set different goals for
different schools based on each school’s
present level of performance, rather
than one statewide goal. This
commenter suggested that setting the
same goal, with the same time frame, for
a high school that currently has a
graduation rate of 60 percent and a high
school with a current graduation rate of
80 percent means that the bar is set too
high for the first school and too low for
the second school.
Discussion: We agree that States
should carefully consider graduation
rate targets for alternative and early
college high schools. However, we do
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not agree that the State graduation rate
goal for alternative schools should be
lower than those for other schools
because, as with the annual measurable
objectives set for reading and math
proficiency under NCLB, States must
have the same high expectations
regarding graduation rate for all schools.
The Secretary believes strongly that
States must set a graduation rate goal
that represents the rate a State expects
all high schools to meet, but
acknowledges that it may be appropriate
for schools to have different graduation
rate targets. For example, a State might
propose targets for schools with the
lowest graduation rates that are more
aggressive than targets for schools that
are very close to meeting the State goal
since schools with the lowest
graduation rates will need to make more
progress to reach the State’s goal. A
State might propose a target that
represents a percent reduction from the
prior year in the number of students not
reaching the graduation rate goal. When
approving a State’s goal and targets, the
Department intends to consider the
relationship between the State’s goal
and its targets.
Changes: As noted previously, new
§ 200.19(b)(3)(i)(A) requires a State to
set a single graduation rate goal that
represents the rate it expects all high
schools to meet. Also, new
§ 200.19(b)(3)(i)(B) requires a State to set
annual graduation rate targets that
reflect continuous and substantial
improvement from the prior year toward
the State’s goal, but does not require
that those targets be the same for every
high school.
Comment: Several commenters
requested that the regulations require
States to be transparent in setting their
graduation rate goals and targets and
suggested requiring States to hold
public meetings or to report to the
public on their graduation rate goals and
targets. Some commenters
recommended that States explain how
they set their goals and targets and how
they plan to meet them. One commenter
suggested that LEAs be required to hold
public meetings that are accessible for
individuals with limited English
proficiency and individuals with
disabilities, and are well advertised in
advance, including through schools and,
where available, minority and
alternative language media outlets to
discuss the establishment of the State’s
graduation goal and targets. One
commenter recommended that each
State be required to report to the public
on how its goal and targets would lead
to 100 percent of students graduating
and the number of years that would be
required to meet this 100-percent
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graduation goal. Finally, one commenter
recommended requiring each State, in
setting its goal and targets, to consider
the views of experts on the needs of
students at the highest risk of dropping
out, including racial, ethnic, and
language minority students, children
from low-income families and
neighborhoods of concentrated poverty,
students with disabilities, pregnant
students or students who are parents,
and students whose families move
frequently during their school years.
Discussion: In general, the Secretary
agrees that each State should use an
open and ‘‘transparent’’ process to set
its graduation rate goal and targets. We
encourage States and LEAs to involve
parents and the public, as appropriate,
in this process. However, we decline to
regulate on any specific requirements
for such a process. We believe these
decisions are best left to States.
At the same time, we believe it is
appropriate to require each State to
include additional information on its
graduation rate goal and targets in its
Accountability Workbook. Therefore, as
noted earlier, we have amended the
final regulations to require each State to
include in its Accountability Workbook,
in addition to the State’s graduation rate
goal and targets, an explanation of how
the State’s graduation rate goal
represents the rate the State expects all
high schools to meet and of how the
State’s targets demonstrate continuous
and substantial improvement from the
prior year toward meeting or exceeding
the goal. In order for the Department
and the public to consider the
approximate number of years it will take
for a State to reach its graduation rate
goal, we are also requiring States to
include in their Accountability
Workbook, the graduation rate of the
school at the 10th percentile, the 50th
percentile, and the 90th percentile in
the State (ranked in terms of graduation
rate). We believe these three points
depict the range of graduation rates
among a State’s high schools and
provide context for considering the goal
and targets the State has chosen.
For example, a State might report in
its Accountability Workbook that it
proposes to set its graduation rate goal
at 90 percent and its target as a five
percent increase per year, and that the
school at the 10th percentile has a
graduation rate of 50 percent, which
would indicate that the State will hold
its lowest-performing schools
accountable for reaching the State’s
graduation rate goal in at least eight
years.
Changes: As previously noted, new
§ 200.19(b)(6)(i)(E) has been added to
require each State to include in its
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Accountability Workbook the
graduation rate for the most recent
school year of the high school at the
10th percentile, 50th percentile, and
90th percentile in the State (ranked in
terms of graduation rate).
Comment: Two commenters suggested
that the Department allow each State to
wait until the State implements the
four-year adjusted cohort rate before
requiring a more rigorous definition of
its graduation rate goal and continuous
and substantial improvement towards
meeting that goal.
Discussion: The purpose of setting a
meaningful graduation rate goal and
targets, whether a State has adopted the
four-year rate in new § 200.19(b)(1) or is
using a transitional rate until it can
calculate the four-year rate, is to focus
attention on graduation rates and
motivate efforts to improve these rates
as soon as possible. The Secretary does
not believe that we can afford to wait
one, two, or three years to begin
addressing the human and economic
costs of education systems under which,
on average, roughly one-quarter of the
Nation’s high school students leave
school without a diploma. When a State
changes to the four-year rate, it may
reset its goal and targets to align with
that graduation rate and resubmit any
changes to the Secretary for approval.
Changes: None.
Comment: Several commenters argued
that only Congress, not the Secretary,
has the authority to require States to set
a graduation rate goal and targets, and
that any new graduation rate
requirements should be considered only
in the context of comprehensive
changes to the overall Title I
accountability system.
Discussion: Section 1901(a) of the
ESEA authorizes the Secretary to ‘‘issue
such regulations as are necessary to
reasonably ensure that there is
compliance with [Title I].’’ The
Secretary has chosen to require a more
accurate, uniform definition of
graduation rate in order to raise
expectations and to hold high schools,
LEAs, and States accountable for
increasing the number of students who
graduate on time with a regular high
school diploma. Given the everincreasing importance of a high school
diploma, allowing high schools and
LEAs with low rates of graduation to
make AYP by simply maintaining the
same low rate or minimally increasing
the number of graduates from the
previous year would not provide for
appropriate and meaningful
accountability. Moreover, although new
§ 200.19(b)(3) requires a State to set a
graduation rate goal and targets, the
regulations leave to the States the
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determination of what the goal and
targets should be. The Secretary is
promulgating these regulations now
because Congress has not yet completed
the reauthorization of the ESEA, and
because she believes strongly that we
should continue to address the needs of
students and their parents while
Congress considers various
reauthorization proposals.
Changes: None.
Comment: Several commenters argued
that the proposed 2008–2009 timeline
for establishing the new goal and targets
would not provide adequate lead time
because many States must undergo a
thorough review and approval process
for any changes to their policies,
including, for example, reviews by
stakeholder groups, State boards of
education, and State legislatures.
Discussion: The Department agrees
that additional time is needed for States
to implement new graduation rate goals
and targets, particularly given that
States have different procedures they
must follow in adopting and
implementing new State policies.
Therefore, we have changed the
timeline to require that a State’s
graduation goal and targets under new
§ 200.19(b)(3)(ii) first be used for AYP
determinations based on school year
2009–2010 assessment results.
Changes: New § 200.19(b)(3)(ii)
requires a State to use its graduation rate
goal and targets for the first time with
AYP determinations based on school
year 2009–2010 assessment results.
Comment: Some commenters opposed
including graduation rate goals and
targets in AYP determinations, as
proposed § 200.19(d) would have
required, because, according to the
commenters, including goals and targets
would significantly increase the number
of high schools and LEAs that are
identified for improvement. The
commenters also stated that requiring
all States to resubmit their
Accountability Workbooks would result
in unnecessary expenditures of time and
money for both the States and the
Department.
Discussion: We agree that the
inclusion of a graduation rate goal and
targets in AYP calculations is likely to
increase the number of high schools and
LEAs identified for improvement,
although it is difficult to estimate the
extent of any increase because the
proportion of schools and LEAs
identified for improvement already is
rising due to higher annual proficiency
objectives as we move toward the goal
of ensuring that all students are
proficient in reading and mathematics
by 2013–2014. We believe that any
additional identifications for
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improvement that occur because high
schools or LEAs miss a State’s
graduation rate goal or targets would be
entirely appropriate as part of the
overall effort to improve graduation
rates, which is the purpose of these
regulations. In addition, we believe that
the benefits of more meaningful
accountability for graduation rates far
exceed the costs of implementing these
new requirements.
Changes: None.
New § 200.19(b)(6)(i)(F)—Determining
AYP With an Extended-Year Rate
Comment: Many of the commenters
who supported allowing the use of an
extended-year graduation rate also
recommended various ways to include
the extended-year rate with the fouryear adjusted cohort graduation rate in
determining AYP. Many commenters
recommended basing AYP
determinations primarily on the fouryear rate but giving schools and LEAs
credit for students who graduate in five
years or more. These commenters stated
that the four-year rate should constitute
a high and specific percentage (e.g., 90
percent) of the AYP calculation.
Another commenter recommended
requiring a weighted graduation index
that combines a four-year adjusted
cohort graduation rate (weighted no less
than 70 percent of the index), a five-year
adjusted cohort graduation rate, and a
longer-term adjusted cohort graduation
rate. One commenter suggested that the
Department allow States to propose
rules under which schools receive full
credit for graduating students in four
years and partial credit for students
graduating in more than four years (e.g.,
students who fall behind in credit
accumulation or otherwise struggle to
complete graduation requirements). One
commenter recommended weighting the
graduation rate calculation by giving 75
percent of the weight to the four-year
rate and the remaining 25 percent to the
extended-year rate. Some commenters
recommended requiring States to set
higher graduation rate targets for
students graduating in four years,
compared to those graduating in more
than four years. Several commenters
recommended that AYP determinations
based on the four-year and extendedyear graduation rates be calculated in
the same manner across all States to
ensure comparability; otherwise, any
differences in four-year and five-year
graduation rates should be indicated in
reports on high school graduation rates.
Discussion: As previously discussed,
the Secretary agrees that States should
be permitted to use an extended-year
adjusted cohort graduation rate, in
addition to the required four-year
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adjusted cohort graduation rate, for
purposes of determining AYP. The
Secretary offers this flexibility for States
but prefers that they adopt AYP
definitions that hold LEAs and schools
accountable for graduating the vast
majority of their students in four years.
For example, a State might use an index
that weights the four-year rate
significantly more than the extendedyear rate (e.g., 80 percent for the fouryear rate and 20 percent for the
extended-year rate) or a State might use
a higher target for the four-year rate than
for the extended-year rate (e.g., an
increase of 5 percent for the four-year
rate versus an increase of 3 percent for
the extended-year rate) and require that
an LEA or school meet both targets in
order to make AYP. The Department
plans to issue non-regulatory guidance
providing more specific examples of
how a State might use its four-year rate
and extended-year rate in AYP
calculations. Regardless of the
methodology a State uses to calculate
AYP, a State must report its four-year
rate separately from any extended-year
rate, consistent with
§ 200.19(b)(4)(ii)(B).
We believe it is important that a State
have the flexibility to consider how to
use its four-year rate and an extendedyear rate in AYP calculations, subject to
peer review and approval by the
Secretary. Therefore, as previously
noted, we have added new
§ 200.19(b)(6)(i)(F) to require a State that
uses an extended-year graduation rate to
submit to the Department, for technical
assistance and peer review, a
description, in its Accountability
Workbook, of how it will use an
extended-year rate along with its fouryear rate to determine whether its
schools and LEAs make AYP.
Changes: We have added new
§ 200.19(b)(6)(i)(F) to provide that, if a
State uses an extended-year cohort
graduation rate, the State must submit
as part of its Accountability Workbook,
for peer review and approval by the
Secretary, a description of how it will
use its extended-year rate with its fouryear rate to determine whether its
schools and LEAs have made AYP.
Section 200.19(b)(5) (Proposed
§ 200.19(e))—Disaggregation for
Determining AYP
Comment: Some commenters
expressed support for the requirement
to disaggregate graduation rates in
proposed § 200.19(e) because, according
to the commenters, disaggregation of
data is vital to realizing the goals of
improving graduation rates for
subgroups with below-average
graduation rates. Some commenters
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supported reporting disaggregated
graduation rates but opposed the use of
these rates in AYP determinations
because, according to the commenters, it
would add another level of complexity
and confusion to AYP calculations and
potentially erode support for the core
principles of NCLB.
Many commenters opposed the
requirement to use disaggregated data in
AYP determinations because they
believed more schools and LEAs would
not make AYP based on disaggregated
data. Other commenters opposed the
regulation because, they claimed, it
would disproportionately affect the
most diverse schools. One commenter
argued that this requirement increases
the Federal role in education, rather
than diminishing it, and focuses on
process instead of achievement. One
commenter urged caution because of the
likely variability in graduation rates
among small subgroups, while another
claimed that verifying disaggregated
results could make it difficult for a State
to release AYP results before the start of
the school year.
Discussion: When the current
regulations were issued in 2002 (67 FR
71710, 71742 (Dec. 2, 2002)), the
Department believed that permitting
States to use aggregate graduation rate
data for the purpose of determining
AYP, while requiring disaggregation for
reporting, would be sufficient to ensure
school and LEA accountability for the
achievement of all groups of students
and would avoid overburdening State
accountability systems. Six years later,
we now know that simply reporting
disaggregated graduation rate data is not
sufficient to ensure that graduation rates
improve for all students. Although we
recognize that the use of disaggregated
graduation rates in AYP determinations
may increase the number of schools and
LEAs identified for improvement, we
decline to eliminate this requirement
because we believe too many high
schools currently are not being held
accountable for improving graduation
rates that are well below the national
average. Moreover, it is evident that
there are significant disparities in
outcomes among subgroups. For
example, data provided by NCES show
significant gaps in subgroup AFGRs.
Data from the 2005–2006 school year
found that the average AFGR for white
students was 80.6 percent, whereas the
average AFGR for Hispanic, black, and
American Indian/Alaska Native
students was 61.4 percent, 59.1 percent,
and 61.8 percent, respectively.11 Similar
to the importance of disaggregating
assessment results to ensure that high
performance by the ‘‘all students’’ group
does not mask low performance by
subgroups of students, we believe
schools and LEAs need to be held
accountable for the differences in
graduation rates among subgroups.
Changes: None.
Comment: A number of commenters
recommended that the Department wait
to require disaggregation of graduation
rates until the ESEA is reauthorized.
Some commenters, for example,
opposed the use of disaggregated
graduation rates in determining AYP
until the rates can be considered in the
context of the overall structure of States’
accountability systems. Some
commenters stated that now is not the
right time to add new data cells for
determining AYP when efforts to
improve the ESEA’s accountability
system, such as the Department’s
differentiated accountability pilot, have
not had a chance to take effect on a large
scale.
Discussion: As discussed previously,
the Secretary proposed new graduation
rate regulations precisely because
Congress has not yet completed the
reauthorization of the ESEA, and
because she believes strongly that we
cannot delay addressing this critical
area. The Secretary has chosen to
regulate use of a uniform definition of
graduation rate and disaggregation of
that rate for accountability purposes in
order to raise expectations and to hold
high schools, LEAs, and States
accountable for increasing the number
of students who graduate on time with
a regular high school diploma. We note
that the final regulations in new
§ 200.19(b)(5) would not require
disaggregation of graduation rates for
AYP purposes until a State makes AYP
determinations based on school year
2011–2012 assessment results.
Changes: None.
Comment: Several commenters
recommended requiring disaggregation
of graduation rate data for AYP
purposes earlier than the timelines in
proposed § 200.19(e). Other
commenters, who generally supported
the regulations, suggested a later
timeline to coincide with the use of the
adjusted cohort graduation rate or, to
ensure comparable data, after the
adjusted cohort rate has been
implemented fully for at least two years.
Discussion: Proposed § 200.19(e)(2)
would have required States, beginning
in the 2008–2009 school year, to
disaggregate graduation rate data (either
11 National Center for Education Statistics. (2008).
Public School Graduates and Dropouts from the
Common Core of Data: School Year 2005–2006.
Washington, DC: Author.
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the AFGR or the adjusted cohort
graduation rate) at the LEA and State
levels for determining AYP, and at the
school, LEA, and State levels for
reporting. All States would have been
required to use the adjusted cohort
graduation rate and disaggregate
graduation rate for AYP and reporting
purposes no later than the 2012–2013
school year.
The Secretary has modified the
timeline for disaggregating graduation
rate data in the final regulations to
require States to report disaggregated
data for the four-year adjusted cohort
graduation rate one year before
disaggregated data are required for AYP
determinations. The Secretary believes
that this timeline will enable a State to
resolve any data quality and accuracy
issues associated with calculating the
four-year rate and disaggregating the
results prior to using those
disaggregated results to determine AYP
based on school year 2011–2012
assessment results.
States that cannot meet the 2010–2011
deadline for calculating the four-year
rate and receive an extension from the
Secretary, as provided in new
§ 200.19(b)(7)(iii), must make AYP
determinations using a transitional
graduation rate, as provided in new
§ 200.19(b)(2), in the aggregate and
disaggregated by subgroups at the same
time as States that implement the fouryear rate—that is, for AYP
determinations based on school year
2011–2012 assessment results.
Changes: We have made the following
changes in the final regulations to
reflect the modifications to the timeline
for disaggregating graduation rates:
Reporting
• New § 200.19(b)(4)(ii)(A) requires
reporting the four-year adjusted cohort
graduation rate in the aggregate and
disaggregated by subgroups at the high
school, LEA, and State levels on report
cards providing results of assessments
administered in the 2010–2011 school
year.
• New § 200.19(b)(4)(ii)(B) requires
that, if a State adopts an extended-year
adjusted graduation cohort rate, the
State must report that rate separately
from the four-year rate, in the aggregate
and disaggregated by subgroups,
beginning with the first year for which
the State calculates such a rate.
• New § 200.19(b)(4)(ii)(C) requires,
prior to school year 2010–2011,
reporting of graduation rate, in the
aggregate and disaggregated by
subgroups, at the high school, LEA, and
State levels using either the four-year
adjusted cohort graduation rate or the
transitional rate.
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Determining AYP
• New § 200.19(b)(5)(i) requires that a
State use the four-year adjusted cohort
graduation rate, in the aggregate and
disaggregated by subgroups, at the high
school, LEA, and State levels for
determining AYP beginning with AYP
determinations based on school year
2011–2012 assessment results.
• New § 200.19(b)(5)(ii) requires that,
prior to school year 2011–2012, a State
calculate graduation rate, in the
aggregate, using either the four-year
adjusted cohort graduation rate or the
transitional rate, for determining AYP at
the high school, LEA, and State levels,
although disaggregation is required for
‘‘safe harbor.’’
• New § 200.19(b)(7)(iii) provides that
a State that cannot meet the school year
2010–2011 deadline for calculating and
reporting the four-year rate and receives
an extension from the Secretary, must
make AYP determinations based on
school year 2011–2012 assessment
results, in the aggregate and
disaggregated by subgroups, using the
State’s transitional graduation rate
under § 200.19(b)(2).
Comment: One commenter expressed
concern that requiring graduation rates
to be disaggregated for the purpose of
calculating AYP may be a disincentive
for States to set an aggressive graduation
rate goal and targets.
Discussion: Although we understand
this commenter’s concern, as noted
previously the Secretary will review
each State’s graduation rate goal and
targets to ensure that the State sets (1)
a single goal that represents the on-time
graduation rate the State expects all
high schools to meet, and (2) targets that
demonstrate continuous and substantial
improvement toward meeting or
exceeding that goal, in order to make
AYP.
Changes: None.
Comment: Several commenters argued
that requiring States to use
disaggregated graduation rate data in
AYP determinations exceeds the
Secretary’s legal authority and has no
basis in statute. One of these
commenters further argued that
requiring States to use disaggregated
graduation rate data in AYP
determinations appears to contradict
section 1111(b)(2)(C)(vi) and (vii) of the
ESEA, which, according to the
commenter, gives States the authority to
determine their own other academic
indicators.
Discussion: We believe the
commenter has misunderstood the
statutory requirements regarding the
need to use other academic indicators in
determining AYP. Section
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1111(b)(2)(C)(vi) of the ESEA requires a
State to select one other academic
indicator (in addition to assessment
results and assessment participation
rates) to be used in determining AYP,
but also specifies that, for high schools,
that indicator must be the graduation
rate. Thus, graduation rate is a required
element of determining AYP for high
schools, not an element that, at a State’s
discretion, may or may not be adopted.
A State has discretion to select the other
academic indicator for elementary and
middle schools. In addition under
section 1111(b)(2)(C)(vii) of the ESEA, a
State has discretion to select other
academic indicators, in addition to
those required by section
1111(b)(2)(C)(vi), that must be measured
separately for each group described in
section 1111(b)(2)(C)(v) of the ESEA,
provided those additional indicators do
not reduce the number of or change the
schools that would otherwise be subject
to school improvement.
Section 1111(b)(2)(C)(vi) of the ESEA
does not explicitly address, and thus
does not prohibit, the use of results
disaggregated by subgroup for the other
academic indicators required for AYP
determinations, including graduation
rate. We believe that stronger subgroup
accountability with respect to
graduation rate is needed in order to
accomplish the statutory purpose of
Title I—that is, ‘‘to ensure that all
children have a fair, equal, and
significant opportunity to obtain a highquality education’’ by closing the
achievement gap between high- and
low-performing students, especially
between minority and non-minority
students and between disadvantaged
students and their more advantaged
peers, and to hold schools and LEAs
accountable for improving the
achievement of all students (see section
1001 of the ESEA). We believe the best
way to close the gap in graduation rates
among subgroups is to hold schools
accountable for the graduation rate of
those groups. Accordingly, the Secretary
has decided to require disaggregation of
graduation rate data for calculating AYP
as well as for reporting and believes this
regulation is well within her regulatory
authority under section 1901(a) of the
ESEA to ‘‘issue such regulations as are
necessary to reasonably ensure that
there is compliance with [Title I].’’
Changes: None.
Comment: Several commenters stated
that minimum group size should be
considered before including a
subgroup’s graduation rate in AYP
determinations. One commenter
suggested that the danger in using the
graduation rate for relatively small
subgroups is that small shifts in counts
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of students could generate large changes
in graduation rates. Some commenters
suggested that the same minimum group
size used for including subgroups in
AYP determinations be used for
graduation rate subgroup accountability.
Several commenters also asked whether
any of the statistical measures allowed
in current AYP calculations, including
multi-year averaging of data and
confidence intervals, would be allowed
for the graduation rate indicator. One of
these commenters recommended that
these statistical measures be permitted
in order to minimize the effect of
normal yearly fluctuations among
cohorts of students on AYP
determinations.
Discussion: Section 200.7(a) requires
that a State determine the minimum
number of students sufficient to yield
statistically reliable information for each
purpose for which disaggregated data
are used. This requirement applies to
graduation rates used for AYP
calculations; States are permitted to set
minimum group sizes and to use other
statistical measures, such as multi-year
averaging, to ensure statistical
reliability. Some statistical measures,
however, such as confidence intervals,
which generally are used with samples
of a population rather than an entire
population, would likely not be
appropriate if applied to graduation
rates, which are actual counts of
individual students in a cohort. The
Department will review any proposed
application of statistical measures to
graduation rates as part of its review of
States’ Accountability Workbooks under
new § 200.19(b)(6).
Changes: None.
Comment: One commenter stated that
the proposed regulations erred in
requiring a State and its LEAs to report
disaggregated graduation rates only for
the subgroups in § 200.13(b)(7)(ii),
which does not include gender and
migrant status as required by section
1111(h) of the ESEA. (Section
200.13(b)(7)(ii) describes the subgroups
for AYP accountability as economically
disadvantaged students; students from
major racial and ethnic groups; students
with disabilities as defined in section
9101(5) of the ESEA; and students with
limited English proficiency as defined
in section 9101(25) of the ESEA.) The
commenter claimed that, by removing
gender and migrant status from the
statutory list of subgroups that must be
used for reporting purposes, the
Department exceeded its rulemaking
authority.
Discussion: The Secretary disagrees
with the commenter that the proposed
regulations erred in requiring
disaggregation only for the subgroups
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described in § 200.13(b)(7)(ii)
(subgroups for determining AYP), rather
than the subgroups listed in section
1111(h)(1)(C)(i) of the ESEA (report
cards). The list in section
1111(h)(1)(C)(i), which includes gender
and migrant status in addition to the
subgroups in § 200.13(b)(7)(ii), pertains
to reporting disaggregated achievement
results on a State’s academic
assessments. Section 1111(h)(1)(C)(vi) of
the ESEA, which requires reporting
graduation rates for secondary school
students, contains no similar list of
disaggregation categories. Accordingly,
we have taken our cue from section
1111(b)(2)(C)(v)(II) of the ESEA and
§ 200.13(b)(7)(ii), which list the
subgroups for which a State must
disaggregate data for AYP purposes. It is
these categories that a State uses to
calculate ‘‘safe harbor’’ and that these
regulations now require for
disaggregating AYP results. Therefore,
we believe it is appropriate to require
reporting of disaggregated graduation
rates only by the categories that are used
for other AYP purposes, because
graduation rate data will already be
disaggregated by those categories.
Changes: None.
Comment: A number of commenters
recommended changes to the subgroups
for which graduation rates must be
disaggregated. Several commenters, for
example, questioned the need to
disaggregate by race or ethnicity
because, they argued, substantial
evidence exists to show that
socioeconomic status is a more
meaningful indicator than race when it
comes to student performance. On the
other hand, some commenters suggested
requiring further disaggregation of
student racial subgroups by
socioeconomic status to reveal a more
accurate picture of student performance
in each subgroup. One commenter
recommended that disaggregation be
required for former LEP students and
recently arrived LEP students in
addition to LEP students in general. One
commenter suggested requiring
disaggregation by additional ethnic
subgroups, particularly Asian
subgroups. Several commenters
suggested that the regulations require
reporting graduation rates in a format
that can be cross-tabulated so that users
of the data can identify and evaluate the
interplay of race, ethnicity, disability,
poverty, and other factors. One
commenter recommended requiring a
State and its LEAs to report data on
students who do not graduate,
disaggregated by the reasons for not
graduating.
Discussion: Although the Department
understands the intent of these
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commenters, we do not think it would
be appropriate or beneficial to change
the requirements for disaggregating
graduation rates beyond the subgroups
described in § 200.13(b)(7)(ii) that are
used for determining AYP. We believe
that requiring disaggregation of data for
these subgroups is sufficient to ensure
meaningful and comprehensive
accountability for all high schools and
LEAs with respect to graduation rate.
Further, we are concerned that the more
specific the subgroup categories, the less
likely they would actually be reflected
in accountability decisions because too
few students would likely fall into a
given category. Further, we note that
each State determines which major
racial and ethnic categories in the State
will be used in accountability
determinations. Although we agree that
cross-tabulation of subgroups could be
informative, we believe that requiring
cross-tabulation would be excessively
burdensome and costly for States and
also could raise privacy concerns if the
resulting groups are small. Although a
State may not eliminate subgroups from
those described in § 200.13(b)(7)(ii), a
State is not prohibited from adding
reporting categories that may provide
additional insights on why students do
not graduate from high school.
Changes: None.
Comment: One commenter
recommended that the regulations
require standardized business rules
across States with regard to how they
calculate graduation rates for certain
subgroups (e.g., the LEP subgroup or the
students with disabilities subgroup) in
which students may enter or exit during
their four years of high school (e.g.,
reporting graduation rates by subgroup
based on a student’s status as a first time
9th grader).
Discussion: Under current
§ 200.19(d)(2)(ii), States have been
required to include disaggregated
graduation rates on their State report
cards since December 2002. States
should, therefore, already have business
rules for determining how to count
students who enter or exit a subgroup
during high school. We agree with the
commenter that it is important for States
to create and maintain these kinds of
rules and will provide guidance to
States on ways to count students who
enter or exit a subgroup during high
school. However, we believe it would be
inappropriate for the Department to
require specific business rules across
States.
Changes: None.
Comment: Some commenters stated
that a student who falls within more
than one subgroup should not be
counted in the graduation rate more
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than once. The commenters
recommended that the Department
develop special formulas to address
students belonging to more than one
subgroup so as not to affect unfairly the
graduation rate and resulting AYP status
of schools and LEAs. One commenter
recommended permitting States to
explain to the public that students may
be counted in more than one subgroup.
Discussion: The Department declines
to address the issue of student
membership in multiple subgroups in
the final regulations. Section
1111(b)(2)(C)(v) requires AYP to be
defined so that it applies separately to
the achievement of all public
elementary and secondary school
students as well as to the achievement
of students in each of four specific
subgroups: economically disadvantaged,
major racial and ethnic groups, students
with disabilities, and LEP students. This
provision serves a very important
purpose: to focus attention on those
schools and LEAs in which the ‘‘all
students’’ group may be achieving but in
which particular subgroups may not be
achieving. The statute does not
authorize, either expressly or implicitly,
a State to choose to omit certain
subgroups, to ‘‘prioritize’’ subgroups
and thus give greater weight to students
in some subgroups over others, or to
randomly select one of several
subgroups to which a student would be
assigned. There simply is no support in
the statute for a State to include a
student in some but not all of the
subgroups in which the student is a
member. To do so would misrepresent
the achievement of subgroups.
We believe it is important to know
how each subgroup performs with
respect to graduation rate. Even if it
were possible to develop a special
formula for assigning students to only
one subgroup for the purpose of
disaggregating graduation rates, such an
approach would skew the data for
particular subgroups, because not all
students who fall within each subgroup
would be counted. However, States
may, if they choose, explain on their
report cards that students may be
counted in more than one subgroup.
Changes: None.
Comment: One commenter asked why
high schools must be held accountable
for subgroup performance for graduation
rate when elementary and middle
schools are not held accountable for
subgroup performance for their other
academic indicators.
Discussion: The Secretary is requiring
disaggregation only of graduation rates
for determining AYP because she
believes it is critically important to
improve the graduation rates of
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subgroups. By holding schools and
LEAs accountable for ensuring that each
subgroup either meets or exceeds the
State’s graduation rate goal or meets its
annual target, we hope to focus greater
attention on improving graduation rates
for all students. Moreover, there is no
single indicator for elementary or
middle schools that has an impact
comparable to graduation rate on the
lives and economic opportunities of
millions of students. We do not believe
that requiring disaggregation of the
other academic indicators for
elementary or middle schools would
have the same critical effect of
improving student outcomes that it will
for high schools.
Change: None.
New § 200.19(b)(4) (Proposed
§ 200.19(e))—Reporting
Comment: Some commenters
recommended that States be required to
report three-, five-, six- and seven-year
graduation rates in addition to a fouryear rate. One commenter recommended
requiring States to report an aggregated
graduation rate, as well as disaggregated
data, on the number and percentage of
students who drop out of high school,
attend high school but do not graduate,
‘‘age out’’ (i.e., reach the State’s
maximum age for public education and
leave high school without a regular
diploma), transfer to another school, or
die. Another commenter requested that
the regulatory requirements for
reporting graduation rates be clear so
that State reports are accurate and
comparable. Several commenters
suggested that the Department require
schools to track and report the
graduation rates of students who are
pregnant and students who are parents.
One commenter recommended requiring
States to report dropout rates
(aggregated and disaggregated),
completion rates for students enrolled
in alternative programs, GED credential
completion rates, and rates of students
who complete high school course
requirements but do not pass State high
school graduation examinations.
Discussion: States and LEAs must
report a four-year rate, as well as any
extended-year rate they use in AYP
calculations, in the aggregate and
disaggregated by the subgroups
described in § 200.13(b)(7)(ii). As
discussed earlier, the final regulations
require each State and its LEAs to report
a four-year rate, consistent with new
§ 200.19(b)(1). In addition, under new
§ 200.19(b)(1)(v), a State may, but is not
required to, adopt an extended-year rate.
If a State does not calculate a four-year
rate before the deadline specified in
new § 200.19(b)(4), the State must use a
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transitional graduation rate, consistent
with new § 200.19(b)(2). The
requirements in new § 200.19(b)(2) are
virtually identical to the graduation rate
definition in current § 200.19(a).
If a State adopts an extended-year
rate, the extended-year rate must be
reported separately from the four-year
rate in order to ensure that LEAs and
schools are held accountable both for
their performance in graduating
students in the four-year timeframe and
for their success in teaching students
who need more time to obtain a regular
high school diploma. A State must also
report its transitional rate if it does not
calculate a four-year adjusted cohort
graduation rate before the deadlines
specified in new § 200.19(b)(4).
We agree that information about the
total number of students in the
graduating cohort, the number who
graduated in four years, and the number
who graduated in more than four years
would provide a more complete
description of how high schools are
addressing the needs of their students.
We also believe that the data would
provide the Department, States, LEAs,
and schools with information that is
essential in understanding the reasons
for low graduation rates and for
designing better programs and services
to help students graduate from high
school who are at risk of dropping out
and those who have dropped out. The
Department plans to propose that States
report these data to the EDFacts system,
the centralized portal through which
States submit their education data to the
Department. States are currently
required to submit aggregated and
disaggregated graduation rates to
EDFacts (OMB collection 1810–0614).
Requiring these additional data to be
reported through EDFacts will not add
a significant burden to States because
these data are needed to calculate the
four-year adjusted cohort graduation
rate required in new § 200.19(b)(1)(i)
through (iv) and any extended-year
adjusted cohort graduation rate in new
§ 200.19(b)(1)(v). Almost all States have
begun the process of developing the
data systems and data definitions
needed to calculate a four-year rate. The
Department will notify the public of its
plans to collect these data through a
notice in the Federal Register and
provide the public with an opportunity
to comment on these new data
collection requirements.
We agree that the other high school
data that commenters recommended
States collect and report (e.g., dropout
rates; the number of students who age
out, become pregnant, or are parents;
transfer students; and deceased
students) might provide useful
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information. However, we do not
believe that this information (with the
exception of dropout rates) is essential
and, therefore, decline to add burden to
States by requiring them to collect and
report these data. We note that data on
the number of students who drop out
are currently collected as part of the
Common Core of Data, and we will
continue to collect these data. A
disaggregated State-level dropout rate is
currently collected as part of the
Consolidated State Performance Report.
The Department does not anticipate any
additional reporting requirements for
dropout data at this time.
Changes: As noted earlier, we have
revised the final regulations to provide
in new § 200.19(b)(4) that a State and its
LEAs, beginning with report cards
providing assessment results for the
2010–2011 school year, must report,
under section 1111(h) of the ESEA
(annual report cards), the four-year
adjusted cohort graduation rate at the
school, LEA, and State levels in the
aggregate and disaggregated by the
subgroups in § 200.13(b)(7)(ii). In
addition, new § 200.19(b)(4)(ii)(B)
requires a State that adopts an extendedyear rate to report, beginning in the first
year for which the State calculates such
a rate, the extended-year rate separately
from the four-year rate.
Comment: Several commenters stated
that the definition of ‘‘graduation’’
under the IDEA and the ESEA are not
the same and recommended that
graduation rate calculations and
reporting under the two laws be better
aligned. Some commenters suggested
that the Department align the data
systems and reporting requirements
under the IDEA and the ESEA,
specifically related to post-school
transition outcomes.
Discussion: Neither the IDEA nor the
ESEA regulations define ‘‘graduation,’’
but the use of the term is consistent
across the programs. New
§ 200.19(b)(1)(iv) of the ESEA
regulations and § 300.102(a)(3)(iv) of the
IDEA regulations make clear that a
regular high school diploma does not
include an alternative degree that is not
fully aligned with the State’s academic
standards, such as a certificate or a GED
credential.
In new § 200.19(b)(1), the Department
has established a uniform method for
calculating graduation rate under the
ESEA, rather than the multiple methods
that were permitted under current
§ 200.19(a)(1). Section 612(a)(15) of the
IDEA requires States to establish
performance goals for children with
disabilities that are the same as the
annual measurable objectives in the
State’s definition of AYP under the
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ESEA and that address graduation rate,
among other factors. We are aware that
some States do not report the same
graduation rates in their IDEA State
Performance Plans (SPPs) and in their
Annual Performance Reports (APRs)
that they use for calculating AYP under
the ESEA. In the future, States will be
required to use the four-year adjusted
cohort graduation rate and any
extended-year rate in their IDEA SPPs
and APRs, consistent with the timelines
in these regulations, and align the IDEA
SPP graduation rate goals with the goal
and targets that a State uses for
accountability under Title I.
However, some differences in
reported graduation rates are
unavoidable. In particular, section 618
of the IDEA requires the Department to
collect and report by State each year the
number and percentage of children with
disabilities, from age 14 through 21,
who stopped receiving special
education and related services and the
reasons why those students stopped
receiving special education and related
services. Based on these data, the
Department considers the ratio of 14
through 21 year old students with
disabilities who stopped receiving
special education and related services
(i.e., the denominator) with the number
of students with disabilities who
graduated from high school with a
regular high school diploma (i.e., the
numerator). The Department uses these
data to report, for Government
Performance Results Act purposes, a
rate of children with disabilities who
graduate with a regular high school
diploma for each State that is computed
differently than the graduation rate
under new § 200.19(b)(1).
Finally, with regard to the
recommendation that the Department
align the data reporting requirements
related to post-school transition
outcomes, we note that, although States
are required to report annually to the
Department post-secondary outcome
data related to students with disabilities
as part of their APRs under the IDEA,
there is no similar requirement under
the ESEA; thus there is nothing to align.
Changes: None.
Section 200.20(h) Making Adequate
Yearly Progress
Comment: Numerous commenters
expressed support for our proposal in
§ 200.20(h) to permit all States to
request authority to incorporate
individual student academic growth
(using what is often referred to as a
‘‘growth model’’) in a State’s definition
of AYP. One commenter stated that the
criteria established in § 200.20(h)(2) are
sufficiently rigorous to ensure that the
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lowest-achieving students must make
the greatest gains in order for schools to
make AYP using measures of individual
student growth, while also providing
useful information about student
achievement and growth. Another
commenter, however, recommended
that we adopt clearer and more specific
approval criteria. Several commenters
objected to proposed
§ 200.20(h)(2)(i)(B), which would
require a State’s annual growth targets
to be based on meeting the State’s
proficient level of academic
achievement on the State’s assessments
and not on individual student
background characteristics. These
commenters stated that a school should
receive credit for any growth, regardless
of whether the growth is sufficient to
achieve proficiency by 2013–2014.
Alternatively, two commenters
expressed concern that students who are
already far behind their peers will never
reach proficiency and close the
achievement gap if they make only the
same amount of progress as their peers.
These commenters acknowledged that
students who are below grade level
must make more than a year’s growth in
a school year to reach proficiency by
2013–2014. These commenters also
expressed concern that States lack the
technical knowledge necessary to set
appropriate growth targets for LEP
students.
Discussion: We believe that
§ 200.20(h) establishes the criteria
necessary to ensure that schools
continue to be held accountable for the
achievement of all students, while
providing flexibility for States to
propose a variety of growth models that
provide schools and teachers with
useful information on how their
students are progressing towards gradelevel proficiency.
Consistent with section 1111(b)(2)(F)
of the ESEA, a State’s accountability
system must ensure that all students are
proficient by 2013–2014. The
Secretary’s intent in these regulations is
to allow States to include accurate
measures of individual student
academic progress in AYP calculations,
not to lower expectations for student
achievement.
The criteria established in
§ 200.20(h)(2) help ensure that States
develop growth models that hold
schools accountable for the achievement
of all students to State standards. It is
not sufficient to provide ‘‘credit for any
growth’’ as this would not encourage
efforts to close the achievement gap,
which by definition requires accelerated
growth.
In response to the commenters who
suggested that States do not have the
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technical expertise to set appropriate
targets for LEP students,
§ 200.2(h)(2)(i)(A) and (B) specifically
requires a State to establish annual
targets for individual students that will
lead to all students being proficient by
the 2013–2014 school year and that the
annual targets be based on meeting the
State’s proficient level of academic
achievement on the State’s assessments,
not on an individual student’s
background. Therefore, setting growth
targets does not require expertise in the
achievement of particular groups of
students (e.g., LEP students). Rather,
States must have the technical
understanding of how to establish
appropriate student academic growth
targets that result in all students
reaching grade-level proficiency.
Schools must make the greatest gains
with the lowest-achieving students
because the expectation for reaching or
exceeding grade-level proficiency
remains the same for all students and
groups of students. Thus, in order for a
school or LEA to make AYP using its
growth model, the achievement gap
must continue to close. Moreover,
although growth models must measure
the growth of students who are at or
above proficiency in order to provide
information to schools and parents,
their performance may not be used to
mask the lack of growth for students
who are below proficient.
Changes: None.
Comment: A number of commenters
disagreed with the criterion proposed in
§ 200.20(h)(2)(iv), which would require
a State’s growth model to be based on
State assessments that produce
comparable results from grade to grade
and from year to year in mathematics
and reading/language arts, have been in
use by the State for more than one year,
and have received full approval from
the Secretary. Some commenters argued
that States should be allowed to use
adaptive and formative assessments in
their growth models. One commenter
recommended revising the criterion to
permit a specified amount of annual
growth through the use of pre- and posttest gains as a more accurate measure of
accountability for instructional gains.
Discussion: Section 1111(b)(3) of the
ESEA requires States to develop and
implement student academic
assessments and to use the results of
those assessments in reading/language
arts and mathematics to determine AYP.
Because strong accountability depends
on the quality of those assessments,
section 1111(b)(3)(C) sets forth a number
of requirements that a State’s
assessments must meet. The Secretary
believes strongly that these
requirements must also be the basis for
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measuring individual student growth.
The regulations do not prohibit a State
from using any particular form of
assessment, such as adaptive
assessments or pre- and post-test gains
to measure student achievement for
determining AYP, provided those
assessments meet the requirements in
section 1111(b)(3)(C) of the ESEA and
§§ 200.2 and 200.3.
Changes: None.
Comment: A few commenters
objected to the requirement in
§ 200.20(h)(2)(iv)(C) that allows a State
to use a growth model only if the State
has a fully approved standards and
assessment system. One commenter
suggested that States with partial
approval of their assessment systems be
allowed to implement a growth measure
using the approved assessments. The
commenter argued that disapproval of a
State’s alternate assessment that, even if
approved, would not be able to measure
student growth accurately should not
preclude a State from using a growth
model. Another commenter expressed
concern that the requirement for full
approval of a State’s assessment system
potentially excludes many States that
use additional assessments at the high
school level that are not used for AYP
determinations under NCLB and,
therefore, are not approved by the
Secretary through the peer review
process. This commenter recommended
amending the criteria in
§ 200.20(h)(2)(iv)(C) to permit the use of
State assessments to measure individual
student academic growth at the high
school level if at least one assessment
used in the growth model calculation
receives full approval by the Secretary
and if the other assessments used in the
growth model, while not required to
receive the Secretary’s approval,
produce results comparable to the
results from assessments approved by
the Secretary.
Discussion: The foundation of a
State’s accountability model is its
standards and assessments in reading/
language arts and mathematics. The
desire to incorporate individual student
growth into AYP determinations is not
a rationale for undermining that
foundation. The Secretary believes
strongly that for a State to be eligible to
implement a growth model it must have
fully approved assessments in reading/
language arts and mathematics, which
include alternate assessments for
students with disabilities. States must
be able to demonstrate that they have
the capacity to develop and administer
such assessments and ensure that all
students are validly and reliably
assessed before turning their attention to
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developing a model to measure
individual student academic growth.
Changes: None.
Comment: We received several
comments about how to account for
students with disabilities in a State’s
growth model. One commenter stated
that a State’s growth model should
measure the achievement of students
with disabilities based on progress in
meeting their IEP goals in order to be
consistent with the IDEA. Others stated
that the criteria for growth models
should specifically require States to
include the scores of students with
disabilities who take alternate
assessments based on alternate,
modified, or grade-level academic
achievement standards.
Discussion: The Department has
previously addressed in other
rulemakings whether States may
measure the achievement of students
with disabilities against the goals in
their IEPs, rather than against gradelevel academic achievement standards
for purposes of determining AYP. The
Department’s position has consistently
been that this practice does not comply
with the ESEA (see 68 FR 68698 (Dec.
9, 2003)) and we have no reason to
adopt a different position now. Section
1111(b)(1)(B) of the ESEA requires a
State to apply the same grade-level
academic content and academic
achievement standards to all students in
the State, including students with
disabilities. Section 1111(b)(3)(C)(ix) of
the ESEA requires a State’s assessment
system, which is based on these gradelevel achievement standards, to assess
students with disabilities, with or
without appropriate accommodations.
Except for the small population of
students with disabilities for whom the
Department’s regulations in § 200.6(a)(2)
permit a State to measure achievement
with alternate assessments based on
alternate or modified academic
achievement standards, students with
disabilities must be assessed based on
the State’s grade-level academic
achievement standards, not a student’s
IEP goals. There is no reason that
measuring individual student academic
growth should be based on anything
different.
We agree with the comment that
students with disabilities who are
assessed with an alternate assessment
should, to the extent possible, be
included in a State’s growth model. The
Department believes it is possible to
include results from alternate
assessments based on alternate
academic achievement standards in a
growth model. Currently, two of the 11
States approved in the growth model
pilot include results from their alternate
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assessments based on alternate
academic achievement standards in the
State’s growth model. The Department
strongly encourages States to pursue
models that include the results of
alternate assessments based on alternate
academic achievement standards.
However, we understand that not all
alternate assessments can support a
growth measure. In many cases, the
technical complexity needed for a
State’s growth model may not be
supported by alternate assessments
based on alternate or modified academic
achievement standards. Alternate
assessments based on modified
academic achievement standards, in
particular, are still in their infancy, not
having been permitted until the
Department’s April 2007 Title I
regulations,12 and currently no State has
met all ESEA requirements for these
assessments. As such, it may be difficult
for a State that is developing an
alternate assessment based on modified
academic achievement standards to
achieve the stability in those
assessments necessary to meaningfully
and validly include the results in its
growth model. The Department will
continue to work with States on
understanding how these assessments
can best be included in growth models
and encourages States to pursue models
that support the inclusion of alternate
assessments based on modified
academic achievement standards. States
submitting growth model proposals to
the Department for peer review should
include all students in their growth
model, to the extent possible, and must
provide a justification for the exclusion
of any students. We note, however, that
all students, including students with
disabilities who take alternate
assessments must be included in AYP
determinations under § 200.20(a)(1)
(‘‘status’’) and § 200.20(b) (‘‘safe
harbor’’).
Changes: None.
Comment: Several commenters
supported the use of growth models
generally, but stated that it is too early
to allow all States to use a growth model
because there is still much to be learned
from the original growth model pilot.
The commenters recommended that a
report on the lessons learned from the
original growth model pilot be
completed before the Department allows
all States to adopt growth models.
Discussion: The Secretary believes
that these commenters may have
misunderstood the intent of the
proposed regulations. The regulations
do not provide blanket authority for all
States to incorporate individual student
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academic progress in their definitions of
AYP. Rather, the regulations establish
the criteria that a State must meet before
the State may implement such a model.
We believe that the criteria in proposed
§ 200.20(h) provide sufficient rigor to
ensure that schools are held accountable
for the grade-level achievement of all
students, while giving schools the
opportunity to demonstrate progress
toward this goal. Therefore, although
the regulations afford all States the
opportunity to implement a growth
model, in order to implement such a
model a State must demonstrate that its
growth model meets all seven criteria
described in § 200.20(h)(2)(i) through
(vii). Moreover, as with the proposals
submitted in the growth model pilot, a
State’s proposal to use a growth model
must be approved by the Department
through its peer review process.
Changes: None.
Comment: One commenter supported
the expanded use of growth models, but
encouraged the Department to ensure
that States have data systems that are
technically capable of supporting a
growth model.
Discussion: The Department agrees
with this commenter that it is important
for a State using a growth model to have
a data system that can accurately
measure student academic growth on
the State’s assessments from grade to
grade. Section 200.2(h)(2)(iv) and (v)
require that a State wishing to
incorporate student academic growth in
its definition of AYP have a fully
approved assessment system that has
been operational for more than one year
and a data system that can track student
progress through the State data system.
This is particularly important for
students who move between schools or
LEAs over time. Through the
Department’s peer review process, we
will ensure that a State’s data system is
sufficiently robust to support the State’s
growth model.
Changes: None.
Comment: One commenter
recommended that the regulations
reflect the urgency of high school
accountability by promoting States’
efforts to incorporate individual student
academic progress into high school
accountability determinations.
Discussion: The Department agrees
that there is a need for greater
accountability at the high school level.
The ESEA, however, requires only one
year of testing at the high school level.
As a result, it is difficult for a State to
accurately measure growth from a
student’s 8th grade assessment to his or
her high school assessment. For this
reason, the Secretary does not believe it
would be appropriate to require States
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to incorporate individual student
academic progress into high school
accountability determinations; however,
we welcome and encourage States to
find innovative ways to include
individual student academic progress in
measures of academic achievement at
the high school level.
Changes: None.
Comment: One commenter requested
that the Department add a requirement
for LEAs to provide a plan for
measuring student academic growth for
students who transfer or transition out
of traditional high school settings into
alternative educational settings, such as
workforce training or post-secondary
‘‘bridge’’ programs. The commenter
stated that growth models are
particularly helpful for alternative
educational settings that cater to
struggling students.
Discussion: A State that implements
individual student academic growth
measures at the high school level should
include students who transfer to
alternative high schools. Tracking such
students should be possible because
§ 200.20(h)(2)(v) requires a State to
demonstrate that it has a data system
capable of tracking students as they
move between schools or LEAs over
time. However, as explained in the
response to the previous comment,
because most States administer a high
school assessment in only one grade, it
is often difficult to measure student
growth at the high school level,
regardless of whether students are
transferring schools. As a result, the
Secretary declines to adopt the
commenter’s suggestion.
Changes: None.
Comment: One commenter supported
the proposal to permit States to
incorporate individual student
academic growth in their definitions of
AYP, but asked that the Department also
increase scientifically based research on
the development of growth models. The
commenter also recommended requiring
States to obtain stakeholder input in the
development of their growth models.
Discussion: The Department
recognizes the importance of
scientifically based research and is
supporting an external evaluation of the
growth model pilot, which will inform
the field and increase the level of
knowledge about successful growth
models that other States might replicate.
With regard to the recommendation to
require States to obtain stakeholder
input, we agree that stakeholder input
in the development of a State’s growth
model is important, particularly given
that most growth models include very
complex mathematical formulas and
computations that require technical
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expertise. However, we believe that
each State is in the best position to
determine how and when to involve
stakeholders in the process of
developing its growth model.
Changes: None.
Comment: Several commenters
supported the proposed regulations,
stating that they will add consistency to
how growth models are approved and
implemented. However, these
commenters questioned how the
regulations would affect the
Department’s ability to approve
flexibility agreements under section
9401 of the ESEA. Specifically, these
commenters stated that the purpose of
section 9401 is to permit and support
innovation by States through waivers of
statutory or regulatory requirements,
and that the constraints included in
proposed § 200.20(h) would potentially
undermine that purpose. These
commenters requested clarification
regarding whether the Secretary would
retain authority to approve applications
for flexibility under section 9401,
including growth model applications.
Discussion: The Secretary’s intent in
promulgating the criteria in § 200.20(h)
that a State’s growth model must meet
is to establish clear criteria that the
Department can apply consistently in
approving flexibility agreements
proposing the use of growth models
under section 9401 of the ESEA. To the
extent that a State’s growth model
proposal is particularly innovative or
unique in ways that conflict with the
regulatory criteria in § 200.20(h), the
Secretary may exercise her authority in
section 9401 to waive those criteria, as
she can with most other statutory and
regulatory requirements. Given that
§ 200.20(h) reflects the criteria that the
Secretary deems essential for quality
growth models, however, we do not
anticipate that the Secretary will need to
waive those criteria in many, if any,
circumstances. These regulations in no
way constrain the Secretary’s authority
to approve flexibility agreements under
section 9401 with regard to other
matters.
Changes: None.
Comment: Several commenters stated
that the criteria in proposed
§ 200.20(h)(2) are too restrictive and that
the models that the Department would
allow under the regulations are really
trajectory models that do not give full
credit for gains in student achievement.
One of the commenters added that,
because of the restrictions imposed by
the criteria in § 200.20(h)(2), the growth
models approved by the Department
would produce the same results as
status models.
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Discussion: The Department disagrees
that the requirements established by
§ 200.2(h)(2) are too restrictive. Through
the growth model pilot, the Department
approved a variety of models. These
models include trajectories of student
performance, as well as value tables that
assign points based on movement across
achievement levels. In response to the
comment that growth models produce
the same results as status models
because the Department’s criteria for
growth models are restrictive, we note
that the relevant question for growth
models is whether they truly measure
gains in student achievement in a
school or LEA, not the degree to which
AYP determinations may vary using a
growth model versus a status model or
as a way for more schools to make AYP.
We believe that growth models can
strengthen accountability by providing
more useful information on the
performance of individual students to
schools, teachers, and parents.
Changes: None.
Comment: One commenter objected to
the statement in the preamble in the
NPRM that encouraged States to include
a teacher identifier in their data
systems. The commenter argued that
this statement was included to promote
teacher pay-for-performance initiatives.
The commenter noted that experts do
not believe it is possible to validly
isolate and evaluate the effect of
teachers on student achievement.
Another commenter, however,
supported the statement.
Discussion: We believe that the
information gained by including a
teacher identifier could provide States,
schools, and teachers with valuable
information to guide a number of policy
objectives; for example, linking student
performance with specific teachers
could guide professional development
or other instructional improvement
strategies. We note, however, that the
criteria in § 200.20(h)(2) do not require
a State’s growth model to include a
teacher identifier.
Changes: None.
Comment: One commenter requested
that funds be appropriated to support
States in implementing a longitudinal
student information system.
Discussion: Through the IES’
Statewide Longitudinal Data Systems
program, the Department has provided
almost $122 million to 27 States to
design, develop, and implement
statewide longitudinal data systems that
can accurately manage, analyze,
disaggregate, and use individual student
data. In addition, the President’s fiscal
year 2009 budget request for this
program is $100 million, a significant
increase intended to support new
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awards to States that have not yet
received funding under the program,
while also supporting the expansion of
systems in previously funded States.
The 2009 budget request could support
approximately 32 new awards for
developing longitudinal data systems or
expanding existing data systems to
include postsecondary and workforce
information, as well as funding for State
coordinators and data coordination. It is
the Congress, however, and not the
Department, that makes the final
decision on Federal education
appropriations.
Changes: None.
Comment: Several commenters agreed
that States should be permitted to use
individual student academic growth
measures when determining AYP, but
asked that the Department permit any
State that would like to use such a
model to do so.
Discussion: Section 200.20(h) does
not limit the number of States that may
incorporate individual student
academic growth into their AYP
definitions, but establishes specific
criteria growth models must meet to
ensure that they produce technically
sound results that uphold the core
tenets of the NCLB. The criteria outlined
in § 200.20(h) are designed to promote
ingenuity while ensuring that States
have the capacity to implement growth
measures through stable standards and
assessments that are part of data systems
that can track student progress and
measure student achievement over time
so as to ensure accountability for gradelevel proficiency in reading and
mathematics.
Changes: None.
Comment: A few commenters
suggested amending § 200.20(h) to allow
States to implement other types of
growth measures, particularly for States
that do not have the capacity to measure
individual student progress.
Discussion: The intent of § 200.20(h)
is to guide the development and
implementation of measures of
individual student academic progress. A
State with an innovative growth model
that does not measure individual
student academic progress may request
permission to use that model for
purposes of determining AYP through a
flexibility agreement under section 9401
of the ESEA that the Secretary may
grant, at her discretion. States that do
not have the capacity to measure
individual student progress are already
using a group measure of progress
through what is referred to as ‘‘safe
harbor.’’ This approach allows a school
to make AYP when the percent of
students who were not proficient from
one year to the next decreases by at least
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10 percent. This is, in fact, a measure of
school progress already allowed and
used by every State.
Changes: None.
Comment: A few commenters
requested that the Department expand
upon § 200.20(h)(3), which requires a
State’s growth model proposal to be
peer reviewed. These commenters
suggested that experts in the teaching
and learning of LEP students and
students with disabilities be a part of
the peer review process.
Discussion: The Department intends,
throughout the peer review of State
growth model proposals, to continue to
include peers with expertise in
assessing students with diverse needs,
as has been the case under the growth
model pilot.
Changes: None.
Section 200.22 National Technical
Advisory Council (National TAC)
Section 200.22(a)
National TAC
Purpose of the
Comment: One commenter stated that
establishing the National TAC should
not result in another layer of review of
State accountability plans, like the Title
I peer review process, that could
prevent States from implementing
innovative accountability solutions. One
commenter recommended that the
expert findings from the National TAC
inform the peer review process and
provide guidelines to States on what
constitutes acceptable practice in
technical areas. Another commenter
stated that there appeared to be overlap
in the roles of the National TAC and the
peer review process and asked how the
peer review panels and the National
TAC would coordinate their
responsibilities. The commenter stated
that the membership of the National
TAC appears to focus primarily on
individuals with technical knowledge in
statistics and psychometrics, which
appears inconsistent with the
requirements for the peer review
process in section 1111(e) of the ESEA.
Another commenter stated that the
purpose of the National TAC should be
to review and approve or deny State
accountability plans.
Discussion: The functions of the peer
review process and the National TAC
are different, but complementary.
Section 1111(e)(1)(A) of the ESEA
requires the Secretary to establish a peer
review process for the review of State
plans and to appoint peer reviewers
who are representative of parents,
teachers, SEAs, and LEAs, and familiar
with educational standards,
assessments, accountability, the needs
of low-performing schools, and other
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educational needs of students. The
National TAC will not replace this peer
review process and will not review, or
recommend for approval or disapproval,
individual State accountability plans.
Rather, the National TAC will consider
complex technical issues that affect all
States, and on which the Department
would benefit from discussions with
experts in the fields of educational
standards, assessments, accountability,
statistics, and psychometrics (e.g., the
appropriate use of confidence intervals
and performance indexes). The
Department intends to use the advice
from the National TAC to inform the
peer review process and provide
guidance to States. In sum, the National
TAC will have a broad advisory role but
will not participate in the review and
approval of individual State
accountability plans.
Changes: None.
Comment: One commenter stated that
creating a National TAC to advise the
Secretary empowers the current
Secretary or future secretaries with
additional authority well beyond that
which is circumscribed by the law
creating the U.S. Department of
Education.
Discussion: We do not agree that
creating the National TAC is beyond the
authority of the Department of
Education Organization Act (DEOA)
(Pub. L. 96–88), 20 U.S.C. 3401 et seq.
There is a long history of the Federal
government seeking advice from the
public on Federal policies and
programs. Recognizing the value of
advice from the public, Congress
enacted the Federal Advisory
Committee Act (FACA) (Pub. L. 92–
463), 5 U.S.C. App. 2, in 1972. Section
3(2) of FACA specifically provides that
committees may be established by
statute, reorganization plan, or the
President, or by a Federal agency. The
Department will ensure that the
National TAC adheres to the
requirements of FACA and operates in
a transparent and open manner,
including by providing opportunities for
the public to comment.
Changes: None.
Comment: Numerous commenters
supported the formation of the National
TAC so long as it includes widely
respected scholars and practitioners and
is non-partisan. However, one
commenter questioned the value of and
compelling need for the National TAC at
this time, and a few commenters stated
that appointments to the National TAC
should be made by a new
Administration. Another commenter
stated that establishing the National
TAC is in direct conflict with the
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effective and efficient administration of
Title I.
Discussion: We agree that the National
TAC should include widely respected
scholars and practitioners and be
nonpartisan. That is why § 200.22(b)(3)
requires a very public and open process
for soliciting nominations from the
public for National TAC members and
§ 200.22(b)(1) requires the National TAC
to include persons who have knowledge
of and expertise in the design and
implementation of educational
standards, assessments, and
accountability systems, including
experts with technical knowledge
related to statistics and psychometrics.
On August 13, 2008, Secretary
Spellings announced the appointment
of 16 members to the National TAC. All
members are experts in assessment and
accountability and represent a range of
backgrounds from academicians and
researchers to national, State, and local
policymakers. The following Web site
has a list of the council members and
their affiliations: https://www.ed.gov/
news/pressreleases/2008/08/
08132008.html. Proposed § 200.22(b)(2)
would have provided for 10 to 15
National TAC members. We have
changed the number of members to 10
to 20 to conform with the Secretary’s
desire to appoint 16 members to the
National TAC.
We do not agree that creation of the
National TAC is in direct conflict with
the effective and efficient
administration of Title I, or that
appointments to the National TAC
should be made by a new
Administration. There are a number of
complex technical issues related to State
standards, assessments, and
accountability systems that we have
identified as important issues to be
considered by the National TAC. For
example, the appropriate use of
confidence intervals and performance
indexes in determining AYP are issues
that would benefit from immediate
consideration by the National TAC. In
addition, we plan to use the National
TAC to advise the Department on how
a State should determine an appropriate
minimum group size taking into
consideration other elements of the
State’s AYP definition, consistent with
the amendments to § 200.7 that we are
adopting. We believe that addressing
these issues as soon as possible will
benefit the Department, States, and,
ultimately, students in ensuring that
State standards and assessments are of
the highest technical quality and that
State accountability systems hold
schools and LEAs accountable for the
achievement of all students.
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Changes: The number of National
TAC members has been changed from
‘‘10 to 15’’ to ‘‘10 to 20’’ in
§ 200.22(b)(2).
Comment: One commenter stated that
the Department should not rely solely
on the National TAC for advice, but
should utilize existing resources in the
Department (e.g., IES) and other
agencies (e.g., National Science
Foundation), as well as commissioned
studies (e.g., by the Government
Accountability Office (GAO)) in making
decisions on technical issues related to
standards, assessments, and
accountability.
Discussion: We agree with the
commenter. The Department values the
information provided by existing
resources in the Department, as well as
information provided by other agencies
and commissioned studies. The
Department will continue to avail itself
of these resources, along with the advice
of the National TAC, in addressing
technical issues related to the design
and implementation of standards,
assessments, and accountability
systems.
Changes: None.
Comment: One commenter supported
the creation of the National TAC, but
stressed that it should be sensitive to
State authority and the need to permit
latitude for States to develop their own
innovative approaches to standards,
assessments, and accountability
systems. Several commenters expressed
concern that the National TAC not
adhere to a ‘‘one-size-fits-all’’ approach.
Discussion: The Department has no
intention of using the National TAC to
arrive at a single national answer to
every issue it is asked to address, nor do
we believe that the regulatory language
implies or suggests that this is the
Department’s intent. We recognize a
State’s authority to develop its own
standards, assessments, and
accountability system.
Changes: None.
Comment: One commenter
recommended that States receive
technical assistance from the National
TAC at least six months prior to the date
a State’s revised accountability plan is
due.
Discussion: The purpose of the
National TAC is to advise the Secretary
on key technical issues related to State
standards, assessments, and
accountability systems that are part of
State plans. We do not anticipate that
the National TAC will provide direct
technical assistance to States. However,
we do anticipate using the advice that
we receive from the National TAC to
provide technical assistance to States on
improving their accountability systems.
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Changes: None.
Comment: One commenter suggested
that the National TAC consider how the
Carl D. Perkins Career and Technical
Education Act of 2006, Public Law 109–
270, 20 U.S.C. 2301 (Perkins Act),
relates to NCLB and examine ways to
better align the Perkins Act with NCLB
and to incorporate the learning that
takes place in work-based settings into
accountability determinations.
Discussion: The National TAC will
focus on key technical issues related to
State standards, assessments, and
accountability systems that are part of
State plans under Title I. Examining the
alignment of the Perkins Act with NCLB
would not be in keeping with the
Department’s intentions for the National
TAC. However, the National TAC may
consider requirements under the
Perkins Act that are related to State
standards, assessments, and
accountability under Title I.
Changes: None.
Comment: One commenter
recommended that the National TAC (a)
focus on ensuring that the reauthorized
ESEA meets the needs of the education
community; (b) work with the education
research community to develop new
research that is informed by and useful
to education practitioners; (c) provide
advice to the Department about how the
Department can develop guidance with
recommendations that can be most
effectively implemented in schools; and
(d) offer guidance about how the
Department can best communicate with
teachers and the larger education
community.
Discussion: The recommendations
provided by the commenter are not in
keeping with the Department’s intention
for the National TAC, which is that it
advises the Secretary on key technical
issues related to State standards,
assessments, and accountability systems
that are part of State plans under Title
I.
Changes: None.
Section 200.22(b) Members of the
National TAC
Comment: Various commenters
recommended that parents; current K–
12 teachers and practitioners;
principals; professional groups
concerned with measuring student
achievement; educators with an
understanding of career and technical
education; and individuals representing
all core academic subjects, including
social studies, music, and other arts, be
required members of the National TAC.
Other commenters stated that the
National TAC should include a crosssection of experts, including
practitioners in the areas of curriculum,
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standards, measurement, statistics,
psychometrics, policy, and State and
LEA accountability systems. Several
commenters stated that the National
TAC should not be limited to experts,
but include practitioners, members of
community-based organizations, and
professionals who reflect the interests of
LEAs and communities.
Discussion: The purpose of the
National TAC is to advise the Secretary
on key technical issues related to State
standards, assessments, and
accountability systems. The National
TAC will consider complex issues that
affect all States, as well as issues that
would benefit from discussions with
experts in the field. Section 200.22(b)(1)
specifically requires the members of the
National TAC to have knowledge of and
expertise in the design and
implementation of educational
standards, assessments, and
accountability systems, including
technical knowledge related to statistics
and psychometrics. Individuals who
meet these criteria and who are also
parents, current K–12 teachers and
practitioners, principals, educators with
an understanding of career and
technical education, representatives of
professional groups concerned with
measuring student achievement,
members of community-based
organizations, individuals with
expertise in core academic subjects, and
others would bring important
perspectives to the National TAC.
However, we do not agree that such
individuals without technical expertise
in standards, assessments, and
accountability should be required
members of the National TAC.
Changes: None.
Comment: Many commenters
emphasized the importance of ensuring
that National TAC members are trusted
by the States and include experts with
knowledge about the operational aspects
of administering assessments and with
experience in handling the practical
challenges that States and LEAs face in
implementing assessment and
accountability systems. Other
commenters emphasized the importance
of including local education
practitioners as members of the National
TAC in order to ensure that the realities
of NCLB implementation in schools and
LEAs are considered. A few commenters
recommended that at least 50 percent of
the members be individuals who are
directly responsible for implementing
the requirements of NCLB.
Discussion: We agree that it is
important to include experts with firsthand knowledge of and experience in
assessments and accountability at the
State and local levels as members of the
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National TAC. That is why
§ 200.22(b)(1) requires the National TAC
to include members with knowledge
and expertise in the design and
implementation of educational
standards, assessments, and
accountability systems. The 16 members
that the Secretary appointed to the
National TAC on August 13, 2008 reflect
her desire for the National TAC to
include experts with State and local
experience in assessments and
accountability. We believe that experts
with experience in these areas,
regardless of whether they are currently
directly responsible for implementing
NCLB, have valuable information and
experiences to contribute to the
National TAC. Moreover, the primary
purpose of the National TAC is to advise
the Secretary on technical issues (such
as statistical validity and reliability)
related to the standards, assessments,
and accountability systems required by
NCLB. For this reason, the membership
of the National TAC is necessarily
weighted toward individuals with
technical expertise.
Changes: None.
Comment: A number of commenters
objected to the Secretary appointing the
members of the National TAC. One
commenter stated that National TAC
members should be selected
independently and suggested that the
President of the National Academy of
Sciences screen and select members.
Another commenter recommended that
the members be appointed by their
peers. Several commenters
recommended that States and LEAs play
a role in appointing members to the
National TAC. Other commenters stated
that stakeholder organizations should be
permitted to elect a member with
appropriate expertise to serve on the
National TAC. Another commenter
urged the Department to ensure that the
process for selecting National TAC
members is fully transparent, explicit,
and inclusive and that the selection
process for the National TAC meets the
requirements of FACA so as to ensure a
fair and balanced council. The
commenter stated that it is critical to
include diverse viewpoints and identify
potential conflicts of interest when
decision-makers are being chosen so
that processes remain fair and open.
One commenter stated that the specific
criteria used in the selection process
were not included in the regulations
and that, unless a more transparent and
inclusive process to select the members
is provided, the National TAC would
have no credibility.
Discussion: Section 200.22(b)(3)
requires the use of a very public and
open process to solicit nominations
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from the public for National TAC
members. The selection of National TAC
members complied with the
requirements of FACA that the council
be fairly balanced in terms of points of
view, including the members’
backgrounds and qualifications. We
believe that this requirement, along with
the requirements in § 200.22(b)(1) that
members of the National TAC have
knowledge of and expertise in the
design and implementation of
educational standards, assessments, and
accountability systems, sufficiently
outlines the criteria for selecting
National TAC members.
The members of the National TAC are
Special Government Employees (SGEs)
and, as such, are subject to all Federal
conflict-of-interest laws and regulations.
Consistent with FACA and the
members’ status as SGEs, the
Department provided prospective
members of the National TAC with
information regarding the Department’s
standards of conduct, including those
imposed by Federal conflict-of-interest
statutes. As required in § 200.22(b)(4),
the Secretary screened nominees for
membership on the National TAC for
potential conflicts of interest in order to
prevent, to the extent possible, such
conflicts, or the appearance thereof, in
the National TAC’s performance of its
responsibilities under this section.
We do not agree that the selection of
the National TAC members should be
made by anyone other than the
Secretary. The purpose of the National
TAC is to advise the Secretary on key
technical issues related to State
standards, assessments, and
accountability systems. It would defeat
the purpose of the National TAC for the
Secretary and the Department to select
members of the National TAC who did
not represent a range of perspectives,
from a variety of fields, and with diverse
viewpoints. That is why the regulations
specifically require that the National
TAC include persons who have
knowledge of and expertise in the
design and implementation of
educational standards, assessments, and
accountability systems, including
experts with technical knowledge
related to statistics and psychometrics.
Changes: None.
Comment: Several commenters
recommended that the National TAC
include members who represent the
diverse needs and situations of States.
The commenters stated that the National
TAC should include members from
different geographic regions of the
United States, and members from States
that differ in terms of their size and
populations. Several commenters stated
that the National TAC should include
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members with knowledge of and
expertise with diverse student
populations. A number of commenters
supported the creation of the National
TAC so long as it includes at least one
member with expertise on assessment
and accountability for students with
disabilities, including students with the
most significant cognitive disabilities.
Several commenters recommended
requiring at least one member of the
National TAC to have knowledge in the
design and implementation of
educational standards, assessments, and
accountability systems for LEP students.
Discussion: We agree that the National
TAC should include members who have
experience with diverse populations,
such as students with disabilities and
LEP students and have modified
§ 200.22(b)(1) to require inclusion of
members with that expertise. We note
that the members of the National TAC
appointed by the Secretary on August
13, 2008 include such experts.
Regarding the comment that members
come from different regions of the
United States and from small and large
States, we do not believe that selecting
members based on where they live
would be beneficial in enabling the
National TAC to fulfill its purpose and,
therefore, decline to make the change
suggested by the commenter.
Nevertheless, we also note that the
members of the National TAC appointed
in August represent a cross section of
the Nation.
Changes: We have revised
§ 200.22(b)(1) to require the National
TAC to include persons who have
knowledge of and expertise in the
design and implementation of
educational standards, assessments, and
accountability systems for all students,
including students with disabilities and
LEP students.
Comment: One commenter asked for
information about the tenure of National
TAC members, including whether there
will be a rotation schedule for selecting
members and whether membership on
the National TAC will be connected to
a specific Secretary’s tenure. Another
commenter recommended requiring that
appointments to the National TAC be
made at the discretion of the Secretary
and not include fixed terms of service.
Discussion: All members serve at the
pleasure of the Secretary. The next
Secretary may appoint new members at
his or her discretion. That said, the
charter provides that each member
appointed by the Secretary shall serve a
term of three years, except that the
terms of the initial members shall be
staggered as follows: One year for five
members; two years for five members;
and three years for six members. Initial
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terms of members are determined by a
random selection process at the time of
appointment. No member may serve
more than two terms.
Changes: None.
Section 200.22(d) Rules of Procedure
for the National TAC
Comment: Several commenters asked
how the Department and the Secretary
will ensure that there is a balanced
perspective on issues considered by the
National TAC. A number of commenters
emphasized the importance of
‘‘transparency’’ in the operation of the
National TAC. Several commenters
urged that the meetings of the National
TAC be public so that States and the
public can participate and understand
the recommendations made to the
Department. One commenter
recommended requiring transparency so
that members of the public would not
have to exercise their rights under the
Freedom of Information Act. One
commenter supported the National TAC
in theory, but opposed the proposed
regulation, stating that the process for
creating the National TAC lacked
safeguards against bias. Another
commenter expressed concern that a
small group of people would have the
power to drive assessment policies and
stated that the proposed regulations
gave too much power to an advisory
council that the public would not be
able to hold accountable. The
commenter stated that the Secretary and
Congress should not rely on a single
source of advice, but should obtain
advice from a variety of professionals,
practitioners, and organizations
representing many fields of expertise in
order to ensure that a broad crosssection of the public will be heard and
to mitigate against a panel skewed by
ideology or special interests.
Discussion: The National TAC
operates in a manner that is open and
transparent to the public and provides
opportunities for a fair and balanced
discussion of the issues. The National
TAC strictly adheres to FACA, which
requires that meetings be announced at
least fifteen days in advance and that
meetings are presumed to be open to the
public except in certain limited
circumstances. In short, the provisions
of FACA require that the Department:
(a) Arrange meetings of the National
TAC at reasonably accessible and
convenient locations and times; (b)
publish advance notice of meetings in
the Federal Register; (c) open National
TAC meetings to the public; (d) make
available for public inspection, subject
to the exceptions of the Freedom of
Information Act, papers and records,
including detailed minutes of each
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meeting; and (e) maintain records of
expenditures.
In addition, as required by FACA, the
Department has appointed a full-time
Federal employee (Designated Federal
Official, or DFO) who will (a) call,
attend, and adjourn meetings of the
National TAC; (b) approve agendas; (c)
maintain required records on costs and
membership; (d) ensure efficient
operations; (e) maintain records for
availability to the public; and (f) provide
copies of council reports to the
Department’s Committee Management
Officer for forwarding to the Library of
Congress.
We believe that the commenter’s
concerns that a small group of people
would have the power to drive
assessment policies are unfounded. The
National TAC is an advisory committee,
not a policy-making body. As such, it
will provide the Secretary with advice,
which the Secretary will consider along
with information from other resources
within the Department and from outside
sources.
Changes: None.
Comment: One commenter requested
more detail on the creation,
organization, and governance of the
National TAC. The commenter
requested information on who creates
the internal governance procedures for
the council; whether the procedures can
be amended; and the parameters of the
work of the council. Another
commenter requested that the
regulations elaborate on the National
TAC members’ specific duties and terms
and the meetings that the National TAC
will hold.
Discussion: We believe that the
parameters of the National TAC’s work
are clearly stated in § 200.22(a). The
Department followed all FACA
requirements, including rules on
governance, in establishing the National
TAC. As required by FACA, the
National TAC published a charter that
includes detailed information about the
purpose of the council, its structure,
meetings, estimated annual cost, and
reporting requirements. The Department
filed the charter for the National TAC on
April 7, 2008 with the relevant
committees of the U.S. House of
Representatives and the U.S. Senate, the
Library of Congress, the Secretary, and
the General Services Administration
(GSA), as required by FACA. The
charter is posted on the Department’s
Web site at https://www.ed.gov/about/
bdscomm/list/ntac/.
We believe that this detailed
information is more appropriate for
inclusion in the National TAC’s charter
and, therefore, decline to follow the
commenter’s recommendation to
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include these procedures in the
regulations. In response to the
commenter who asked about amending
the National TAC’s procedures,
changing the National TAC’s procedures
would require amending the charter,
which can be done if the need arises.
Changes: None.
Comment: One commenter
encouraged the Department to permit
ongoing and regular access to the
National TAC by States and to allow
States to bring forward complex issues
for the National TAC to consider.
Another commenter recommended
changing the regulations to require that
the findings and recommendations of
the National TAC be publicly available
through the Department’s Web site.
Discussion: The Department will
include time for public comment at each
meeting of the National TAC. This will
provide an opportunity for States, as
well as the public, to have regular
opportunities to comment on the work
of the National TAC. We agree that the
findings and recommendations of the
National TAC should be publicly
available through the Department’s Web
site, but decline to follow the
recommendation to add a regulation to
achieve this goal. We believe this action
is unnecessary because the National
TAC’s charter states that the Council
will, in lieu of an annual report, provide
a summary of the proceedings, prepared
by the DFO and reviewed and approved
by the Council, to the public after every
meeting. The meeting summary will, at
a minimum, contain the topics
discussed, a summary of the discussion,
and recommendations for the
Department, including, as appropriate,
recommendations on research that the
Department might undertake. The
meeting summaries, along with a
transcript of every meeting, will be
posted on the Department’s Web site. As
noted previously, this Web site is
https://www.ed.gov/about/bdscomm/list/
ntac/.
Changes: None.
Comment: One commenter stated that
it is not clear what authority the
National TAC will have and whether
decisions made by the National TAC
will be binding on the Department in its
consideration of future policies.
Discussion: The National TAC
operates under the rules and
requirements of FACA. Under section
9(b) of FACA, agencies are not required
to implement the advice or
recommendations of their Federal
advisory committees; advisory
committees are by definition advisory
and, therefore, the recommendations
and advice of the National TAC are not
binding on the Department.
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Changes: None.
Commenter: A few commenters, while
supportive of establishing the National
TAC, questioned whether it was
necessary to include the requirement to
establish the National TAC in the
Department’s regulations. Another
commenter noted that the Department
published a notice in the Federal
Register on March 18, 2008, establishing
the National TAC, and stated that
proposing the National TAC in the
NPRM was unnecessary because it was
clear that decisions about the National
TAC had already been made.
Discussion: Although we did not
necessarily need to codify the authority
to establish the National TAC in our
regulations, we chose to do so in the
interest of transparency and continuity.
We intended that, by including our
proposals concerning the National TAC
in the NPRM, the public would have a
greater opportunity to comment and
make recommendations on how the
National TAC might be structured and
operated. The input we received has
been very helpful and, as a result of
public comments, we have changed the
regulations to require the National TAC
to include members with expertise in
standards, assessments, and
accountability for students with
disabilities and LEP students. Providing
for the establishment of the National
TAC in the regulations also will ensure
that the Department continues to benefit
from the advice of experts in the field
and that the public continues to have
the opportunity to provide input on
overarching standards, assessment, and
accountability issues. Just as States have
established State technical advisory
committees to advise them on the
development and implementation of
their State standards, assessments, and
accountability systems, we believe that
regular access to a group of experts will
benefit the Department, States, and,
ultimately, students in ensuring that
State standards and assessments are of
the highest technical quality and that
State accountability systems hold
schools and LEAs accountable for the
achievement of all students.
Changes: None.
Sections 200.32 and 200.50
Identification of Schools and LEAs for
Improvement
Comment: Many commenters
supported our proposed changes to
§ 200.32 to codify current Department
policy that an LEA may base
identification of a school for
improvement on whether the school did
not make AYP because it did not meet
the annual measurable objective (AMO)
in the same subject for two consecutive
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years, but may not limit such
identification to those schools that did
not meet the AMO in the same subject
for the same subgroup for two
consecutive years. We proposed a
similar change to § 200.50, regarding
State identification of LEAs for
improvement.
Several commenters misunderstood
the proposed regulation and thought
that the regulation permitted LEAs to
limit identification of schools for
improvement to schools that did not
meet the AMO in the same subject for
the same subgroup every year. In
addition, the majority of those who
commented opposed the regulatory
changes, stating that they are overly
rigid and would restrict States’ and
LEAs’ authority and flexibility to target
LEAs and schools that are truly in need
of improvement. Several commenters
stated that the Department is exceeding
its administrative authority by
promulgating a regulation that is not
expressly authorized in the statute.
Discussion: As stated in the preamble
to the NPRM, we are codifying the
Department’s current policy in order to
establish clear parameters for LEAs and
States to use when identifying schools
and LEAs for improvement. We believe
that this policy and the final regulations
are consistent with the statute, its
emphasis on proficiency in separate
subjects, and its requirement to include,
in AYP calculations, separate
participation rates for mathematics and
reading/language arts assessments.
Section 1116(b)(1) of the ESEA
requires an LEA to identify for school
improvement any Title I school that
fails, for two consecutive years, to make
AYP as defined under section
1111(b)(2). Section 1116(c)(3) contains a
similar requirement for identifying
LEAs for improvement. There is
flexibility in section 1111(b)(2) to
permit an LEA to identify schools (and
a State to identify LEAs) in need of
improvement on the basis of not making
AYP in the same subject for two
consecutive years. This flexibility stems
from other provisions in the statute that
treat reading and mathematics
independently (e.g., separate starting
points and AMOs). These provisions
recognize that student achievement in
reading and mathematics in a State may
start at very different points and, thus,
that the State would need to establish
different trajectories for reaching 100
percent proficiency in each subject. As
a result, it makes sense to permit an
LEA to identify schools (and a State to
identify LEAs) in need of improvement
based on not making AYP for two years
in the same subject.
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Subgroups, on the other hand, are not
treated differently in the ESEA and,
thus, the statute does not support
identifying schools or LEAs for
improvement on the basis of ‘‘samesubgroup’’ performance for two
consecutive years. Moreover, such a
policy would be inconsistent with the
accountability provisions in section
1111(b)(2)(C) of the ESEA, which
require that each subgroup meet the
State’s AMOs in each subject each year.
The intent of school identification is not
to lay blame on a particular group of
students, as a ‘‘same subgroup/same
subject’’ approach would do, but to
identify the instructional and academic
areas that need to be improved. A
school or LEA that is identified for
improvement should look to specific
instructional remedies in the subject
area, other indicator, or participation
rate that resulted in its identification.
Changes: None.
Section 200.37 Notice of Identification
for Improvement, Corrective Action, or
Restructuring
Section 200.37(b)(4)(iv) Notification of
Available School Choices
Comment: A number of commenters
expressed support for the requirement
in § 200.37(b)(4)(iv) that LEAs notify the
parents of eligible students of their Title
I public school choice options at least
14 calendar days before the start of the
school year (14-day notification
requirement). At the same time, a
number of commenters objected to the
14-day notification requirement
because, according to the commenters,
most SEAs cannot release AYP data to
LEAs in time for LEAs to determine
students’ eligibility for public school
choice and notify families about their
public school choice options 14 days
before the start of the school year.
Commenters stated that the 14-day
notification requirement does not
acknowledge the complexities of
making AYP determinations, which
involve scoring assessments, ensuring
that test scores are received on time,
verifying the accuracy of the data, and
computing AYP for the seven required
grades, all of which can result in
delaying AYP determinations. Other
commenters noted that, although
parental notification is an LEA
responsibility, LEAs do not control
when test results or AYP data are
available and would not be able to meet
the 14-day notification requirement
unless States provide AYP
determinations to LEAs in a timely
manner.
Some commenters expressed concern
that States may need to amend their
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assessment policies or renegotiate their
contracts with testing companies in
order to meet the 14-day notification
requirement. Other commenters
suggested that the 14-day notification
requirement would pressure States to
test students too early in the school year
or lead to increases in testing and
scoring errors and less time to verify
assessment results. One commenter
suggested that the 14-day notification
requirement would complicate LEAs’
participation in the Department’s SES
pilot project, which permits certain
LEAs to offer SES to students enrolled
in schools that are in year one of
improvement status.
Discussion: The Secretary strongly
believes that early notification to
parents of their public school choice
options is essential for parents to have
a genuine opportunity to exercise those
options. At the same time, the Secretary
recognizes the practical challenges that
some LEAs may face in meeting the 14day notification requirement and
acknowledges that AYP determinations
take time and that States may need to
consider changes to their assessment
policies and contracts. Nevertheless, the
goal of the 14-day notification
requirement is to ensure that parents
have sufficient time, in advance of the
school year, to make an informed
decision about transferring their child to
another school. The Secretary believes
the 14-day notification requirement
strikes a reasonable balance between the
needs of parents for early notification
and the practical realities of assessment
reporting and AYP determinations.
With regard to the comment that the
14-day notification requirement would
complicate LEAs’ participation in the
Department’s SES pilot project, we
disagree. LEAs participating in the SES
pilot, which allows schools in the LEA
to provide SES or choice to students
enrolled in schools that are in year one
of improvement status, must follow the
same timelines as all other schools,
including the 14-day notification
requirement.
Changes: None.
Comment: A number of commenters
recommended that the Department
revise the 14-day notification
requirement. Some commenters stated
that 14 days should be the minimum
time and that more time would be
better, with some commenters
recommending a 30-day notification
requirement. One commenter
recommended requiring LEAs to notify
parents about their Title I public school
choice options in the spring or early
summer, at the same time LEAs offer
other school choice programs. Another
commenter recommended a 30-day
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notification requirement, except when a
State’s late release of AYP
determinations prevents an LEA from
meeting this requirement. In such cases,
the commenter recommended that an
LEA base student eligibility for public
school choice on the previous year’s
AYP data. One commenter suggested
that the Department survey States to
determine if they report assessment
results in time for LEAs to meet the
14-day notification requirement; for
States that do not report assessment
results in time to meet the 14-day
notification requirement, the commenter
suggested giving LEAs an additional 30
days to notify parents of their public
school choice options.
Several commenters recommended
that the Department require, when the
State does not notify its LEAs of the
final AYP status of their schools at least
21 days in advance of the start of the
school year, an LEA to notify parents no
later than 14 days after the LEA receives
AYP results from the State. One
commenter recommended requiring
States to give LEAs final AYP
determinations for schools 21 or more
days before the school year begins, and
another recommended requiring LEAs
to notify parents no later than seven
days before the start of the school year.
Another commenter suggested that the
Department give States the flexibility to
submit plans to the Department on how
the State would ensure that more
parents have timely information about a
school’s improvement status and
parents’ public school choice options;
for example, States might propose
requiring schools that are currently in
school improvement to meet the 14-day
notification requirement, while
requiring schools that are newly
identified for improvement to notify
parents by the first day of school.
Finally, a commenter suggested that, if
an LEA is not able to execute parents’
transfer requests within a 14- to 21-day
time period, the LEA should be required
to notify parents early enough to
accommodate parents’ requests in a
timely manner.
Discussion: The Secretary appreciates
the recommendations made by these
commenters, all of which appear to
reflect sincere efforts to address the
complexity and variability in State
accountability systems. However, most
of the suggested alternatives primarily
address the needs of States and LEAs,
rather than the needs and concerns of
parents with children struggling to
reach proficiency in reading and
mathematics in schools identified for
improvement, corrective action, or
restructuring. The result, in nearly every
case, would be less time for parents to
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consider their transfer options before
the start of the school year or, in some
cases, a deferral of that process until
well after the start of the school year, by
which time few parents seriously
consider transferring their children to a
new school.
In sum, while we appreciate the
differences in State accountability
systems and the practical concerns of
making timely AYP determinations, we
believe that the 14-day notification
requirement strikes the appropriate
balance to ensure that parents have
sufficient time to make an informed
decision on whether to transfer their
children to another public school.
Changes: None.
Comment: One commenter supported
the 14-day notification requirement but
stated that receiving 14 days’ notice
would not help parents in LEAs that do
not offer the option to transfer to
conveniently located public schools or
cannot accommodate all eligible
students who wish to transfer.
Discussion: The Department
acknowledges that some LEAs may not
be able to provide transfer options
because: (1) The LEA only has a single
school at a grade level; (2) all schools at
a grade level are in school improvement;
or (3) the distances between schools
make changing schools impracticable. In
such situations, section 1116(b)(11) of
the ESEA requires that the LEA, to the
extent practicable, enter into a
cooperative agreement with neighboring
LEAs to provide a transfer option. In
addition, an LEA may offer SES to
students attending schools in the first
year of improvement (see
§ 200.44(h)(2)). However, under
§ 200.44(d), an LEA may not use lack of
capacity as a reason to deny public
school choice to students in schools
identified for improvement, corrective
action, or restructuring.
Changes: None.
Comment: Some commenters who
objected to the 14-day notification
requirement recommended that LEAs be
required to comply with a specific
notification requirement only for
schools that were in improvement in the
previous school year and will continue
to be in improvement in the upcoming
school year whether or not they make
AYP. These commenters said that, for
newly identified schools, LEAs should
be required to provide notification of
public school choice options to parents
no later than the first day of school.
Discussion: We decline to accept the
commenters’ suggestion to require
differential treatment of students who
attend schools that have been
previously identified for improvement
and students who attend schools newly
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identified for improvement. The
Department recognizes, however, that it
would be much easier for LEAs and
most beneficial for students and parents
identified if LEAs provided early notice
of available choice options to the
parents of students attending schools
already identified for improvement and
whose obligation to provide public
school choice would continue
irrespective of their next AYP
determination. We, therefore, encourage
LEAs to take advantage of such
situations and provide notice to parents
of students in previously identified
schools as early as possible, preferably
in the spring or early summer, before
the start of the school year.
Changes: None.
Comment: A number of commenters
stated that unstable enrollments in highpoverty schools, such as Title I schools,
often make it impossible for an LEA to
know 14 days prior to the start of the
school year which students are eligible
for public school choice.
Discussion: High rates of student
mobility in many high-poverty areas do
not relieve an LEA of its responsibility
to provide parents of eligible students
with timely notification of public school
choice options. Indeed, such students
often are precisely those who would
most benefit from the opportunity to
transfer to another public school. Where
high mobility makes it difficult to obtain
accurate enrollment data prior to the
beginning of the school year, an LEA
must provide notice using the best
available data to identify and notify
eligible parents at least 14 calendar days
before school starts.
Changes: None.
Comment: One commenter asked the
Department to consider whether an LEA
should be required to notify parents of
students who enroll in a school after the
LEA has already sent out public school
choice and SES notifications.
Discussion: The Department
encourages LEAs to be as flexible as
possible with newly enrolled students.
If a student enrolls in a school identified
for improvement, corrective action, or
restructuring early in the school year,
we encourage the LEA to make every
effort to accommodate parents who wish
to transfer their child to another public
school. Likewise, we encourage an LEA
to offer SES to newly enrolled students
who are eligible and who would have
sufficient time remaining in the school
year to complete an SES program. An
LEA that provides two enrollment
windows, as required under
§ 200.48(d)(2) for LEAs that wish to
spend less than the amount needed to
meet the 20 percent obligation, could
accommodate, in many instances,
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eligible students who enroll in a school
after the start of the school year and
wish to participate in SES. We believe
that many LEAs will choose to provide
two enrollment windows in anticipation
of needing to meet this requirement in
order to use unspent choice-related
transportation and SES funds on other
allowable activities. Finally, we note
that the 14-day notification requirement
applies only to public school choice and
not to SES.
Changes: None.
Comment: A few commenters
questioned whether the lack of timely
notification is the primary reason that
more parents do not choose to transfer
their child to another public school
under the Title I public school choice
provisions. These commenters
suggested that there are other
explanations, such as parents believing
that their child’s school is doing well
despite being identified for
improvement, a desire to keep their
child in the school closest to home, and
a willingness to participate actively in
school improvement efforts.
Discussion: The Secretary agrees that
there are valid reasons unrelated to LEA
notification practices, such as those
described by the commenters, why
eligible parents decide not to transfer
their child to another public school
under the public school choice
provisions. However, evaluation data
indicate that the timing of notification is
a significant factor in influencing
whether parents choose to transfer their
child, and that LEAs that notify parents
about their public school choice options
prior to the first day of school have
higher participation rates than LEAs
that provide notification later.13 The 14day notification requirement in
§ 200.37(b)(4)(iv) is a direct response to
the evaluation data and is intended to
give families more time to make
informed decisions about available
public school choice options.
Changes: None.
Comment: One commenter expressed
support for the 14-day notification
requirement and recommended
requiring LEAs to offer parents of
eligible children detailed academic
information on their public school
choice options. The commenter
suggested that LEAs could make
available for each public school choice
option the academic report cards
required under section 1111(h) of the
ESEA.
13 Stullich, S., Eisner, E., & McCrary, J. (2007).
National Assessment of Title I: Final Report,
Volume I: Implementation. Washington, DC:
National Center for Education Evaluation and
Regional Assistance, Institute of Education
Sciences, U.S. Department of Education.
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Discussion: Section 200.37(b)(4)(ii)
already requires LEAs to provide
parents of eligible children academic
information on the school or schools to
which their child may transfer. The
Department believes that LEAs are in
the best position to determine the
academic information that would be
most useful in helping families decide
on transfer options. We note, for
example, that the local report cards
required under section 1111(h) are LEA
report cards and, therefore, would
include academic information on all
schools in an LEA. Depending on the
number of schools in an LEA, providing
the LEA’s report card may confuse
parents who are interested only in the
achievement data for their available
public school choice options.
Changes: None.
Comment: A number of commenters
stated that the 14-day notification
requirement in proposed
§ 200.37(b)(4)(iv) conflicts with
§ 200.44(a), which implements section
1116(b)(1)(E)(i) of the ESEA and
requires an LEA to provide all eligible
students enrolled in the LEA with the
option to transfer to another public
school not later than the first day of the
school year.
Discussion: The Department does not
agree that the 14-day notification
requirement conflicts with either
statutory or regulatory language
regarding the provision of public school
choice to eligible students. Rather, the
14-day notification requirement defines,
pursuant to the Secretary’s regulatory
authority in section 1901 of the ESEA,
the minimum amount of time before the
start of school that is required for notice
of public school choice to be
meaningful, i.e., to give a parent
sufficient time to make an informed
decision about transferring his or her
eligible child to another public school.
We encourage LEAs to allow students to
enroll in their school of choice as soon
as possible following receipt of the
transfer request from parents.
We agree that there is a discrepancy
between the 14-day notification
requirement in proposed
§ 200.37(b)(4)(iv), which was referenced
in proposed § 200.44(a)(2)(ii), and the
language in proposed § 200.44(a)(2)(i),
which would have required an LEA to
offer public school choice options not
later than the first day of the school
year. We have revised § 200.44(a)(2) to
eliminate this discrepancy.
Changes: We have revised
§ 200.44(a)(2) to make clear that an LEA
must offer parents the opportunity to
transfer their child to another public
school, through the notice required in
§ 200.37, so that students may transfer
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in the school year following the year in
which the LEA administered the
assessments that resulted in
identification of the school for
improvement, corrective action, or
restructuring.
Comment: Several commenters stated
that compliance with the 14-day
notification requirement would create
administrative burdens for LEAs. Two
commenters asserted that the
requirement would increase local
administrative costs; one commenter
contended that those costs would not be
paid for with Federal funds. Another
commenter asserted that in many LEAs
there may not be sufficient staff
available to produce the notifications 14
days before the start of the school year.
Discussion: The Secretary believes
strongly that § 200.37(b)(4)(iv) is
necessary so that parents have sufficient
time, prior to the start of the school
year, to make important decisions about
the school their child will attend. We
note that LEAs may use Title I, Part A
funds, as well as other authorized
Federal funds, to support the costs of
notifying parents of their public school
choice options. Additionally, we are
adopting in these final regulations the
changes we proposed in the NPRM to
§ 200.48(a)(2)(iii)(C). Under these
changes, an LEA is allowed to count
parent outreach costs toward the funds
it is required to spend for choice-related
transportation and SES, up to an
amount equal to 0.2 percent of the
LEA’s Title I, Part A, subpart 2
allocation. Those funds may be used to
implement the 14-day notification
requirement.
Changes: None.
Comment: Several commenters argued
that, in States that issue both
preliminary and final AYP data, the
regulations would require LEAs to send
out multiple notices reflecting changes
in public school choice options as a
result of final AYP determinations. Two
other commenters argued that, because
final AYP determinations may not be
made 14 days before the start of school,
§ 200.37(b)(4)(iv) could require LEAs to
provide and pay for public school
choice for students attending schools
that ultimately are not identified for
improvement, which would confuse
parents, waste Title I funds, and not
increase participation rates.
Discussion: The 14-day notification
requirement is not intended to cause
LEAs to offer public school choice
before receiving final AYP
determinations. We note that, under
section 1116(b)(1)(B) of the ESEA, final
AYP determinations must take place
prior to the start of the school year. We
encourage LEAs to prepare notices and
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make provisional transportation plans
in advance of receiving final AYP
determinations, when necessary, in
order to expedite notifying parents of
their child’s eligibility for public school
choice when final AYP determinations
are available, in accordance with the 14day notification requirement.
Changes: None.
Comment: Several commenters
expressed concern about how the 14day notification requirement would
affect (1) year-round schools, (2) States
with rolling start dates, rather than a
single, statewide start date; and (3)
schools that open in early August.
Discussion: In each of these
situations, LEAs must notify parents of
their public school choice options 14
days before the beginning of the ‘‘school
year,’’ as that term is defined by the SEA
or LEA.
Changes: None.
Comment: Two commenters stated
that the proposed requirements in
§ 200.37, including the 14-day
notification requirement and expanded
notice requirements for both public
school choice and SES, are an
inappropriate attempt to
‘‘micromanage’’ schools and LEAs.
Discussion: The new requirements in
§ 200.37 respond to evaluation and
monitoring data suggesting that public
school choice and SES are poorly
implemented by too many LEAs, more
than six years after public school choice
and SES options were first required by
the ESEA. For example, evaluation data
show that SES notifications often are
confusing, incomplete, and even
discourage the use of SES.14 The final
regulations are a direct response to these
data and part of the Department’s
overall effort to promote more effective
implementation of Title I public school
choice and SES.
Changes: None.
Section 200.37(b)(5) Annual SES
Notice
Comment: Several commenters
expressed support for proposed
§ 200.37(b)(5)(ii)(C), which would
require an LEA’s annual notice to
parents of the availability of SES to
include an explanation of the benefits of
receiving SES, and proposed
§ 200.37(b)(5)(iii), which would require
this notice to be clear and concise and
clearly distinguishable from other
school improvement information sent to
parents. One of these commenters
recommended strengthening these
requirements by encouraging LEAs to
inform parents directly about the merits
of particular SES programs.
14 Id.
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Discussion: The Secretary appreciates
the commenters’ support for improved
SES notice requirements. Regarding the
comment to encourage LEAs to inform
parents directly about specific SES
programs, LEAs are currently required,
under section 1116(e)(2)(A)(iii) of the
ESEA and § 200.37(b)(5)(ii)(B), to
provide parents with a brief description
of the services, qualifications, and
demonstrated effectiveness of each
provider that is available within the
LEA.
Changes: None.
Comment: One commenter
interpreted the proposed changes to
§§ 200.37(b)(5)(ii)(C) and
200.37(b)(5)(iii) as requiring LEAs to
notify parents about the availability of
SES prior to the start of the school year.
Discussion: The commenter appears
to have misunderstood the proposed
regulations. Although the Secretary
supports timely notification to parents
of their child’s eligibility for SES, the
regulations do not require that LEAs
notify parents about SES prior to the
start of the school year.
Changes: None.
Comment: Two commenters stated
that the Department should require
LEAs to include, in their annual notice
of the availability of SES, information
on whether available SES providers are
qualified to serve students with
disabilities and LEP students.
Discussion: Section 200.46(a)(4)
requires an LEA to ensure that eligible
students with disabilities and LEP
students are able to receive appropriate
SES and accommodations in the
provision of those services. We agree
that it would be helpful for parents to
know whether particular SES providers
are able to serve students with
disabilities or LEP students. Therefore,
we have revised § 200.37, regarding LEA
notices, and § 200.47, regarding SEA
responsibilities for SES.
Changes: We have revised
§ 200.37(b)(5)(ii)(B) to provide that an
LEA’s notification to parents regarding
SES include an indication of those
providers that are able to serve students
with disabilities or LEP students. We
also have restructured § 200.47(a)(3) and
added a new paragraph (a)(3)(ii)
requiring an SEA to indicate on its list
of approved providers those providers
that are able to serve students with
disabilities or LEP students.
Comment: A few commenters
suggested that LEAs include, in the
notice on SES, information about
whether there is independent evidence
from an evaluation or scientifically
based research about the effectiveness of
each provider’s services and indicate
whether a provider has been removed
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from any State’s list of approved
providers.
Discussion: Section 1116(e)(2)(A)(iii)
of the ESEA and § 200.37(b)(5)(ii)(B)
already require LEAs to include
information on providers’ effectiveness
in their notices to parents, and
§ 200.47(b)(3)(i) requires States to
consider, in their approval of providers,
whether a provider has been removed
from another State’s list. Additionally,
under § 200.47(b)(2)(ii)(C), a State may
not include a provider on the State’s list
of approved SES providers unless the
provider agrees to ensure that the
instruction it will provide is of high
quality, research-based, and specifically
designed to increase the academic
achievement of eligible children. The
Department does not believe further
regulation is required in this area.
Changes: None.
Comment: Many commenters opposed
the SES notice requirements in
§ 200.37(b)(5)(ii)(C) and
§ 200.37(b)(5)(iii). Some of these
commenters stated that these
requirements are examples of overregulation by the Department. Other
commenters argued that requiring the
SES notice to be concise is illogical,
given the numerous items required to be
included in the notice. Some
commenters argued that the
requirements are ambiguous and that it
would be difficult for LEAs to comply
with them and for SEAs to monitor
implementation by LEAs. A few
commenters recommended that the
Department provide a model notice for
LEAs to use, while another commenter
stated that using a model notice should
be optional, not required.
One commenter argued that the
proposed requirements would be
burdensome because LEAs would need
to send two notices to parents whose
children are eligible for SES—one on
SES and one with information about
school improvement. Another
commenter recommended that LEAs
have flexibility to notify parents in the
most appropriate manner for the
communities they serve. One
commenter recommended that the
Department clarify that the SES notice
may be sent to parents with other
materials so long as it is clearly
distinguishable from those materials.
Another commenter recommended
eliminating the requirement that SES
notification letters be ‘‘clearly
distinguishable’’ from other information
sent home to parents. This commenter
suggested that the requirement would
draw attention to the SES notice at the
expense of other LEA and school
information, and that it is not the
Department’s responsibility to tell LEAs
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and schools how to provide their
notifications to parents.
Other commenters asserted that there
is little evidence available on the
benefits of SES. Another commenter
recommended that the Department
modify the regulations to require LEAs
to include only those benefits of SES
that are based on scientifically based
research. Another commenter
recommended that § 200.37(b)(5)(ii)(C)
be changed to require an LEA to explain
only the ‘‘potential’’ benefits of SES
until there is research verifying that SES
increases student achievement.
Discussion: The Secretary believes
that it is important for LEAs’
communication to parents of their SES
options be as straightforward and easy
for parents to understand as possible.
During our monitoring and outreach
visits, we have seen examples of LEAs’
notices to parents that were unclear,
incomplete, and negative in tone. We
also know from evaluation data that
parents of eligible students often report
that they have not received a notice
about SES from their LEA.15 To address
these problems, the Secretary believes it
is necessary and in students’ and
parents’ best interests to require LEAs to
send parents SES notification letters
that are clear and concise and explain
the benefits of SES. In order to assist
LEAs in meeting this requirement, we
intend to provide, through Department
guidance, one or more sample
notification letters that include the
elements required by these regulations.
Section 200.37(b)(5)(iii) does not
require an LEA to send an SES notice
that is separate from its school
improvement notice; rather, the SES
notice must be ‘‘distinguishable’’ from
other improvement information. This
does not preclude an LEA, therefore,
from including the SES notice in the
same mailing with other information
about school improvement.
We believe that LEAs should have the
discretion to determine what
information on the benefits of SES to
include in the notice to parents. In
addition to benefits substantiated by
research conducted by the Department
or by States, LEAs, or other entities, an
LEA’s notice could include, for
example, the fact that supplemental
educational services are available at no
cost to parents and make productive use
of a student’s out-of-school time in a
safe environment; that parents may
select the approved provider of their
choice that best meets their child’s
academic needs; and that supplemental
educational services have the potential
15 Id.
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to improve a student’s academic
proficiency.
Changes: None.
Comment: Several commenters
recommended that all notices and
information on public school choice and
SES be provided to parents in a
language parents can understand.
Discussion: Section 1116(b)(6) of the
ESEA and § 200.36(b)(2) already require
that, to the extent practicable, LEAs
provide notices on public school choice
and SES to parents in a language parents
can understand. Therefore, it is
unnecessary to regulate further in this
area.
Changes: None.
Comment: One commenter
recommended several changes to
§ 200.37 in order to improve access to
public school choice and SES for
‘‘disconnected’’ youth. This commenter
suggested that the regulations be revised
to require LEAs to: (1) Provide public
school choice and SES information to
parents of disconnected youth whose
cohort is either still in school or has
graduated less than three years ago, and
to parents of youth who have transferred
from traditional high schools into
alternative educational settings; and (2)
encourage LEAs to be more proactive
when informing parents and students of
their SES options through provider fairs,
SES informational sessions, and other
means.
Discussion: The Secretary appreciates
the commenter’s concern for
disconnected youth. Disconnected
youth who are from low-income
families and enrolled in a Title I
elementary or secondary school in
improvement status (in year two of
improvement for SES eligibility),
including an alternative high school, are
eligible for public school choice and
SES. Disconnected youth who are not
enrolled in a public Title I school in
improvement status, however, are not
eligible. The Department strongly
encourages LEAs to actively notify
parents of their options for public
school choice and SES using multiple
methods and venues, such as those
recommended by the commenter.
Changes: None.
Section 200.39 Responsibilities
Resulting From Identification for School
Improvement
Comment: A number of commenters
expressed support for the Department’s
proposed amendments to § 200.39(c),
which would require LEAs to post on
their Web sites information on the
number of students who were eligible
for and the number of students who
participated in Title I public school
choice and SES, a list of the SES
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providers approved by the State to serve
the LEA and the locations where
services are provided, and a list of
available schools for the current school
year to which eligible students may
transfer. One commenter stated,
however, that, although the
requirements in § 200.39(c) are not
unreasonable, the commenter doubted
that these requirements would lead to
an increase in participation for public
school choice and SES.
Discussion: The National Assessment
of Title I (NATI) report (2007) and
information from the Department’s
monitoring and outreach visits show
that parents are more likely to be aware
of and take advantage of Title I public
school choice and SES options when
they hear about their options from more
than one source.16 For this reason, the
Department believes that expanding the
mediums through which parents receive
information on their public school
choice and SES options will make it
more likely that parents know about,
understand, and take advantage of their
options.
Changes: None.
Comment: A number of commenters
stated that it would be difficult for LEAs
to maintain an up-to-date list of SES
providers and their locations, because
this information changes over the course
of a school year. One of these
commenters raised similar concerns
about keeping track of available public
school choice options, which may
change due to shifting enrollment and
other factors. Precisely because the
availability of SES providers can change
throughout the year, another commenter
recommended requiring LEAs to update
their Web sites on an ongoing basis.
Two commenters recommended
requiring LEAs to post the information
no later than 30 days following the end
of the previous school year. Another
commenter stated that, while LEAs
should be able to report information
about SES providers at the beginning of
a school year, data on the number of
students who participate in SES would
not be available until the end of the
school year.
Discussion: The Department
recognizes that information on SES
providers may change during the school
year; indeed, the primary reason we
proposed § 200.39(c) was because Web
sites can be easily updated with the
most current information. However, we
understand the administrative
16 Stullich, S., Eisner, E., & McCrary, J. (2007).
National Assessment of Title I: Final Report,
Volume I: Implementation. Washington, DC:
National Center for Education Evaluation and
Regional Assistance, Institute of Education
Sciences, U.S. Department of Education.
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challenges of continuously updating
data on public school choice options
and SES providers. Therefore, we have
revised § 200.39(c)(1) to require LEAs to
post the information required in
§ 200.39(c) in a timely manner to ensure
that parents have current information on
their public school choice and SES
options. In addition, LEAs might request
that SES providers submit regular
updates about their locations to
facilitate making useful and timely
information available to parents.
Changes: Section 200.39(c)(1) has
been revised to clarify that an LEA must
post the information regarding choice
and SES on its Web site ‘‘in a timely
manner to ensure that parents have
current information.’’
Comment: A number of commenters
expressed concern that the requirements
in § 200.39(c) would increase the
reporting and administrative burden for
schools and LEAs. Several commenters
suggested that one way to alleviate the
burden would be to permit an SEA to
post the required information on its
Web site and for LEAs to create
appropriate links on their Web sites to
their SEA’s Web site.
One commenter recommended that,
in addition to the information in
proposed § 200.39(c), LEAs should be
required to display on their Web sites
information on the number of
applications for SES, the number of
students placed with SES providers, the
number of students currently served by
SES providers, and the number of
students served by each SES provider.
Discussion: The Secretary does not
agree that the requirements in proposed
§ 200.39(c) will add substantially to
LEAs’ reporting and administrative
requirements. As indicated in the
Summary of Costs and Benefits section,
we estimate that it would take an LEA
an average of 25 hours to prepare the
information for its Web site. LEAs
already report student eligibility and
participation data on public school
choice and SES to their States for
inclusion in State reports to the
Secretary. Additionally, under
§ 200.37(b)(4) and (b)(5), LEAs must
provide information on SES providers
and public school choice options to
parents through written notifications.
Therefore, although the requirement for
LEAs to display this information on
their Web sites is new, LEAs already are
required to collect and report these data,
which will minimize the administrative
burden of the new requirements.
With regard to requiring LEAs to
include additional SES data on their
Web sites (e.g., the number of
applications for SES, the number of
students placed with SES providers, and
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the number of students served by each
SES provider), LEAs would have to
collect new data. We believe that
requiring LEAs to collect and report
these new data would add burden on
LEAs with little added benefit for
parents. Therefore, we decline to require
LEAs to report on the additional data
recommended by the commenter.
Finally, although some SEAs may
display information on public school
choice and SES on their Web sites, such
information may not be easily accessible
to parents seeking information about
their own LEA. SEA Web sites typically
include information about education at
all levels across a State. As a result,
many of these sites can be difficult to
navigate. LEA Web sites, by contrast,
generally are less complex and easier to
navigate. In addition, parents are more
likely to be familiar with LEA Web sites
than SEA Web sites and are more likely
to visit the former in order to obtain
local school information (e.g., school
menus, events calendars). Because the
goal of § 200.39(c) is to make
information about local Title I public
school choice and SES options
accessible to parents and other
interested parties, we believe this
information should be displayed
directly on LEA Web sites. Therefore,
we decline to permit LEAs to meet the
requirements in § 200.39(c) by providing
a link to the information on SEA Web
sites.
Changes: None.
Comment: One commenter observed
that many LEAs, particularly small,
rural LEAs, do not have Web sites and
asked whether these LEAs would be
required to establish and maintain a
Web site to comply with § 200.39(c).
The commenter added that many of
these same LEAs are not able to provide
either public school choice or SES to
their students and, thus, would have
little or none of the information that
§ 200.39(c) would require them to post
on their Web sites, even if they had one.
Another commenter recommended that
LEAs without Web sites be permitted to
communicate the information required
in § 200.39(c) through other means.
Discussion: The requirements in
§ 200.39(c) do not apply to LEAs that do
not have to provide public school
choice or SES options to their students,
either because they do not have any
schools identified for improvement,
corrective action, or restructuring or
because they are unable to provide such
options due to a lack of available public
school choice options or SES providers.
However, for LEAs that provide public
school choice and SES options to their
eligible students, but do not have their
own Web sites, we believe it would be
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appropriate and reasonable to require
the SEA to display the LEA data
required in § 200.39(c) on the SEA’s
Web site and have made this change in
the regulations.
Changes: A new paragraph (c)(2) has
been added to § 200.39, which provides
that if an LEA does not have its own
Web site, the SEA must include on the
SEA’s Web site the required information
for the LEA.
Comment: One commenter asked the
Department to clarify the requirement in
proposed § 200.39(c)(1)(iii) that LEAs
post on their Web sites information on
the locations where SES services are
provided. The commenter asked
whether LEAs must post the specific
addresses where services are provided
or if they may post more general
information about the types of locations
where services are provided. The
commenter noted that the location of
services may change as locations are
added to accommodate increasing SES
enrollment. The commenter also
expressed concern that the list of
available schools offered as Title I
public school choice options could be
confusing to parents if, as is typically
the case, their actual choices are limited
to a few schools and not all schools on
the list.
Discussion: Our rationale for requiring
LEAs to post certain information related
to public school choice and SES on their
Web sites is to ensure that current
information is readily available to
interested parents. For this reason, the
list of approved SES providers on LEA
Web sites should include the most
current information available, including
the address or addresses where services
are offered. The Department recognizes
that requiring LEAs to update their Web
sites continuously as provider
information changes would be
administratively burdensome and, as
noted earlier, has revised the regulations
to require in new § 200.39(c)(1) the
posting of the information required in a
timely manner to ensure that parents
have current information.
In addition, we encourage LEAs to
include, in their list of public school
transfer options, any explanatory
material necessary to ensure that
parents understand the school choices
available to their child.
Changes: As noted previously,
§ 200.39(c)(1) has been revised to clarify
that an LEA must post the information
required for choice and SES on its Web
site in a timely manner to ensure that
parents have current information.
Comment: Several commenters
recommended requiring LEAs to post
the information on public school choice
and SES required in proposed
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§ 200.39(c) on their Web sites in
languages other than English. One
commenter recommended requiring
LEAs to post the information in any
language spoken by any significant
number of LEP parents. Two
commenters also recommended
requiring LEAs to make this information
available in print, including in
languages other than English, and to
ensure that this information is sent
home to parents.
Discussion: We decline to adopt the
commenters’ suggestion to require an
LEA to post the information required in
§ 200.39(c) in languages other than
English. We note that the notice
requirements in § 200.37 are the primary
means through which LEAs provide
written notification to parents of the
Title I public school choice and SES
options for their eligible children.
Section 200.36 requires that such
notification be provided directly to
parents, by such means as the U.S. mail,
and, to the extent practicable, in a
language that parents can understand.
We believe that many LEAs serving
large numbers of LEP students and their
families provide notices and other
materials for parents in multiple
languages and will likely do the same in
complying with § 200.39(c).
The purpose of § 200.39(c) is to
ensure that, in addition to the written
notification already required, LEAs
make such information widely and
publicly available by posting it on their
Web sites. The Secretary believes that,
to require home delivery of the
information required in § 200.39(c)
would be overly burdensome for LEAs.
Again, the primary vehicle for informing
parents of their options—the notice
required in § 200.37(b)(4) and (5)—
already must be provided directly to
parents by such means as the U.S. mail.
Changes: None.
Comment: Two commenters
expressed concern that LEA Web sites
are not easily accessible to parents and
individuals, particularly those from
low-income families, seeking
information about public school choice
and SES options.
Discussion: The Secretary recognizes
that not every family, particularly those
with low incomes, has a personal
computer with Internet access in the
home. However, the number of families
with Internet access is growing as the
cost of both personal computers and
Internet access continues to decline. In
addition, libraries and community
centers typically make available to the
public, at no charge, computers
connected to the Internet, and many of
these facilities maintain evening and
weekend hours that are convenient for
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working parents. Also, although LEAs
have the flexibility to use a variety of
strategies to notify parents, ranging from
written materials delivered by mail or
sent home with students, to newspaper
announcements, enrollment fairs, or
open houses, each of these strategies has
the disadvantage of being a ‘‘one-time
only’’ notification event, potentially
making it difficult for a parent who
missed the event to obtain the desired
information. The Secretary believes that
§ 200.39(c) provides an additional, lowcost method of informing parents that
has the advantage of making
information about public school choice
and SES options readily available to
parents on an ongoing basis.
Changes: None.
Comment: One commenter asserted
that the requirements in § 200.39(c) do
not go far enough, and that posting
information on LEA Web sites is not
sufficient to ensure that parents and
students receive the information they
need in a timely manner. This
commenter recommended that LEAs
provide additional support to help lowincome families learn about the
educational options for their children.
Discussion: The final regulations, in
their entirety, reflect the Secretary’s
strong agreement that multiple avenues
of communication are needed to ensure
that all parents of eligible students
receive timely information that gives
them a genuine opportunity to make an
informed choice when selecting from
available public school choice and SES
options. For example, in addition to the
new requirements in § 200.39(c), the
final regulations in new
§ 200.48(d)(2)(i)(A) (proposed
§ 200.48(d)(1)(i)) require LEAs, before
using unspent choice-related
transportation and SES funds for other
allowable activities, to partner with
outside groups, such as faith-based
organizations, other community-based
organizations, and business groups to
help inform parents of their public
school choice and SES options. Another
criterion for effective implementation of
SES in new § 200.48(d)(2)(i)(B)(2)
(proposed § 200.48(d)(1)(ii)(B)) is
ensuring that sign-up forms for SES ‘‘are
distributed directly to all eligible
students and their parents and are made
widely available and accessible through
broad means of dissemination, such as
the Internet, other media, and
communications through public
agencies serving eligible students and
their families.’’ Finally, the requirement
in § 200.37(b)(4)(iv) that LEAs notify the
parents of eligible students of their Title
I public school choice options at least
14 calendar days before the start of the
school year will help ensure that the
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parents of eligible low-income students
also have sufficient time to make an
informed decision about transferring
their children to another public school.
The Department believes that all of
these provisions, in combination, go a
long way toward providing the
‘‘additional support to help low-income
families learn about the educational
options for their children,’’ as
recommended by the commenter, and
declines to regulate further in this area.
Changes: None.
Comment: A number of commenters
recommended requiring LEAs to
include on their Web sites the names of
SES providers that have been removed
from the lists of approved providers in
other States. Two commenters also
recommended requiring LEAs to
identify SES providers that evaluations
have shown to be effective, as well as
SES providers that do not serve LEP
students or students with disabilities.
Other commenters recommended
requiring LEAs to post information on
whether providers are able to serve LEP
students and students with disabilities.
Discussion: Section 200.47(b)(3)
requires an SEA, in approving SES
providers, to consider information from
a provider on whether the provider has
been removed from any State’s
approved provider list, as well as
evaluation results, if any, demonstrating
that the provider’s instructional
program has improved student
achievement. The SEA must also
determine that the prospective provider
has a demonstrated record of
effectiveness in increasing the academic
achievement of students. Thus, it is an
SEA’s responsibility to consider this
information in approving prospective
providers. Once an SEA has made a
decision to approve a provider, we do
not believe this information is pertinent
to LEAs.
As we noted in our discussion of
§ 200.37, we agree that it is important
for parents to know which SES
providers are able to serve students with
disabilities or LEP students.
Accordingly, we have added a
requirement in § 200.37(b)(5)(ii)(B) and
§ 200.47(a)(3)(ii) that an LEA and SEA,
respectively, indicate on its list of
approved SES providers those providers
that are able to serve these students.
Changes: Sections 200.37(b)(5)(ii)(B)
and 200.47(a)(3)(ii) have been revised to
require an LEA and SEA, respectively to
indicate on its list of approved SES
providers those providers that are able
to serve students with disabilities or
LEP students.
Comment: Two commenters
expressed concern that the public
school choice and SES participation
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information that LEAs will be required
to post on their Web sites under
§ 200.39(c) could be misleading due to
the limited funding to support such
options.
Discussion: The Secretary agrees that
raw participation data may not always
be a true measure of an LEA’s success
in implementing public school choice
and SES because, in an LEA with many
schools identified for improvement, the
number of students eligible for SES and
choice may greatly exceed the number
that may be served with available funds.
However, LEAs are free to explain,
along with the participation data
required in § 200.39(c), how available
funding may affect the number of
students transferring to new schools or
obtaining SES.
Changes: None.
Comment: Two commenters claimed
that public reporting on eligibility and
participation in public school choice
and SES, as required in § 200.39(c),
would be misleading without an
explanation of the personal and private
factors that influenced parental
decision-making.
Discussion: The Secretary believes
that information on student eligibility
and participation in public school
choice and SES are useful both for
increasing parental awareness of the
availability of these options and for
providing a rough measure of how well
LEAs are implementing the public
school choice and SES requirements.
LEAs are free to add an explanation of
the factors that they believe contribute
to or explain participation rates.
Changes: None.
Comment: Two commenters stated
that publicly posting a list of approved
SES providers is meaningless because
the general public does not participate
in SES.
Discussion: It may be true that the
general public may not be particularly
interested in information about SES
providers, but the purpose of § 200.39(c)
is to ensure that information on SES
providers is broadly disseminated,
publicly available, and easily accessible
to those who are interested. The
Secretary believes it is important to
provide these additional sources of
information for parents seeking to
obtain SES for their eligible children.
Changes: None.
Comment: One commenter expressed
concern that posting the names of SES
providers on LEA Web sites could be
viewed as endorsing the providers, yet
LEAs have no way of holding these
providers accountable.
Discussion: LEAs are free to provide
the information about SES providers in
a manner that clearly conveys that no
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endorsement of individual providers is
implied. We disagree that LEAs do not
have a way to hold SES providers
accountable. Under section
1116(e)(3)(C) of the ESEA, LEAs are
responsible for terminating an
agreement with an SES provider if the
provider fails to meet the goals and
timetables in that agreement.
Changes: None.
Comment: A number of commenters
recommended requiring LEAs to
disaggregate the public school choice
and SES data posted on their Web sites
by student subgroups, grade level,
school, and provider. One commenter
recommended requiring LEAs to post
the total amount of funding they make
available for public school choice and
SES, as well as their per-child allocation
for SES. Two commenters suggested
requiring SEAs to publish the per-child
allocations for each LEA, as well as the
minimum each LEA must spend on
public school choice and SES.
Discussion: The Secretary agrees that
such additional information could be
useful in identifying specific problems
or challenges related to implementing
public school choice and SES. However,
we believe that requiring LEAs to
disaggregate their public school choice
and SES data by student subgroup,
grade level, school, and provider would
require nearly all LEAs and SEAs to
change their data collection processes to
support disaggregated reporting and,
therefore, would be overly burdensome
and costly. Therefore, we decline to
require LEAs to disaggregate their
public school choice and SES data.
In contrast, the amount an LEA must
spend on choice-related transportation
and SES (an amount equal to at least 20
percent of the LEA’s Title I, Part A
allocation (the LEA’s 20 percent
obligation)) and the maximum per-child
allocation for SES for each LEA
receiving Title I, Part A funds (the LEA’s
Title I, Part A allocation divided by the
number of children in low-income
families as determined by the Bureau of
the Census) are easily calculated from
data the SEA already collects. Posting
this information on the SEA’s Web site
would require adding two columns to
the tables that SEAs already prepare
showing their final Title I, Part A
allocations to LEAs (one column
showing 20 percent of each LEA’s final
allocation and one column dividing the
final allocation by the number of
students from low-income families in
the LEA as determined by the Bureau of
the Census). Therefore, because of the
minimal burden involved, and because
the Secretary believes such information
would help give all stakeholders a better
understanding of the resources available
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to support Title I public school choice
and SES, we have added a requirement
in § 200.47 for each SEA to post on its
Web site these amounts for each LEA.
However, we believe that making such
information available on SEA Web sites
is sufficient, and decline to add a
similar new requirement for LEAs
because it would be unnecessarily
duplicative. We also decline to require
either SEAs or LEAs to post the
statutory minimum allocations for
choice-related transportation and SES.
The Secretary does not believe that this
additional information would be as
useful.
Changes: We have added new
§ 200.47(a)(1)(ii)(B)(1) and (2) to require
each SEA to post on its Web site, for
each LEA, the amount that equals 20
percent of the LEA’s Title I, Part A
allocation that is available for choicerelated transportation and SES, as
required in § 200.48(a)(2), and the
maximum per-child amount available
for SES calculated under § 200.48(c)(1).
Comment: One commenter stated that,
due to the small number of students
participating in public school choice
and SES, posting the participation data
required in § 200.39(c) on LEA Web
sites could disclose personally
identifiable information about
individual students.
Discussion: When publicly reporting
any data, care must be taken not to
reveal personally identifiable
information about individual students,
in accordance with the requirements in
FERPA. In the vast majority of LEAs
required to comply with § 200.39(c),
posting public school choice and SES
participation data on their Web sites
will likely not reveal such information.
In the limited number of cases in which
such a violation could occur, LEAs
should follow FERPA’s requirements to
ensure that personally identifiable
information is not disclosed.
Changes: None.
Section 200.43 Restructuring
Comment: Several commenters
expressed support for the proposed
changes in § 200.43, stating that the
changes would help schools make AYP
and exit restructuring as soon as
possible. The commenters agreed with
the Department that restructuring is not
always being implemented effectively.
Many commenters expressed concerns
about the general statutory requirements
for restructuring. Some stated that the
statutory options for alternative
governance are not supported by
research; some stated that the options
are too ‘‘extreme,’’ while others stated
that the statute takes a ‘‘cookie-cutter’’
approach to improvement that is not
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appropriate. Other commenters stated
that staffing changes should not be
made as part of restructuring and school
improvement in general.
Some commenters requested that the
statutory restructuring requirements not
be enforced until the ESEA is
reauthorized. One commenter suggested
that a school should not enter
restructuring unless the percentage of
students scoring below proficient in a
subgroup exceeds 35 percent of a
school’s enrollment. Another
commenter stated that the restructuring
requirements, in particular, and NCLB,
in general, are designed to address the
problems of schools in urban areas and
not rural schools in high-poverty areas
because in rural areas access to SES
providers is limited, public school
choice is not realistic, and private
management companies are not
interested in managing rural schools.
Discussion: The purpose of the
proposed regulations is to clarify the
intent of the statute, which is that
restructuring must be a significant
change in the governance of a school
that has not made AYP for five years.
General concerns about the school
improvement timeline in section 1116
of the ESEA and the specific
requirements of restructuring should be
addressed through the reauthorization
process, not these regulations. We
disagree that the statute should not be
enforced until the ESEA is reauthorized.
Changes: None.
Comment: Several commenters asked
the Department to improve its
monitoring of States’ implementation of
the restructuring requirements. One
commenter specifically suggested that
the Department monitor and enforce the
provisions of the ESEA requiring parent
involvement in the restructuring
process.
Discussion: The Secretary agrees with
the commenters that monitoring is
critical to ensuring that the restructuring
requirements are implemented
effectively and that parents should be
involved in the restructuring process.
The Department’s monitoring protocol
requires States to provide evidence of
how they ensure that LEAs carry out
their responsibilities for schools in
improvement, corrective action, and
restructuring. In preparation for the
current monitoring cycle, the
Department strengthened its monitoring
of restructuring implementation by
placing greater emphasis on how
statewide systems of support and LEAs
work with schools to determine the
restructuring option that will be
implemented by each LEA. The
Department also added LEAs to its onsite monitoring to specifically examine
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the implementation of parental
involvement requirements, including
how parents are involved in corrective
action and restructuring efforts.
Changes: None.
Comment: Two commenters stated
that the proposed changes to § 200.43
exceed the Department’s legal authority
and should instead be left to Congress
to address during the reauthorization of
the ESEA. One commenter further stated
that the regulations violate section
553(b)(2) of the Administrative
Procedure Act.
Discussion: The Secretary believes
that the proposed changes to § 200.43
merely clarify the intent of the statute
and do not exceed the boundaries of the
ESEA. Therefore, they are consistent
with the Secretary’s rulemaking
authority, and do not violate the
Administrative Procedure Act.
Changes: None.
Comment: Several commenters
recommended that LEAs be required to
involve educators, administrators, and
parents, at a minimum, in the
restructuring planning process.
Discussion: The statute and
regulations already require, in section
1116(b)(8)(C) of the ESEA and
§ 200.43(b)(4), that LEAs provide
parents and teachers with an
opportunity to comment before the
development of a proposed
restructuring plan and an opportunity to
participate in the development of that
plan.
Changes: None.
Comment: Several commenters
expressed concerns about the proposed
changes in § 200.43(a)(1) and (a)(5)
regarding the definition of restructuring.
The commenters stated that the
proposed regulations in paragraph (a)(1)
exceed the statute by requiring
‘‘fundamental reforms’’ in instructional
programs in addition to alternative
governance arrangements. One
commenter asserted that the Department
misinterpreted the provisions of the
ESEA by applying the language in
section 1116(b)(8)(v) to the definition of
restructuring, noting that it is not
appropriate to require instructional
reform in addition to alternative
governance and staffing changes. Other
commenters stated that our proposal in
paragraph (a)(5) to require a
restructuring plan to ‘‘address the
reason for the school’s being in
restructuring’’ was not appropriate
because the options for schools under
restructuring are alternative governance
arrangements, not educational
interventions. Other commenters stated
that the limited options available under
restructuring make it difficult or
impossible to address the specific
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reasons a school has been identified for
restructuring.
Discussion: The Secretary disagrees
that it is not appropriate to use the term
‘‘fundamental reforms’’ in the definition
of restructuring. Contrary to the
commenter’s assumption, the term
‘‘fundamental reforms’’ does not imply
required changes in instructional
programs in addition to changes in
governance. Rather, § 200.43(a)(1)
provides that restructuring must include
a major reorganization of the school’s
governance arrangement that, among
other things, must include fundamental
reforms to improve academic
achievement in a school that has not
made AYP for five years. Clearly, the
options in § 200.43(b)(3)(i) through (iv),
by definition, meet that standard. An
LEA must ensure that, if it restructures
a school under § 200.43(b)(3)(v), the
restructuring makes fundamental
reforms in the governance of the school.
Similarly, we disagree with the
commenters who suggested that
defining restructuring as needing to
‘‘address the reason for the school’s
being in restructuring’’ is not
appropriate because the options for
schools under restructuring are
alternative governance arrangements,
not educational interventions. First, it is
unlikely that an LEA would deliberately
select a restructuring option that did not
best address the reasons the school is in
restructuring. Second, and more
importantly, it would be imprudent for
an LEA to ignore a restructured school’s
instructional programs. As the
Department notes in its 2006 nonregulatory guidance on LEA and school
improvement (available at https://
www.ed.gov/policy/elsec/guid/
schoolimprovementguid.doc), ‘‘the
restructuring intervention will likely not
address all of the identified needs of a
school and cannot substitute for a
coherent plan for systemic change. The
intervention an LEA chooses should be
viewed as one strategy in a school’s
comprehensive plan for improvement.’’
The overriding requirement of the
statute is that a school in restructuring
has the tools to improve achievement,
make AYP, and exit restructuring status.
Ignoring instruction and curricular
issues during restructuring is setting the
stage for failure and will not enable the
school to improve student achievement
and exit restructuring as quickly as
possible. The intent of restructuring, in
particular, is to make fundamental
reforms in the governance of a school—
along with improving instructional
changes—to provide children in the
school with a quality education that
enables them to meet State standards;
schools and LEAs that merely focus on
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doing just enough to comply with the
letter of the law will not likely
implement strategies that are effective in
helping that school.
Changes: None.
Comment: Many commenters
expressed concerns regarding proposed
§ 200.43(a)(4), which would require
restructuring interventions to be
‘‘significantly more rigorous and
comprehensive’’ than those taken as
part of corrective action. Many
commenters stated that this requirement
would weaken the corrective action
phase of the school improvement
timeline. They argued that, because
there is a fair amount of overlap
between what is permitted for corrective
action and for restructuring, the
proposed requirement would discourage
LEAs from being proactive and
instituting rigorous interventions during
corrective action, given that they would
have to implement significantly more
rigorous interventions if they entered
the restructuring phase of school
improvement. For example, schools
might delay making significant staffing
changes until they entered restructuring.
Several commenters asked whether a
school that made significant staffing
changes during the corrective action
phase would be required to implement
significant staffing changes again in
restructuring. The commenters also
stated that, under proposed
§ 200.43(a)(4), schools would have to
abandon interventions begun during
corrective action before they were able
to have any effect and noted that,
according to research, significant
improvements in academic achievement
are unlikely to be observed after one
year of implementing a new
intervention. Other commenters stated
that schools could see improvement
after implementing effective
interventions during corrective action,
but not enough to make AYP. Some
commenters stated that the current
options available under restructuring
would not be permissible under
§ 200.43(a)(4), which would further
limit options for schools and LEAs.
Several of these commenters stated that
the proposed regulatory language in
§ 200.43(a)(4) was too vague to be
helpful and questioned how the phrase
‘‘significantly more rigorous and
comprehensive’’ would be defined. One
commenter stated that the use of the
term ‘‘rigorous’’ might lead to a focus on
consequences and punishments rather
than data-driven and research-based
interventions.
Discussion: The Secretary appreciates
the concerns of commenters who do not
want the Department to create
incentives for LEAs to weaken
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corrective actions or delay significant
staffing changes or other restructuring
options. The purpose of proposed
§ 200.43(a)(4) was not to add a new
requirement, but to clarify the intent of
the statute. By the time a school has not
made AYP for six years, section
1116(b)(8) of the ESEA requires schools
to implement alternative governance
arrangements or significant staffing
changes. States and LEAs are free to
implement these changes on an earlier
timeline. Furthermore, it was not our
intent, in proposing § 200.43(a)(4), that
schools abandon actions undertaken
during corrective action before they
have had a chance to take effect. If a
school implements significant staffing
changes, or takes other actions that meet
the requirements for restructuring
during corrective action, the Secretary
agrees that the school should not be
required to take further action when it
enters restructuring. Further, when an
LEA implements corrective actions that
appear to be promising in improving
student achievement, those actions or
interventions should be continued as
part of the restructuring plan.
Restructuring should build on the
previous efforts implemented to turn
around a school during any phase of the
school improvement process. If previous
efforts do not appear to hold promise of
improving student achievement,
however, the LEA may need to take an
altogether different approach during
restructuring.
We have revised § 200.43(a)(4) to
clarify that, if an LEA implements a
restructuring action that meets the
requirements in § 200.43(b) during
corrective action, the LEA does not need
to implement a significantly more
rigorous and comprehensive reform
once the school is in restructuring
status. In such cases, the LEA should
closely examine the school’s
achievement data to ensure that the
interventions implemented during
corrective action are having a positive
effect on student achievement, and
make adjustments as necessary.
We also recognize that there are many
reasons that schools may be identified
for restructuring and that some schools
will need more significant changes than
others. Restructuring should not be a
‘‘one-size-fits-all’’ response; rather,
schools and LEAs should consider new
approaches to professional development
of teachers, instruction, and effective
organization and management of
instruction. We expect that the
progression in interventions will look
different depending on the reasons for a
school entering restructuring.
Changes: We have revised
§ 200.43(a)(4) to provide that the
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restructuring must be significantly more
rigorous and comprehensive than the
corrective action implemented by the
LEA unless the school has begun to
implement one of the other
restructuring options in § 200.43(b) as a
corrective action.
Comment: One commenter
recommended that the regulations
require schools in restructuring to
develop plans that include multiple
components and not to rely on one
approach alone to turn around a school.
Discussion: The Secretary agrees that
it is important that there be multiple
strategies in a restructuring plan. We
believe that the language in
§ 200.43(a)(5), as well as the provisions
in § 200.43(b)(3)(v), will help ensure
that an LEA takes a comprehensive
approach when developing a school’s
restructuring plan.
Changes: None.
Comment: One commenter stated that
the proposed regulations are not based
on scientific evidence. Several
commenters recommended that the only
restructuring options that should be
available to schools and LEAs are those
based on scientific evidence. Another
commenter recommended that an LEA
be required to provide evidence that the
selected interventions are effective at
addressing the reasons a school has
been identified for improvement. Other
commenters stated that the Department
should provide more technical
assistance and disseminate information
on research-based practices for
restructuring.
Discussion: There is a tremendous
need for technical assistance on
research-based practices for
restructuring, as well as more research
on effective methods of turning around
low-performing schools. To assist States
and LEAs in their efforts, IES’ What
Works Clearinghouse released a practice
guide in May 2008 entitled Turning
Around Chronically Low Performing
Schools. This guide is available online
at https://ies.ed.gov/ncee/wwc/pdf/
practiceguides/20072003.pdf.
In addition, the National Center for
Education Research (NCER) is currently
designing a study to identify promising
models for turning around chronically
low-performing schools and to provide
multiple design options for rigorously
evaluating the identified schools’
restructuring programs. The results of
this study will help inform the field, as
well as policy makers, as to what
strategies are most effective in turning
around low-performing schools.
The Department’s Comprehensive
Centers are also available to provide
assistance to low-performing schools
and LEAs. The centers provide technical
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assistance and research findings to
States on approaches to turning around
school performance. The Center on
Innovation and Improvement in
particular focuses its work on school
improvement and restructuring (see
https://www.centerii.org/).
We disagree with commenters that the
absence of research should obviate the
responsibility of States and LEAs to
implement any restructuring
requirements. Although we recognize
the importance of such research and are
investing in an evaluation of
restructuring approaches, we believe
that students in persistently lowperforming schools cannot wait for
research to be completed before
significant actions are taken to turn
around their schools.
Changes: None.
Comment: Many commenters objected
to proposed § 200.43(b)(3)(ii) and (v),
which state that significant staffing
changes ‘‘may include, but may not be
limited to, replacing the principal.’’
These commenters argued that, in many
cases, replacing the principal might be
the best option and that, with effective
leadership, existing school staff may be
able to turn around a low-performing
school. Several commenters stated that
there is more research supporting the
efficacy of principal replacement than
there is supporting the efficacy of other
significant staffing changes. One
commenter noted that IES’ recent
practice guide, Turning Around
Chronically Low Performing Schools,
highlights evidence on the effectiveness
of principal replacement and leadership
change as a means of turning around
chronically low-performing schools.
Some commenters argued that States
and LEAs need the flexibility to tailor
restructuring to the needs of the school
in order to implement meaningful
interventions and to differentiate
consequences; they asserted that the
Department has no basis for restricting
restructuring in this manner. One
commenter stated that proposed
§ 200.43(b)(3)(ii) and (v) are inconsistent
with the principles of the Department’s
differentiated accountability pilot,
which recognizes that there is a need to
give States more flexibility in shaping
school interventions.
Discussion: The Department agrees
that, for some schools, the only staffing
change that may be necessary is
replacing the principal. Our intent in
proposing § 200.43(b)(3)(v) was to
ensure that a school does not simply
replace the principal, without also
implementing other reforms. For the
restructuring option in § 200.43(b)(3)(ii),
however, we do not believe that a
school could simply replace the
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principal and meet the requirement to
replace ‘‘all or most of the school staff
(which may include the principal),’’
since that restructuring option is
focused on staff replacement, including
but clearly not limited to the principal,
as the primary means of turning around
a school.
Section 200.43(b)(3)(v) provides
schools with the flexibility to develop
different strategies for implementing
alternative governance arrangements.
Staffing changes may be a part of that
approach, and only replacing the
principal would be permissible, so long
as that is not the only change that the
school implements as part of its
restructuring plan. We have, therefore,
revised proposed § 200.43(b)(3)(v) to
clarify that the major restructuring of a
school’s governance may include
replacing the principal so long as this
change is part of a broader reform effort.
Changes: We have removed the
parenthetical ‘‘(which may include but
not be limited to, replacing the
principal)’’ in § 200.43(b)(3)(v) and
revised the sentence to provide that
major restructuring of a school’s
governance may include replacing the
principal, so long as this change is part
of a broader reform effort.
Comment: One commenter suggested
that the Department establish a new
restructuring option that would allow
States to meet the restructuring
requirements if they create community
schools, which could include a variety
of components such as an extended
school day and year, health and social
services, local government partnerships,
and coordination with the juvenile
justice system.
Discussion: LEAs might incorporate
some elements of the concept of
‘‘community schools’’ in a restructuring
plan, so long as the totality of the
restructuring plan meets the regulatory
definition and requirements for
restructuring in § 200.43.
Changes: None.
Section 200.44 Public School Choice
Comment: Two commenters suggested
that proposed § 200.44(a)(2)(i), which
would allow an LEA to offer public
school choice as late as the first day of
the school year, conflicts with the 14day notification requirement in
§ 200.37(b)(4)(iv), which was referenced
in proposed § 200.44(a)(2)(ii).
Discussion: As we noted in our
discussion of § 200.37, we have
modified the language in § 200.44(a)(2)
to clarify that an LEA must offer,
through the notice required in § 200.37,
all students eligible for public school
choice the option to transfer to another
public school. Consistent with
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§ 200.37(b)(4)(iv), this notice must be
made sufficiently in advance of, and not
later than 14 calendar days before, the
start of the school year so that parents
have adequate time to exercise their
public school choice option before the
school year begins.
Changes: We have revised
§ 200.44(a)(2) to clarify that an LEA
must offer public school choice, through
the notice required in § 200.37, so that
a student may transfer in the school year
following the school year in which the
LEA administered the assessments that
resulted in the identification of the
student’s school for improvement,
corrective action, or restructuring.
Section 200.47 SEA Responsibilities
for Supplemental Educational Services
General
Comment: A number of commenters
expressed support for one or more of the
proposed amendments in § 200.47
regarding SEA monitoring of LEA
implementation of SES requirements
and State approval and monitoring of
SES providers. Some commenters stated
that the new requirements would hold
SEAs and LEAs accountable for
providing a more open process to
approve qualified SES providers. One
commenter stated that the requirements
would provide the public with better
information on the effectiveness of
tutoring in increasing student
achievement and on the compliance of
LEAs and providers with SES
implementation requirements. However,
some commenters expressed concern
about the potential costs of
implementing the proposed regulations
and argued that SEAs would need to
divert resources from services to
students (or from providing technical
assistance to schools and LEAs in
improvement status) in order to pay for
monitoring the implementation of SES
unless Congress appropriates more
funds. These commenters expressed
concern that SEAs with limited staff and
resources will not be able to meet the
requirements in § 200.47. A few
commenters requested that Congress
provide funds to implement the
requirements in § 200.47 before the
regulations become effective. One
commenter suggested that the
requirements in § 200.47 be structured
as mandates for providers, rather than
for SEAs, so as not to establish
unfunded mandates on SEAs.
Discussion: The Secretary believes
that any additional costs for
implementing the requirements in
§ 200.47 for approving and monitoring
providers will be minimal (as discussed
in detail in the Summary of Costs and
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Benefits section) because States are
already required, under section
1116(e)(4)(D) of the ESEA, to develop
and implement standards and
techniques to monitor the quality and
effectiveness of SES and to have a
process in place to publicly report on
those standards and techniques. The
Secretary believes that the regulations in
§ 200.47 will give more meaning and
clarity to this statutory requirement and
address concerns, raised during the
Department’s monitoring, about the
inconsistencies across States in their
monitoring of SES providers. Likewise,
the Secretary does not believe that
monitoring LEAs’ implementation of
SES will add costs because SEAs must
already monitor their LEAs’ compliance
with statutory and regulatory
requirements under 34 CFR 80.40.
We do not believe that implementing
these regulations will diminish the
amount of funding available to serve
students because SEAs will not support
their monitoring efforts with funds that
would otherwise be distributed to LEAs
and used for services to students.
Rather, SEAs will use their State
administrative reservations under Title
I, Part A to support the strengthened
monitoring efforts required by § 200.47.
For that same reason, we do not believe
the requirements in § 200.47 represent
an unfunded mandate. In addition, the
Department notes that SES providers
serve students; efforts to ensure the
quality and effectiveness of approved
providers should not be viewed as a
diversion of resources from services to
students.
Finally, we do not believe it would be
appropriate to structure the new
regulations as provider mandates rather
than as criteria for SEAs’ approval and
monitoring of providers. As noted
earlier, section 1116(e)(4) of the ESEA
clearly assigns SEAs responsibility for
approving entities to provide SES in a
State and for developing, implementing,
and publicly reporting on standards and
techniques for monitoring the quality
and effectiveness of the services offered
by approved providers. The regulations
merely clarify what it means for SEAs
to implement those statutory
requirements.
Changes: None.
Monitoring LEAs’ Implementation of
SES
Comment: One commenter questioned
the intent of the requirements related to
State monitoring of LEAs’
implementation of SES. Another
commenter recommended that there be
a ‘‘gatekeeper’’ at the Federal level to
monitor States’ compliance with their
responsibilities regarding the
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implementation, management, and
enforcement of SES requirements at the
local level. Another commenter asked
what an SEA must do in order to meet
the requirement to develop, implement,
and publicly report on the States’
standards and techniques for monitoring
the quality and effectiveness of the
services offered by each SES provider.
The commenter asked whether a State
could meet the requirements by
providing, on its Web site, information
on the standards and techniques it uses
for monitoring LEAs’ implementation of
SES, or if the Department expects a
State to include this information on
report cards or disseminate the
information in other ways. Another
commenter supported using rigorous
and clear criteria when monitoring
LEAs’ implementation of SES, but did
not believe that these criteria should be
publicly reported. One commenter
stated that SES is well implemented in
the commenter’s State and that it is not
necessary to require that SEAs monitor
LEA implementation, as proposed in
§ 200.47(a)(4)(iii).
Discussion: The Secretary believes it
is necessary for States to report publicly
on the criteria they use to monitor LEAs
in order to ensure that all parties
involved in SES—including SEAs,
LEAs, schools, parents, and providers—
understand and are aware of these
criteria. The Department already
includes SES implementation in its
regular monitoring of Title I programs
and, therefore, there is no need for an
additional ‘‘gatekeeper’’ at the Federal
level to monitor SES implementation, as
suggested by one commenter.
A State’s criteria for monitoring LEAs’
implementation of SES should ensure
that LEAs meet the requirements in
section 1116(e) of the ESEA and
§ 200.46. We believe that States should
have the flexibility to determine how
best to share this information with the
public, which may include, among other
methods, posting the information on a
State’s Web site.
While many LEAs may be
implementing SES requirements
effectively, we do not believe that this
is uniformly the case in all States. As we
stated in the preamble to the NPRM, we
believe that requiring States to develop,
implement, and publicly report on the
criteria they use to monitor LEAs’
implementation of SES will help ensure
that all SEAs set rigorous and clear
expectations for their LEAs, which, in
turn, will lead to more effective
implementation of SES.
Changes: None.
Comment: Some commenters
suggested that the Department require
States to take additional actions to
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monitor LEAs’ implementation of SES.
One commenter recommended requiring
States to report to the public and the
Department on whether LEAs: (1)
Develop agreements with providers that
include specific student achievement
goals, progress measures, and timelines
for achieving the goals; and (2)
terminate agreements with providers
that fail to meet achievement goals and
timelines. Another commenter
suggested requiring States to conduct
focus groups with families eligible for
SES in order to gather information on
how SES policies are implemented at
the local level.
Discussion: An LEA is required under
the ESEA to develop student agreements
that include a provider’s goals and
timelines for achieving those goals, and
provisions for terminating the
agreements if the goals or timelines are
not met. Accordingly, an SEA should
assess the LEA’s compliance with these
requirements during the SEA’s periodic
monitoring. Given these requirements,
we believe that requiring States to
collect data and report on the
agreements that LEAs enter into with
each provider would be time consuming
and of limited value. Therefore, we
decline to require States to report to the
public the information recommended by
the commenter.
Regarding the recommendation that
States conduct focus groups with
families to obtain information on SES
implementation at the local level, the
Secretary believes that parents can
provide important information and
insights on ways to improve the
implementation of SES and encourages
States to meet with parents to hear
about their experiences with LEA
implementation of SES. We believe that
States are in the best position, however,
to decide how best to obtain feedback
from families on LEA implementation
practices.
Changes: None.
Approval and Monitoring of SES
Providers
Comment: Some commenters stated
that the requirements for approving and
monitoring SES providers extend
beyond the Department’s regulatory
authority.
Discussion: We do not agree. Section
1116(e)(4)(D) of the ESEA requires SEAs
to develop, implement, and publicly
report on standards and techniques for
monitoring the quality and effectiveness
of supplemental educational services.
This requirement clearly assigns to
SEAs the responsibility to hold SES
providers accountable for the quality of
the services they provide and the results
they achieve, and for withdrawing
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approval of providers that are
ineffective.
All the requirements in § 200.47(c) are
based on the statutory requirements
related to the provision of SES. The
requirement in § 200.47(c)(1)(i), which
requires an SEA to monitor whether a
provider’s instructional program is
consistent with the instruction provided
and the content used by the LEA and
the SEA, reflects the nearly identical
statutory requirement in section
1116(e)(5)(B) of the ESEA. Likewise, the
requirement in § 200.47(c)(1)(ii) that
SEAs monitor whether a provider’s
instructional program addresses
students’ individual academic needs
reflects the requirement in section
1116(e)(3)(A) that an LEA develop, in
consultation with parents and the
provider, a statement of the specific
achievement goals the student will
achieve through SES. The requirement
in § 200.47(c)(1)(iii) that SEAs monitor
whether a provider’s services are
contributing to students’ academic
proficiency reflects the statutory
requirements in sections 1116(e)(4)(D)
(withdrawal of approval of providers
that do not contribute to increasing the
academic proficiency of students
served) and 1116(e)(12)(C)
(supplementary educational services
must be specifically designed to
increase the academic achievement of
eligible children). Finally, the
requirement in § 200.47(c)(1)(iv) that
SEAs monitor the alignment of SES with
the State’s academic content and
student academic achievement
standards is consistent with the
requirement in section 1116(e)(5)(B) of
the ESEA. Given the direct statutory
authority for each regulatory provision,
the Secretary has clearly not exceeded
her regulatory authority in section 1901
of the ESEA.
The requirements in § 200.47(c)(2) are
conditional, in that they require the
information to be considered by an SEA
in monitoring approved providers only
if such information is available. For
example, while results from parent
surveys can provide important
information about the quality of a
provider’s services, § 200.47(c)(2)(i)
does not require an SEA to conduct a
parent survey. Rather, § 200.47(c)(2)(i)
requires that an SEA take this
information into consideration if such
information exists. As a result, these
regulatory provisions also do not exceed
the Secretary’s regulatory authority.
Changes: None.
Comment: One commenter
recommended that, instead of
monitoring providers for effectiveness,
States should monitor for program
quality.
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Discussion: Section 1116(e)(4)(D)
requires an SEA to monitor the ‘‘quality
and effectiveness of the services offered
by approved providers.’’ Thus, the
statute requires that an SEA monitor
both for effectiveness and program
quality. The ultimate measure of a
provider’s program quality and
effectiveness is improved student
achievement.
Changes: None.
Comment: One commenter asked
whether formal alignment studies must
be completed in order for SEAs to
comply with § 200.47(b)(2)(ii)(B) and
(c)(1)(iv), which require the SEA to
ensure that a provider’s instructional
program is aligned with State academic
content and student academic
achievement standards. Another
commenter recommended amending
§ 200.47(b)(2)(ii)(B) and (c)(1)(iv) to
prohibit States from approving
providers that do not make available
rigorous evidence of how their
instruction and content are aligned with
State content and achievement
standards.
Discussion: Formal alignment studies
are one way for a provider to
demonstrate that its instructional
program is aligned with State academic
content and student academic
achievement standards. However, the
Secretary believes that States should
have discretion in determining the
evidence that must be provided to
demonstrate that the instruction the
provider gives and the content the
provider uses are aligned with State
academic content and student academic
achievement standards. Therefore, we
decline to amend § 200.47(b)(2)(ii)(B)
and (c)(1)(iv) in the manner
recommended by the commenter.
Changes: None.
Comment: One commenter requested
clarification of the term ‘‘researchbased’’ in § 200.47(b)(2)(ii)(C), which
provides that, in order for an SEA to
include a provider on the State’s list of
approved SES providers, the provider
must agree to ensure that the instruction
the provider gives and the content the
provider uses are research-based.
Discussion: Section 1116(e)(12)(C)(ii)
of the ESEA requires that supplemental
educational services be of high quality,
research-based, and specifically
designed to increase the academic
achievement of eligible children on the
academic assessments required under
section 1111 of the ESEA and enable
those children to attain proficiency in
meeting the State’s academic
achievement standards. We believe,
after further consideration, that the
regulatory language should adhere more
closely to the statutory requirement and
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have made this change in
§ 200.47(b)(2)(ii)(C). We decline to
promulgate a specific regulatory
definition of ‘‘research-based,’’ as we do
not believe there is a single definition
that would be appropriate in all
circumstances. Rather, we believe that
States should have flexibility in
implementing the statutory requirement
in a manner that reflects their
individual circumstances and the
variety of studies conducted on the
effectiveness of SES programs.
Changes: We have amended
§ 200.47(b)(2)(ii)(C) to require that a
provider agree to ensure that the
instruction it provides and the content
it uses ‘‘are of high quality, researchbased, and specifically designed to
increase the academic achievement of
eligible children’’ in place of the
proposed language requiring a provider
to agree to ensure that its instruction
and content ‘‘are research-based.’’
Comment: One commenter supported
the changes in § 200.47 and agreed that
the effectiveness of SES providers
should be monitored more closely, but
stated that supplemental educational
services should be aligned with
students’ areas of academic need. The
commenter argued that, at times,
parents choose providers that offer
tutoring in reading, for example, when
their child’s academic need is in
mathematics.
Discussion: The requirements in
section 1116(e) and current
§ 200.46(b)(2) help ensure that
supplemental educational services are
aligned with students’ areas of academic
need. Section 200.46(b)(2) requires
LEAs to enter into an agreement with
each provider selected by a parent and
develop, in consultation with the parent
and the provider, a statement that
includes specific achievement goals for
the student, a description of how the
student’s progress will be measured,
and a timetable for improving
achievement. LEAs also are required to
describe the procedures for regularly
informing the student, parents, and
teachers of the student’s progress and to
terminate the agreement if the provider
is unable to meet the goals and
timetables specified in the agreement
(§ 200.46(b)(2)(ii) and (iii)). Ideally,
through this agreement, parents and
LEAs will develop goals in the areas
that best address the student’s needs.
Ultimately, however, it is the parents’
prerogative to select the provider of
their choice, even if the provider does
not provide services in the area of the
student’s greatest need.
Changes: None.
Comment: Several commenters
opposed, as burdensome and
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impractical, proposed § 200.47(c)(1)(i),
which would require an SEA to examine
evidence that a providers’ instructional
program is consistent with the
instruction provided and the content
used by the LEA and SEA. One
commenter proposed that a provider’s
instructional programs address a
student’s individual needs as described
in the student’s SES plan.
Discussion: Section 1116(e)(12)(B)(ii)
of the ESEA requires a provider to
provide SES that is consistent with the
instructional program of the LEA and
the academic standards of the State.
Similarly, section 1116(e)(5)(B) of the
ESEA requires a provider to ensure that
the instruction it provides and the
content it uses are consistent with the
instruction provided and content used
by the LEA and the State and are
aligned with the State’s academic
achievement standards. Section
200.47(c)(1)(i) merely requires an SEA,
during its approval of providers, to
ensure that each provider meets these
important instructional requirements.
Although an SEA cannot guarantee,
through its State-level approval process,
that a provider’s instructional programs
address each student’s individual needs,
an LEA, through its agreement with the
provider, can and must do so.
Changes: None.
Comment: One commenter applauded
the Department’s proposal to require
SEAs to consider the results of parent
surveys in approving providers and
recommended that the regulations
provide incentives to ensure that parent
recommendations are considered.
However, one commenter stated that
requiring States to use information from
parent recommendations and surveys in
approving providers would be
inconsistent with the statutory
requirement to use objective approval
criteria to determine whether a provider
has a demonstrated record of
effectiveness in increasing the academic
proficiency of students. The commenter
stated that results from parent surveys
are not a valid measure of whether the
provider’s instructional program
increases student achievement and,
instead, may reflect parent approval of
non-academic benefits of SES. Another
commenter questioned the usefulness of
parent surveys for making decisions
about approving providers and
expressed concern that parent surveys
are not reliable. One commenter stated
that the use of parent surveys is not
consistent with other aspects of NCLB
in which accountability is defined by
students’ academic performance.
Another commenter stated that parent
surveys rely on accurate reporting by
providers and asked what the
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Department would consider to be
suitable evidence for satisfying this
requirement.
Discussion: The Secretary believes
that parents can be objective and
reliable sources of information for States
to consider in approving providers.
Parents have an interest in ensuring that
reputable, effective providers are
approved by a State and retained on the
State’s list of approved providers and,
thus, it seems unlikely that parents
would want a State to approve or retain
a provider that did not have a
demonstrated record of effectiveness.
However, we agree that information
from parent surveys would not, by itself,
offer complete information on whether
a provider’s program is successful in
raising student achievement. We
included this requirement in the
regulations because we believe that
parent feedback, in addition to
evaluation results, is an important
source of information, if available, that
SEAs should consider in approving and
monitoring providers. The requirement
that States consider the results from
parent surveys, if any, does not mean
that this information has to be supplied
by a provider. This information could
come from other sources. The
regulations simply provide that a State
must consider parent recommendations
or the results of a parent survey
regarding the success of a provider’s
instructional program in increasing
student achievement if such
recommendations or surveys exist.
Regarding concerns that parent
surveys may reflect parent approval of
non-academic benefits of SES or be
inconsistent with NCLB’s focus on
student academic performance,
§ 200.47(b)(3)(ii) and (c)(2)(i)
specifically requires that a State
consider parent surveys and
recommendations (if any) regarding the
success of the provider’s instructional
program in increasing student
achievement. We do not believe that the
regulations should include incentives to
ensure that parent surveys are
considered in approving providers.
Section 200.47(b)(3)(ii) and (c)(2)(i)
clearly states that SEAs must consider
parent recommendations or results from
parent surveys, if any are available.
With regard to the question of what
the Department would consider suitable
evidence for satisfying the requirement
to consider parent surveys or
recommendations, if any, we believe
that a State should have the discretion
to determine the evidence that is most
appropriate and suitable given the
manner in which SES is implemented in
its LEAs. For example, a State that has
providers from small, local community-
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based organizations might obtain parent
recommendations in a manner that
differs from a State that has a few large,
for-profit providers.
Changes: None.
Comment: One commenter requested
clarification regarding § 200.47(b)(3)(iii)
and (c)(2)(ii), which would require
States, in approving or renewing the
approval of a provider, to consider
evaluation results, if any, demonstrating
that the provider’s instructional
program has improved student
achievement. The commenter suggested
defining acceptable evaluations as ones
that are conducted by independent
researchers using scientifically valid
methods. Two commenters asked what
it means for a provider to improve
student achievement. These
commenters recommended that the
Department, in order to assist States in
meeting their responsibility to monitor
providers’ effectiveness, establish a
definition of improved student
achievement and the methods that a
State may use to demonstrate such
improvement. Another commenter
recommended that States consider only
objective evaluations of SES providers.
One commenter expressed concern
that the monitoring and evaluation of
providers could be based on evidence
from the provider’s own evaluations and
feedback from parents, with minimal
regard for rigorous, high-quality, and
valid evaluations. Several commenters
expressed concern that providers would
be permitted to use self-reported data to
demonstrate effectiveness, rather than
results on State assessments. However,
one commenter recommended that
SEAs be prohibited from taking into
consideration student performance on
State assessments when they consider
whether to continue or withdraw
approval of a provider. The commenter
stated that the number of hours of
service provided through SES is not
sufficient to affect student achievement
on a State assessment. Another
commenter suggested that SEAs
establish the minimum number of hours
of SES that a student must receive
before the student’s test scores are
included in an evaluation of a
provider’s effectiveness.
Discussion: It is important to note
that, in approving and monitoring SES
providers, SEAs must consider
evaluation results only if they are
available. Moreover, SEAs have
considerable latitude in determining the
type of evaluation results they will
consider. While SEAs should consider
only evaluations that they believe have
used objective methodologies and
should give preference to those that
have used scientifically valid methods,
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we believe it would be inappropriate for
the Department to regulate on the types
of evaluation results SEAs may use in
determining whether SES providers are
successful in raising student
achievement.
The requirement to consider
evaluation results, if any are available,
should not be confused with the
requirement to evaluate the quality and
effectiveness of each provider. Using
evaluation results is one, but by no
means the only, way to judge a
provider’s effectiveness. We agree that
the results of student performance on
State assessments may not, by
themselves, be a complete and
satisfactory indicator of the
effectiveness of SES. However, nothing
in the statute or regulations would
prevent a State from considering student
performance on a State assessment to
evaluate provider effectiveness, or
establishing a minimum number of
hours of SES to be completed before the
student’s test scores are included in an
evaluation of providers. We believe
these decisions are best left to the
discretion of each SEA and, therefore,
decline to define the specific evaluation
methods States may use in evaluating
the success of a provider’s instructional
program in improving student
achievement.
Changes: None.
Comment: One commenter expressed
concern that requiring providers to
ensure that their instruction is researchbased and requiring SEAs to consider
parent recommendations or results from
parent surveys in approving providers
would discriminate against new or
smaller providers that may not have the
experience or resources to provide
lengthy analyses to meet these
requirements. Another commenter
stated that meeting these requirements
would be overly burdensome on new
SES providers or non-corporate
providers.
Discussion: Section 1116(e)(12)(B)(i)
of the ESEA requires providers to have
a demonstrated record of effectiveness
in increasing student academic
achievement. In addition, section
1116(e)(12)(C)(ii) requires supplemental
educational services to be of high
quality and research-based. Therefore,
all providers, including new or smaller
providers, must ensure that their
instruction is of high quality and
research-based. However, the Secretary
recognizes that new or smaller providers
may not have the same data or
evaluation results as larger and
longstanding providers to demonstrate
the success of their instructional
programs in improving student
achievement. That is why
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§ 200.47(b)(3)(ii) and (iii) and (c)(2)(i)
require an SEA to consider parent
recommendations or results from parent
surveys and evaluation results, if any
are available.
Changes: None.
Comment: One commenter
recommended that the regulations
specify that States may not use
providers’ financial or staffing
information in evaluating whether
providers have contributed to improving
student achievement. Another
commenter recommended requiring
States to consider the opinions of
educators and administrators in making
decisions to approve providers.
Discussion: Section 1116(e)(12)(B)(iii)
of the ESEA requires providers to be
financially sound. Therefore, the
Secretary believes it is reasonable for a
State to request a provider’s financial
information in deciding whether to
approve the provider, although not
when evaluating the effectiveness of a
provider’s program. However, the
Secretary does not believe that
additional regulation in this area is
needed. With regard to using staffing
information to evaluate a provider’s
program, we believe that information
about the qualifications of the
individuals hired to provide SES is a
reasonable factor that an SEA may want
to consider in approving an SES
provider although, again, we note that
the issue of whether the instructors
employed by a provider have adequate
qualifications is separate from the issue
of whether the provider’s program is
bringing about higher student
achievement. We note that a State may
not require a provider, as a condition of
approval, to hire only staff who meet the
‘‘highly qualified teacher’’ requirements
in §§ 200.55 and 200.56, consistent with
§ 200.47(b)(3).
We agree that input from teachers and
administrators, particularly those who
have direct experience with providers
and who are in a position to assess the
effectiveness of their instructional
programs, could contribute valuable
information to the provider approval
process. However, the Secretary believes
that SEAs are in the best position to
decide on the additional criteria they
will use to evaluate a provider’s
instructional program and, therefore,
declines to require all States to consider
staffing information or
recommendations from teachers and
administrators in evaluating a provider’s
program.
Changes: None.
Comment: One commenter
recommended that the Department
require SES providers to submit to the
SEA records of complaints received by
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the SES provider, so that the SEA can
use those records in considering a
provider’s approval or renewal. The
commenter also recommended that
completion rates and other performance
indicators be considered when a State is
renewing a provider’s approval.
Discussion: The Secretary proposed
§ 200.47(c) in order to specify and
clarify the evidence that SEAs must
consider, at a minimum, in monitoring
the effectiveness of a provider’s
instructional program. States are free to
include other criteria that they believe
would be useful in evaluating the
effectiveness of a provider’s program.
Changes: None.
Comment: Two commenters
recommended that the regulations
require SEAs, in determining whether to
approve or renew the approval of a
provider, to consider evidence that the
provider does not discriminate in its
employment practices and agrees to be
subject to the same anti-discrimination
laws and regulations that apply to
recipients of Federal funds.
Discussion: Current § 200.47(b)(2)(iii)
already requires an SEA to determine,
before it can approve a provider, that
the provider meets all applicable
Federal, State, and local health, safety,
and civil rights laws. The Department
has clarified, in its Supplemental
Educational Services Non-Regulatory
Guidance (June 13, 2005), how Federal
civil rights laws apply to SES providers
(see question C–3 in the guidance,
which is available at https://www.ed.gov/
policy/elsec/guid/suppsvcsguid.doc).
Changes: None.
Comment: Some commenters stated
that LEAs should have the authority to
monitor or ensure the quality of SES
providers. Another commenter stated
that LEAs should be permitted to
terminate contracts with SES providers
that fail to adhere to contract provisions
or fail to raise student achievement. One
commenter recommended that a
procedure be established to allow LEAs
to file complaints against SES providers.
Discussion: Section 1116(e)(4)(D) of
the ESEA clearly gives SEAs the
responsibility to monitor the quality and
effectiveness of the services offered by
approved SES providers and to
withdraw approval from providers that
fail, for two consecutive years, to
contribute to increasing the academic
proficiency of the students they serve.
We do not have the authority to alter
this basic requirement through these
regulations. Additionally, the Secretary
does not believe it would be advisable
to create, through regulations, a separate
role for LEAs in monitoring and
enforcing SES quality because doing so
could result in overlapping monitoring
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actions that would unnecessarily
complicate accountability for SES. The
Secretary does, however, support SEA
efforts to involve LEAs in their
monitoring efforts, for instance by
having LEAs collect and report
participation and assessment data to the
SEA.
Regarding an LEA’s ability to
terminate a provider, section
1116(e)(3)(C) of the ESEA permits LEAs
to terminate an individual student’s
agreement with a provider if the
provider is unable to meet the goals and
timetables in the agreement established
with the provider. LEAs may also
terminate a contract if the provider
violates other provisions in the contract,
such as provisions regarding student
progress reports, invoicing payment for
services, preserving student privacy,
and complying with applicable health,
safety, and civil rights laws. Further,
LEAs may terminate a contract if a
provider fails to meet additional
administrative or operational terms that
may be included in the contract, such as
conducting background checks on the
provider’s employees, provided those
terms are reasonable, do not subject the
provider to more stringent requirements
than apply to other contractors of the
LEA, and do not have the effect of
inappropriately limiting educational
options for students and their parents.
However, it is not within an LEA’s
authority to remove a provider from the
approved provider list or to terminate
an agreement with a provider for failing
to raise student achievement unless the
provider has failed to meet the goals and
timetables specified in the individual
agreement. Only an SEA may withdraw
approval of a provider if, for two
consecutive years, the provider does not
contribute to increasing the academic
proficiency of the students it serves (see
section 1116(e)(4)(D) of the ESEA).
We decline to adopt the suggestion of
one commenter that we establish
procedures to allow LEAs to file
complaints against SES providers with
the SEA. Although it is essential that
States facilitate open communication
between their LEAs and providers so
that disagreements can be resolved
quickly and appropriately, we believe
that States must have the discretion to
establish procedures to receive feedback
from their LEAs regarding a provider’s
actions in delivering SES.
Changes: None.
Comment: One commenter
recommended that a national
clearinghouse be established to collect
and disseminate information on
whether a provider has been removed
from a State’s list of approved providers.
Another commenter suggested that the
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Department maintain a database with
this information, as well as information
on States’ evaluations of the
effectiveness of instructional programs
provided by SES providers. One
commenter stated that it would be
difficult for an SEA to know if a
provider was removed from another
State’s list of approved providers and
argued that it would be inappropriate
for a State to base its decision on
another State’s data.
Discussion: We decline to adopt the
commenter’s suggestion that the Federal
government establish and maintain a
national clearinghouse or database
identifying providers that have been
removed from States’ approved provider
lists and the results of any State
evaluations of provider instructional
programs. Rather, we believe it is
sufficient that a provider that seeks
approval from a State inform the State
whether it has been removed from
another State’s list of approved
providers and include any relevant
information regarding such removal. If a
State needs additional information or
clarification, it may contact the State
that removed the provider directly. We
note that whether a provider has been
removed from another State’s list of
approved providers is only one of the
standards that a State must use in
approving or renewing approval of
providers under § 200.47(b) and (c).
Changes: None.
Comment: One commenter suggested
that a provider be removed from a
State’s approved provider list if the
provider gives false information on
whether it has been removed from
another State’s list of approved
providers.
Discussion: The Secretary agrees that
there could be cause for removal from
a State’s approved provider list if a
provider makes false claims about its
removal from another State’s list of
approved providers. Ultimately,
however, the decision to remove a
provider from a State’s list of approved
providers remains with the State.
Changes: None.
Comment: One commenter
recommended that the Secretary require
SEAs, in approving SES providers, to:
(1) Identify a pool of providers that
demonstrate effectiveness in engaging
with ‘‘disconnected youth’’ and
reinforce State standards in developing
workforce skills; (2) identify and remove
barriers that hinder the approval and
participation of local community-based
organizations as SES providers; and (3)
include specific selection criteria for
providers to address workforce and
youth development needs.
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Discussion: The primary purpose of
SES is to increase the academic
achievement of eligible students on
State assessments and help students
attain proficiency in meeting the State’s
academic achievement standards. A
State with a particular need for SES
providers to serve eligible disconnected
youth could develop and use criteria in
addition to the approval criteria in
§ 200.47(b)(2) and (b)(3) in order to
identify a pool of providers that can
effectively engage with disconnected
youth to help them meet the State’s
academic achievement standards.
However, the Secretary does not believe
that all providers should be required to
have that particular expertise and
declines to establish specific selection
criteria related to serving disconnected
youth.
The Secretary agrees that it is
important to engage community-based
organizations in providing SES. Section
1116(e)(4)(A) of the ESEA and
§ 200.47(a)(1)(i) already require a State
to consult with LEAs, parents, teachers,
and other interested members of the
public in order to promote maximum
participation by providers so that
parents have as many choices of SES
providers as possible. We believe it is
extremely important for parents,
teachers, and members of the public to
encourage and recruit community-based
organizations to apply to their State to
become approved SES providers. In
addition, States should ensure that they
create ways to tap this potential pool of
SES providers.
Changes: None.
Comment: A number of commenters
recommended that the Department
require States to approve an adequate
number of SES providers who are
trained to provide services to students
with disabilities, including students
with the most significant cognitive
disabilities and students with lowincidence disabilities (e.g., students
with mental retardation, deaf students,
students who are blind). Other
commenters recommended that all
approved providers be required to serve
students with disabilities and LEP
students. Similarly, some commenters
recommended that a provider’s
instruction and content be appropriate
for and accessible to all students,
including students with disabilities and
LEP students. One commenter
recommended adding a requirement
that States consider, as part of their
approval process, the ability of SES
providers to provide quality services to
LEP students. Some commenters
recommended that States be required to
indicate, on their lists of approved
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providers, the providers that are trained
to serve students with disabilities.
Discussion: Current § 200.47(a)(5) and
(a)(6), respectively, requires SEAs to
ensure that eligible students with
disabilities under the IDEA and students
covered under section 504 of the
Rehabilitation Act of 1973, as amended
(Section 504), receive appropriate
supplemental educational services and
accommodations in the provision of
those services, and that eligible LEP
students receive appropriate
supplemental educational services and
language assistance in the provision of
those services. These regulations clearly
require SEAs to ensure that an adequate
number of providers in the State have
the capability to provide services to
students with disabilities and LEP
students. Moreover, as indicated in the
Department’s Supplemental
Educational Services Non-Regulatory
Guidance (June 13, 2005), if no provider
is able to provide SES to eligible
students with disabilities, students
covered under Section 504, or LEP
students, an LEA would need to provide
these services, with necessary
accommodations and language
assistance, either directly or through a
contract (see questions C–4 and C–5 in
the guidance available at https://
www.ed.gov/policy/elsec/guid/
suppsvcsguid.doc).
SES providers include a wide variety
of agencies and organizations, including
LEAs, large national operators, and
small local organizations that focus on
providing SES to particular groups of
students. For example, a small
community-based organization might
have particular expertise in serving LEP
students in one specific language group;
another might focus on students with a
specific disability. Requiring all
prospective providers to serve students
with the full range of disabilities or
students with the full range of secondlanguage needs would undoubtedly
result in disqualifying many potentially
effective providers from the program.
Therefore, we decline to require that all
providers be able to serve students with
disabilities and LEP students.
As we noted in the discussion of the
comments on § 200.37, the Secretary
agrees that State and LEA lists of
approved providers should include
information on providers who serve
students with disabilities and providers
who serve LEP students. We, therefore,
have added language to
§ 200.37(b)(5)(ii)(B) and § 200.47(a)(3)(ii)
to make this clear.
Changes: As noted previously, we
have revised § 200.37(b)(5)(ii)(B) and
§ 200.47(a)(3)(ii) to require LEAs and
States, respectively, to indicate on the
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list of approved SES providers those
providers that are able to serve students
with disabilities or LEP students.
Comment: One commenter
recommended that States be required to
monitor providers’ data and
performance with students with
disabilities and LEP students. Another
commenter suggested that, as part of a
State’s monitoring of providers, the
State should be required to consider the
effectiveness of SES providers in serving
LEP students.
Discussion: Section 1116(e)(4)(D) of
the ESEA is clear that the SEA is
responsible for monitoring the quality
and effectiveness of the services offered
by approved providers. A provider that
serves students with disabilities or LEP
students should be monitored by the
SEA in the same manner as the SEA
monitors other providers.
Changes: None.
Section 200.48 Funding for ChoiceRelated Transportation and
Supplemental Educational Services
Section 200.48(a) Costs for Outreach
and Assistance to Parents
Comment: Several commenters
supported proposed
§ 200.48(a)(2)(iii)(C), which would allow
an LEA to count its costs for parent
outreach and assistance toward the
requirement to spend an amount equal
to at least 20 percent of the LEA’s Title
I, Part A allocation on choice-related
transportation and SES (the ‘‘20 percent
obligation’’). This change would permit
an LEA to allocate up to 0.2 percent of
its Title I, Part A allocation, (i.e., 1.0
percent of the 20 percent obligation), in
that manner (the 0.2 percent cap).
However, other commenters objected to
this proposal. One commenter stated
that this provision would increase the
procedural ‘‘hoops’’ through which
LEAs must jump and dilute needed
classroom services. Similarly, another
commenter stated that the provision
would ‘‘tie the hands’’ of LEAs in their
expenditure of local dollars.
Discussion: The commenters objecting
to the new flexibility to count parent
outreach and assistance funds toward
meeting the 20 percent obligation
appear to have misunderstood the
proposal. The new regulation would not
create any new procedural requirements
for LEAs or tie their hands in spending
funds; rather, § 200.48(a)(2)(iii)(C)
provides additional flexibility that
should make it easier for LEAs to
finance the provision of outreach and
other assistance to parents to help them
take advantage of their Title I public
school choice and SES options.
Although LEAs should already be
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undertaking parent outreach activities
and providing parent assistance related
to public school choice and SES, LEAs’
inability to count the cost of those
activities toward meeting the 20 percent
obligation may have limited the extent
of that outreach. Section
200.48(a)(2)(iii)(C) should encourage
LEAs to provide needed outreach and
assistance to parents and may also make
it easier for LEAs to meet their 20
percent obligation.
Changes: None.
Comment: A number of commenters
expressed concern that the 0.2 percent
cap on parent outreach and assistance
would be insufficient for LEAs to engage
in significant outreach activities. Other
commenters stated that the 0.2 percent
cap should not be limited to outreach
expenses and recommended that the
final regulations allow other
administrative expenses to count toward
meeting the 20 percent obligation. The
commenters also suggested that such
expenses be subject to a larger cap or
not be capped at all.
Discussion: In order to increase
participation in public school choice
and SES, the Secretary believes that
LEAs need to devote sufficient effort to
notifying parents of available public
school choice and SES options. The
Secretary proposed to permit LEAs to
count a portion of their public school
choice and SES outreach expenses
toward meeting the 20 percent
obligation in order to ensure that LEAs
provide parents the information they
need to make the best, most informed
decisions for their children. This
amount is capped at 0.2 percent of an
LEA’s Title I, Part A allocation. The
Secretary believes that this amount is
sufficient to support meaningful
outreach activities in many LEAs. We
believe that expanding the size of the
cap or extending it to cover other
administrative expenses related to
public school choice and SES might
lead to a reduction in the number of
students who could take advantage of
these options. Therefore, we decline to
allow other administrative expenses to
count toward meeting the 20 percent
obligation or to permit no cap or a
higher cap. Moreover, LEAs already
have great flexibility in the use of their
Title I, Part A allocations to administer
all aspects of their local Title I
programs.
Changes: None.
Comment: Two commenters
recommended that transportation be
provided to children who enroll in SES
and that LEAs be allowed to count the
costs of that transportation toward
meeting the 20 percent obligation.
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Discussion: Although section
1116(b)(9) of the ESEA requires LEAs to
provide transportation or pay for the
cost of transportation for students taking
advantage of the public school choice
option under Part A of Title I, it does
not include a similar requirement with
respect to SES. In addition, current
§ 200.48(a)(2)(iii)(B) does not allow an
LEA to include transportation costs for
SES to count toward meeting the 20
percent obligation. The Secretary
believes that funds made available for
SES should be used to pay for actual
services and not transportation costs.
We, therefore, decline to make the
changes requested by the commenter.
Changes: None.
Comment: One commenter supported
the proposal allowing LEAs to count
funds used for parent outreach toward
meeting the 20 percent obligation but
suggested that the Department publish a
list of allowable uses of those funds.
The commenter also expressed
opposition to any provision requiring
States to track and report LEAs’ use of
outreach funds. Another commenter
recommended that the final regulations
require LEAs to prepare a plan detailing
and justifying the use of the funds for
parent outreach and assistance.
Discussion: The Secretary believes
that LEAs are in the best position to
determine the most effective means of
providing parent outreach and
assistance related to public school
choice and SES. Therefore, we do not
believe that it is necessary to specify in
the regulations the types of parent
outreach and assistance activities that
LEAs may implement with funds
counted toward meeting the 20 percent
obligation under § 200.48(a)(2)(iii)(C).
We believe it is best left to LEAs to
determine the methods of outreach and
assistance that meet the needs of the
parents and students they serve. We also
believe that a requirement for LEAs to
prepare a detailed plan for the use of the
outreach funds would create
unnecessary burden without sufficient
corresponding benefit.
The Department notes that Title I, Part
A funds expended to meet the 20
percent obligation, like other Title I,
Part A funds, would be auditable
expenses and that LEAs should account
for them as they would other Federal
funds. The Department is not, at this
time, intending to collect data on the
use of these funds.
Changes: None.
Section 200.48(d) 20 Percent
Obligation
Comment: A number of commenters
supported proposed § 200.48(d)(1),
which would have required an LEA,
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before using unspent funds from its 20
percent obligation for other purposes, to
demonstrate to the SEA success in
meeting the following criteria:
(a) Partnering with community-based
organizations or other groups to help
inform eligible students and their
families of the opportunities to transfer
or to receive supplemental educational
services;
(b) Ensuring that eligible students and
their parents had a genuine opportunity
to sign up to transfer or to obtain SES,
including by—
(i) Providing timely, accurate notice
as required in §§ 200.36 and 200.37;
(ii) Ensuring that sign-up forms for
SES are distributed directly to all
eligible students and their parents and
are made widely available and
accessible through broad means of
dissemination, such as the Internet,
other media, and communications
through public agencies serving eligible
students and their families; and
(iii) Allowing eligible students to sign
up to receive SES throughout the school
year; and
(c) Ensuring that eligible SES
providers are given access to school
facilities, using a fair, open, and
objective process, on the same basis and
terms as are available to other groups
that seek access to school facilities.
Other commenters opposed the
proposed regulations. Some commenters
asserted that the changes in proposed
§ 200.48(d) were inconsistent with the
statute and that the Secretary does not
have the authority to require LEAs to
carry over unexpended public school
choice and SES funds.
Discussion: The Secretary believes
that the regulations are fully consistent
with section 1116(b)(10) of the ESEA,
which requires an LEA to spend, each
year, an amount equal to at least 20
percent of its Title I, Part A allocation
for choice-related transportation and
SES unless a lesser amount is needed to
satisfy all demand. Thus, unless an LEA
has met all demand, this statutory
obligation continues to exist, and the
LEA must fulfill its obligation in the
subsequent fiscal year. This is true with
respect to any statutory set-aside
requirement. For example, section
1118(a)(3) of the ESEA requires an LEA
to reserve not less than one percent of
its Title I, Part A allocation each year for
parent involvement activities. If an LEA
does not spend the full one percent for
parent involvement activities in the year
for which its Part A allocation was
appropriated, the LEA must spend the
unspent portion in the subsequent year
for parent involvement activities, in
addition to meeting its statutory
obligation for that subsequent year.
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There are two differences, however,
between most set-aside requirements
and the 20 percent obligation: (1) The 20
percent obligation need not be met with
Title I, Part A funds; and (2) the 20
percent obligation is dependent on
demand, which may, in fact, result in an
LEA spending less than the full
statutory amount if it has met all
demand for choice-related
transportation and SES. We proposed
the criteria in § 200.48(d)(1) (new
§ 200.48(d)(2)(i)) to encourage LEAs to
devote sufficient effort to ensuring they
have met the demand for public school
choice and SES by notifying parents of
their available public school choice and
SES options and to making SES
conveniently available in order to afford
parents a genuine opportunity to
participate. We believe the Secretary has
the authority to make these changes
under section 1901(a) of the ESEA,
which authorizes the Secretary to ‘‘issue
such regulations as are necessary to
reasonably ensure that there is
compliance with [Title I].’’
Changes: None.
Comment: One commenter objected to
the criteria in proposed § 200.48(d)(1)
because, according to the commenter,
they would decrease LEA flexibility to
spend Title I funds on plans that LEAs
know will work best for the students in
their schools. Other commenters stated
that the proposed regulations would
result in ‘‘micromanaging’’ LEAs and
inappropriately blame LEAs for parental
decisions not to transfer their child to a
new school or obtain SES for their child.
One commenter asserted that proposed
§ 200.48(d) would result in ‘‘favorable
treatment’’ of Title I public school
choice and SES options relative to the
‘‘regular’’ Title I program.
Discussion: The Secretary
understands the need to balance the
demand for SES and public school
choice with the desire of LEAs to use all
available funds to implement effective
Title I programs. However, evidence
from a wide range of sources, including
participation data reported by States in
their Consolidated State Performance
Reports, data on participation rates and
notification practices from the NATI
report, and the Department’s monitoring
of public school choice and SES
notification and enrollment practices,
suggests that, in many LEAs across the
country, low demand for public school
choice and SES is related to poorquality implementation. The regulations
are not intended to prevent LEAs from
appropriately using unspent choicerelated transportation and SES funds on
other allowable activities or to favor one
part of Title I over another, but to ensure
that, before using these funds for other
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purposes, parents of all eligible students
are given a genuine opportunity to
request a school transfer or sign up to
receive SES.
Changes: None.
Comment: One commenter
recommended that LEAs that spend an
amount equal to at least 10 percent of
their Title I, Part A allocations on
choice-related transportation and SES
should not have to meet the criteria in
proposed § 200.48(d)(1).
Discussion: The Department believes
it would be inconsistent with the statute
to exempt from compliance with the
requirements in § 200.48(d) an LEA that
spends less than its 20 percent
obligation on choice-related
transportation and SES. Section
1116(b)(10) of the ESEA clearly requires
that an LEA spend an amount equal to
at least 20 percent of its Title I, Part A
allocation on choice-related
transportation and SES unless it has met
all demand for public school choice and
SES with a lesser amount. Moreover, the
purpose of the requirements in
§ 200.48(d) is not to ensure that an LEA
spends any particular proportion of its
20 percent obligation on choice-related
transportation and SES, but to promote
effective implementation of Title I
public school choice and SES options.
For example, one LEA meeting all of the
criteria in new § 200.48(d)(2)(i)
(proposed § 200.48(d)(1)) may
experience demand requiring only onequarter of its 20 percent obligation,
while another LEA spending half of its
20 percent obligation, the proportion
recommended by the commenter, may
well be ignoring significant additional
demand for public school choice and
SES if it is not meeting the criteria in
new § 200.48(d)(2)(i) (proposed
§ 200.48(d)(1)).
Changes: None.
Comment: Several commenters
objected to proposed § 200.48(d)
because, according to the commenters,
this provision does not take into
account situations in which an LEA may
have a legitimate reason for either not
spending the full 20 percent obligation
or not being able to meet one or more
of the criteria in proposed
§ 200.48(d)(1). Some commenters noted,
for example, that many rural LEAs are
not able to provide public school choice
because they have only one school at
each grade level and are not able to
provide SES because there are so few
SES providers in the area. Another
commenter provided an example of an
LEA that has one school in corrective
action and that, even assuming all
eligible students took advantage of their
public school choice and SES options,
would need to spend only one-third of
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its 20 percent obligation to meet the
needs of those students. Yet another
commenter offered an example of an
LEA that for the past two years has set
aside the full 20 percent obligation,
over-enrolled students in SES, and then
not spent all of its 20 percent obligation
due to the failure of particular providers
to serve students or to complete services
according to the contracted schedule.
This commenter objected to being
forced to carry over dollars that were
not spent because providers did not
provide the contracted services. One
commenter claimed that States are
better positioned than the Department to
understand these local circumstances
and determine whether LEAs are
appropriately implementing the public
school choice and SES requirements.
Discussion: The Department believes
these commenters are misinterpreting
the requirements in § 200.48(d), which
would not apply to LEAs that, for
legitimate reasons, cannot spend their
full 20 percent obligation. In general,
the Department agrees that States would
have the authority, under existing law
and regulation, to determine that the
provisions in § 200.48(d) do not apply
in the circumstances cited by the
commenters. For example, the
provisions in § 200.48(d) would not
apply to LEAs that are not able to
provide public school choice because
they have only one school at each grade
level or to LEAs that are not served by
SES providers and, thus, are not able to
make SES available to students who
otherwise would be eligible for such
services.
Similarly, the requirements in
§ 200.48(d) do not apply if an LEA
enrolls sufficient numbers of eligible
students to spend all funds reserved for
choice-related transportation and SES,
but has funds left over at the end of the
year because one or more providers did
not fulfill their contractual obligations
or because enrolled students did not
begin or complete services. However, if
an LEA experiences significant student
attrition in its SES program early in the
school year, leading to lower than
anticipated expenditures, it would be
expected to hold a second enrollment
period and sign up sufficient students to
use the full 20 percent obligation.
In the case of an LEA that is able to
provide public school choice and SES to
all eligible students without spending
its full 20 percent obligation, the
requirements in § 200.48(d) apply only
to the funds that are reserved to serve
eligible students. For example, if an
LEA can serve all eligible students with
an amount equal to 10 percent of its
Title I, Part A allocation, it would be
required to reserve only that amount for
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choice-related transportation and SES
and would be able to use the other half
of its 20 percent obligation immediately
for other allowable activities. Note,
however, that an LEA seeking to exempt
a portion of its 20 percent obligation
from the requirements in § 200.48(d)
must base the amount that it reserves for
choice-related transportation and SES
on the assumption that all eligible
students will choose to transfer schools
or obtain SES. If the amount reserved in
this manner is less than the full 20
percent obligation, then the
requirements in § 200.48(d) apply only
to this lesser amount. Finally, any LEA
that is already providing public school
choice and SES to all eligible students
would not be subject to § 200.48(d).
Changes: None.
Comment: A large number of
commenters expressed concern about
the effect of the provisions in
§ 200.48(d) on LEAs’ Title I, Part A
allocations. These concerns appeared to
be based primarily on the potential
interaction of the requirements in
§ 200.48(d) with the statutory limitation
in section 1127(a) of the ESEA that
prohibits LEAs from carrying over more
than 15 percent of their Title I, Part A
allocations from one fiscal year to the
next fiscal year. Some commenters
stated that the proposed regulations
could lead to the loss of millions of
dollars appropriated for Title I and, as
a result, prevent LEAs from operating
quality programs. Two commenters
requested clarification of what happens
when funds are carried over, including
the possibility that unspent choicerelated transportation and SES funds are
carried over repeatedly for a number of
years. Finally, other commenters
recommended various measures to
avoid such losses, such as allowing
States to waive the criteria in proposed
§ 200.48(d)(1) for LEAs that otherwise
would lose access to Title I funds due
to the 15 percent carryover limitation.
Another commenter recommended
excluding funds from the 20 percent
obligation from the 15 percent carryover
limitation and not restricting any funds
that are carried over as a result of this
exclusion for choice-related
transportation or SES.
Discussion: LEAs, like other
recipients of Federal education funds,
are subject to a variety of requirements
governing the availability and use of
those funds. If LEAs do not meet these
requirements, for whatever reason, it is
possible to lose access to the funds.
However, LEAs have considerable
flexibility in managing their Federal
allocations, including those received
under Title I, Part A of the ESEA, and
the Department does not believe that the
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application of § 200.48(d) is likely to
lead to a loss of Title I funding. The
Department also believes that the
commenters have exaggerated the
number of LEAs, even under the
proposed regulation, that would be
required to carry over unspent choicerelated transportation and SES funds
and thus potentially be subject
(assuming they are carrying over Title I
funds) to the 15 percent Title I carryover
limitation. The vast majority of LEAs
seeking to use unspent choice-related
transportation and SES funds for other
allowable activities are likely to take
whatever measures are required to meet
the criteria in new § 200.48(d)(2)(i)
(proposed § 200.48(d)(1)), use unspent
funds as needed, and thus avoid any
potential problems that could be created
by carrying over a significant amount of
Title I funds from one year to the next.
Those that do carry over Title I funds
are likely to employ ‘‘first in-first out’’
accounting practices under which
affected LEAs would spend any carried
over ‘‘prior-year’’ funds first, before
using current year funds, in order to
avoid lapsing any prior-year funds due
to the end of the period of availability.
Under the final regulation, the LEAs
that are likely to carry over unused
choice-related transportation and SES
funds are those that have not met the
criteria in new § 200.48(d)(2)(i)
(proposed § 200.48(d)(1)). However,
even these LEAs would be unlikely to
lose Title I funds due to the 15 percent
Title I carryover limitation or other
Federal accounting requirements, for
several reasons. First, under section
1127(b) of the ESEA, an LEA may apply
to the State for a one-year exemption
(available once every three years) from
the 15 percent Title I carryover
limitation. This exemption is one reason
that the Department believes that other
measures proposed by commenters to
ensure that an LEA does not lose
unspent choice-related transportation
and SES funds due to the 15 percent
Title I carryover limitation, such as a
waiver of the criteria in new
§ 200.48(d)(2)(i) (proposed
§ 200.48(d)(1)) or excluding funds from
the 20 percent obligation from the 15
percent Title I carryover limitation, are
unnecessary.
The second reason the 15 percent
Title I carryover limitation should not
lead to the loss of an LEA’s Title I funds
is that § 200.48(d) focuses on the
amount that must be spent on choicerelated transportation and SES, not the
specific funds or source of funds that an
LEA uses to satisfy that amount. In other
words, what is actually ‘‘carried over’’ is
a funding commitment, not actual
funds. LEAs not meeting the criteria
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must add the amount of any unused
portion of the 20 percent obligation to
the amount that must be spent on
choice-related transportation and SES in
the subsequent year. Thus, an LEA that
does not meet the criteria in new
§ 200.48(d)(2)(i) (proposed
§ 200.48(d)(1)), and that has, for
example, $100,000 in unused fiscal year
2009 Title I, Part A funds that were
reserved as part of the LEA’s 20 percent
obligation in the 2009–2010 school year,
does not have to carry over those
specific Title I funds to the next school
year. The LEA could use that $100,000
in fiscal year 2009 Title I funds for other
Title I activities in the 2009–2010
school year, so long as it adds the same
$100,000 amount—from any Federal,
State, or local source—to its 20 percent
obligation for the 2010–2011 school
year. The third reason that LEAs in this
situation would be unlikely to allow
carried-over Title I funds to lapse is that
they are likely to use ‘‘first in-first out’’
accounting rules, as described earlier in
this discussion.
For all of these reasons, the
Department believes that the concerns
expressed by commenters about the
potential loss of Title I funds due to the
interaction of the requirements in
§ 200.48(d) and the 15 percent Title I
carryover limitation are unwarranted.
Moreover, it is not the intention, or the
expectation, of the Secretary that any
LEA will lose access to any portion of
its Title I, Part A allocation due to the
requirements in § 200.48(d). Rather,
these requirements are intended to
promote, consistent with the
authorizing statute, maximum
participation by eligible students in
Title I public school choice and SES.
Changes: None.
Comment: One commenter asserted
that the criteria in proposed
§ 200.48(d)(1) that an LEA must meet in
order to carry over unused funds from
its 20 percent obligation are inconsistent
with the current 15 percent Title I
carryover limitation because the
primary purpose of that limitation is to
ensure that most Title I funds are spent
in the program year for which the funds
were appropriated.
Discussion: Assuming proper
implementation of public school choice
and SES, the Secretary expects that,
consistent with the intent of the
carryover limitation in section 1127 of
the ESEA, all funds from an LEA’s 20
percent obligation should be spent in
the school year for which these funds
are appropriated. However, if proper
implementation does not happen, we
believe it is appropriate to require LEAs
to redouble their efforts in the following
year, even if that requires carrying over
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64491
some portion of their 20 percent
obligation. Also, as described in detail
in the previous comment and
discussion, § 200.48(d) does not require
LEAs to carry over any specific funds.
Rather, any LEA not meeting the criteria
in new § 200.48(d)(2)(i) (proposed
§ 200.48(d)(1)) for a given school year
must, in the following school year,
spend on choice-related transportation
and SES an amount equal to its 20
percent obligation for that school year
plus the amount of any unspent choicerelated transportation and SES funds
from the previous school year. Meeting
the requirements in § 200.48(d) does not
require carrying over funds from one
year to the next.
Changes: None.
Comment: One commenter warned
that the 15 percent Title I carryover
limitation could allow LEAs to evade
the requirements in § 200.48(d). More
specifically, the commenter stated that,
if an LEA was already carrying over
other Title I funds close to or exceeding
the 15 percent Title I carryover
limitation, it would not be able to carry
over any unused funds from its 20
percent obligation and, thus, would not
be able to add these unused funds to the
amount required to be spent on choicerelated transportation and SES in the
subsequent year. To avoid this possible
outcome, the commenter recommended
that the final regulations exclude
unused funds from the 20 percent
obligation from the 15 percent Title I
carryover limitation and require affected
LEAs to disclose publicly the amount of
any funds carried over due to failing to
meet the criteria in proposed
§ 200.48(d)(1).
Discussion: While the Department
understands the commenter’s concern
that some LEAs may attempt to use the
15 percent Title I carryover limitation to
evade the requirements in § 200.48(d),
we believe the commenter’s analysis is
incorrect in several ways. First, the
Department believes that there are few,
if any, LEAs that would prefer simply to
lose access to a significant portion of
their Title I allocation rather than
comply with the criteria in new
§ 200.48(d)(2)(i) (proposed
§ 200.48(d)(1)) that can help raise
student achievement and help schools
and LEAs make AYP. Second, if an LEA
already is carrying over 15 percent of its
Title I, Part A allocation (before the
addition of any unspent portion of its 20
percent obligation to the carryover
total), it would first need to use those
funds to meet unmet requirements, such
as the 20 percent obligation. Finally, as
with section 1116(b)(10) of the ESEA,
which refers not to specific funds but to
‘‘an amount equal to’’ 20 percent of an
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LEA’s Title I, Part A allocation, new
§ 200.48(d)(1)(i) (proposed
§ 200.48(d)(1)) requires an LEA that
does not meet the criteria ‘‘to spend the
unexpended amount in the subsequent
school year’’ (emphasis added) on
choice-related transportation, SES, or
parent outreach and assistance. This
means that, regardless of the loss of
access to specific Title I or non-Title I
funds due to carryover limitations or
other requirements governing the use of
such funds, the LEA remains obligated
to add the ‘‘unexpended amount’’ to the
20 percent obligation for public school
choice and SES in the following year,
and would have to identify another
source of funding to replace any funds
lost due to the 15 percent Title I
carryover limitation. Because it is the
requirement to spend this ‘‘unexpended
amount,’’ and not the specific funds
originally reserved to meet the 20
percent obligation, that is carried over to
the following year, there is no need to
exempt unused funds from an LEA’s 20
percent obligation from the statutory 15
percent Title I carryover limitation, a
change that in any case would not be
possible through regulatory action
alone. As for the recommendation that
LEAs publicly disclose any unexpended
amount that is carried over to the
subsequent year, the Department
believes that such disclosure would be
subject to misinterpretation and would
not necessarily provide useful
information to parents.
Changes: None.
Comment: Two commenters
expressed concern about the potential
impact that the criteria in proposed
§ 200.48(d)(1) would have on private
school students receiving equitable
services under Title I. One commenter
stated, for example, that § 200.48(d)
would require an LEA to carry over all
unspent funds to the following year for
the exclusive use of public schools,
thereby eliminating the opportunity for
private school students to benefit from
their equitable share of the unspent
funds. The second commenter
recommended that any unspent funds
be made available as soon as possible
during the school year so that nonpublic
school students can receive their fair
share under the equitable participation
requirements of the ESEA.
Discussion: Section 1120 of the ESEA
requires an LEA to provide equitable
Title I services to eligible students
enrolled in private elementary and
secondary schools, their teachers, and
their families. Funds to provide these
services are generated by students from
low-income families who reside in a
participating public school attendance
area and attend a private school.
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Equitable services for private school
students generally apply to Title I funds
spent for instruction for elementary and
secondary school students, professional
development, and parent involvement.
They do not apply, however, to all uses
of Title I funds. For example, they do
not apply to preschool services, because
preschool is generally not considered to
be elementary education under State
law, and they do not apply to Title I
funds reserved for choice-related
transportation and SES, because private
schools are not subject to school
improvement and private school
students do not receive SES. Thus, if an
LEA carries over unspent Title I funds
to the subsequent year for particular
purposes such as SES, the application of
the equitable services requirements
depends on the purpose for which those
carryover funds are used.
For this reason, the Department does
not believe that the provisions in
§ 200.48(d), which potentially require
an LEA with unused funds from its 20
percent obligation to carry over those
funds for expenditure on choice-related
transportation and SES in the
subsequent school year, unlawfully or
otherwise inappropriately affect the
amount of carryover funds available for
equitable services for private school
students. It is important to note that the
requirement to spend an amount equal
to at least 20 percent of an LEA’s Title
I, Part A allocation for choice-related
transportation and SES applies even if
an LEA does not use Title I, Part A
funds to meet its 20 percent obligation.
However, assuming an LEA does use
Title I, Part A funds, those funds are not
subject to the equitable services
requirement, as noted previously,
because they are specifically used to
provide choice-related transportation,
SES, and parent outreach to eligible
students in schools in need of
improvement, corrective action, and
restructuring—requirements that do not
apply to private schools or services that
private school students receive under
Title I, Part A, just as they do not apply
to services for students in public
schools that are not identified for
improvement. The regulations in
§ 200.48(d) merely require an LEA that
did not spend the requisite amount in
a given year on choice-related
transportation, SES, and parent outreach
to spend the unexpended amount on
those same activities in the following
year (unless the LEA meets the criteria
in new § 200.48(d)(2)(i) (proposed
§ 200.48(d)(1)). If an LEA reserved Title
I, Part A funds for those activities and
can demonstrate that spending an
amount less than the 20 percent
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obligation is warranted, the Title I, Part
A funds that the LEA then may use for
other allowable activities would be
subject to the equitable services
requirements, as applicable. The revised
criteria in new § 200.48(d)(2)(i),
particularly in new paragraph
(d)(2)(i)(B)(3) relating to two enrollment
‘‘windows,’’ should enable an LEA to
determine by mid-year whether it has
met all demand for choice-related
transportation and SES and, thus, can
spend any unspent funds on other
allowable activities. After it makes this
determination, the LEA must consult
with appropriate private school officials
pursuant to section 1120(b) of the ESEA
as to what equitable services the LEA
will provide to eligible private school
students with funds remaining from its
20 percent obligation.
Changes: None.
Comment: One commenter claimed
that forcing LEAs to carry over unused
State or local funds that were part of an
LEA’s 20 percent obligation would
violate the unfunded mandates
provision in section 9527(a) of the
ESEA. Another commenter requested
clarification on the potential impact of
§ 200.48(d) on any non-Title I funds
reserved to meet an LEA’s 20 percent
obligation.
Discussion: The claim that the criteria
in new § 200.48(d)(2)(i) (proposed
§ 200.48(d)(1)) violate the so-called
‘‘unfunded mandates’’ provision in
section 9527(a) of the ESEA is incorrect.
Section 9527(a) prohibits the Secretary
from mandating that a State or LEA
‘‘spend any funds or incur any costs not
paid for under [the ESEA].’’ As noted
previously, the 20 percent obligation for
choice-related transportation and SES
created by section 1116(b)(10) of the
ESEA does not require the use of any
particular Federal, State, or local funds;
instead, it requires an LEA with schools
identified for improvement, corrective
action, or restructuring to spend an
amount equal to at least 20 percent of
its Title I, Part A allocation on choicerelated transportation and SES unless a
lesser amount is needed. An LEA has
complete discretion as to the source of
funds, and the Secretary is not
mandating through § 200.48(d) that an
LEA use State or local funds to meet this
requirement. Likewise, an LEA that does
not meet the criteria in new
§ 200.48(d)(2)(i) (proposed
§ 200.48(d)(1)) would not be required to
carry over any specific unused State or
local funds it has set aside to meet its
20 percent obligation, but would add
the amount of those unused funds to its
20 percent obligation for the subsequent
year.
Changes: None.
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Comment: One commenter requested
that the Department clarify in the final
regulations that the standard used to
determine the amount that an LEA must
spend on SES before using unspent
funds for other purposes is based on an
amount equal to 15 percent of the LEA’s
Title I, Part A allocation, rather than the
current five percent minimum. Other
commenters recommended that we
clarify in the final regulations that this
5 percent minimum is all that an LEA
must spend on SES under the statute.
Discussion: These comments appear
to have been based on a
misunderstanding of current law and
regulations. Under section 1116(b)(10)
of the ESEA, an LEA is required to
spend a minimum of an amount equal
to five percent of its Title I, Part A
allocation on SES only in situations
where the LEA faces such strong
demand for choice-related
transportation that it otherwise might
spend the full 20 percent obligation
only on choice-related transportation
and not offer SES to any eligible
students. Current law and regulations
already require LEAs to spend the
equivalent of 20 percent of their Title I,
Part A allocation on choice-related
transportation, SES, or a combination of
the two, assuming there is sufficient
demand for these options. Within that
20 percent, the statutory requirement in
section 1116(b)(1) to spend at least 15
percent on SES would continue to apply
if an LEA spends no more than five
percent on choice-related
transportation.
Changes: None.
Comment: One commenter opposed
the requirements in § 200.48(d),
recommending instead that any unused
funds from the 20 percent obligation be
redirected to Title I schools that have
been identified for improvement.
Discussion: The purpose of the
requirements in § 200.48(d) is to help
ensure that LEAs improve their
implementation of Title I public school
choice and SES and thereby increase
participation in these options.
Redirecting unused portions of an LEA’s
20 percent obligation to school
improvement purposes, rather than
requiring those portions to be carried
over and used to support public school
choice and SES in the subsequent year,
would be inconsistent with this
purpose.
Changes: None.
Comment: One commenter
recommended that the Department
require an LEA to spend any unused
funds from its 20 percent obligation to
provide additional SES.
Discussion: We interpret this
comment to mean that an LEA should
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not be permitted to spend unused funds
from its 20 percent obligation for other
allowable activities. However, section
1116(b)(10)(A) of the ESEA clearly
anticipates situations in which an LEA
may legitimately spend less than the full
20 percent obligation on choice-related
transportation and SES and may then
redirect such funds to other allowable
activities.
Changes: None.
State Review Process
Comment: Several commenters
claimed that ensuring compliance with
the requirements in § 200.48(d) would
impose a significant and unnecessary
burden on States, with some
commenters recommending that
compliance be enforced through State
monitoring rather than through an
advance approval process. One
commenter argued that the provisions in
proposed § 200.48(d) appear to penalize
all LEAs for the failures of a few, and
that a better approach would be to
investigate allegations of poor
implementation of public school choice
and SES. Another commenter observed
that not meeting the full 20 percent
obligation is not necessarily a sign of
‘‘bad faith’’ and recommended that the
criteria apply only in cases where
Federal or State monitoring efforts
identify substantial problems in an
LEA’s implementation of the public
school choice and SES requirements.
Discussion: Proposed § 200.48(d) was
not intended to punish any LEA, but to
help ensure that LEAs devote sufficient
effort to notifying parents of available
public school choice and SES options.
The Secretary believes that many LEAs
already make good-faith efforts to
implement the public school choice and
SES requirements and will have little
difficulty meeting the new criteria if
they want to use unspent funds from
their 20 percent obligation for other
purposes.
As for the recommendation that
proposed § 200.48(d) apply only where
Federal or State monitoring has found
problems with LEA implementation of
public school choice and SES
requirements, the Department believes
that the appropriate response to findings
from State performance reports,
evaluations, and Federal monitoring
reports documenting continuing low
participation rates in the face of a
potentially increasing number of eligible
students is not to continue to rely solely
on routine monitoring. Although the
Secretary does not agree that the
requirements in proposed § 200.48(d)
would have created significant and
unnecessary new administrative burden
for States, she does agree that the goal
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of the proposed regulation—improved
implementation of Title I public school
choice and SES provisions—can be met
through a more targeted approach to
enforcement. For this reason, and to
reduce administrative burden on States
and LEAs, we have restructured and
made several changes to proposed
§ 200.48(d). First, LEAs are not required
to submit evidence of compliance with
the criteria in new § 200.48(d)(2)(i)
(proposed § 200.48(d)(1)) to their SEA,
or to receive SEA approval before using
unspent choice-related transportation
and SES funds for other allowable
activities. Instead, the final regulations
only require an LEA seeking to use
unspent choice-related transportation
and SES funds for other allowable
activities to (1) maintain records
showing that it has met the criteria in
new § 200.48(d)(2)(i), (2) notify the SEA
that it has met those criteria, and (3)
notify the SEA that it intends to spend
the remainder of its 20 percent
obligation on other allowable activities
and indicate the amount of that
remainder. An SEA will not be required
to review and approve each LEA’s use
of unspent funds from its 20 percent
obligation but generally will ensure LEA
compliance through its regular
monitoring process. However, in
addition to its regular monitoring, an
SEA must review any LEA that (1) the
SEA determines has spent a significant
portion of its 20 percent obligation for
other activities, and (2) has been the
subject of multiple complaints,
supported by credible evidence,
regarding the LEA’s implementation of
the public school choice and SES
requirements. The SEA must complete
the required review of such LEAs before
the beginning of the next school year.
We also note that an SEA may target for
review any LEA that it believes is not
implementing public school choice and
SES in accordance with the law and
regulations.
If an SEA finds during its monitoring
and review that an LEA failed to meet
any of the criteria in new
§ 200.48(d)(2)(i) (proposed
§ 200.48(d)(1)), the LEA must (1) add the
amount of any unspent choice-related
transportation and SES funds (i.e., the
‘‘remainder’’ specified in new
§ 200.48(d)(2)(iii)(B)) to its 20 percent
obligation for the next school year or (2)
meet the criteria in new § 200.48(d)(2)(i)
and obtain permission from the SEA
before spending any portion of this total
amount on activities other than choicerelated transportation, SES, or parent
outreach and assistance. In addition, the
SEA must confirm the LEA’s
compliance with the criteria in new
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§ 200.48(d)(2)(i) (proposed
§ 200.48(d)(1)) for the subsequent year
before it grants this permission.
The final regulations also clarify that
the criteria in new § 200.48(d)(2)(i)
(proposed § 200.48(d)(1)) are the
minimum criteria that LEAs must meet
before spending any portion of their 20
percent obligation on other allowable
activities. An SEA may establish
additional criteria for the effective
implementation of Title I public school
choice and SES options. We note,
however, that any other criteria used by
an SEA to review LEA compliance with
the requirements in new
§ 200.48(d)(2)(i) (proposed
§ 200.48(d)(1)) must be in addition to,
and may not serve as a substitute for,
the criteria in new § 200.48(d)(2)(i)
(proposed § 200.48(d)(1)).
Changes: For purposes of
clarification, we have revised
§ 200.48(a)(2)(iii)(C) to define ‘‘20
percent obligation’’ as an amount equal
to 20 percent of an LEA’s Title I, Part
A allocation. We have restructured
§ 200.48(d) and included the minimum
criteria that an LEA must meet before
using unspent funds from its 20 percent
obligation for other allowable activities
in new paragraph (d)(2)(i)(A) through
(C) (proposed paragraph (d)(1)(i)
through (iii)). A new § 200.48(d)(2)(ii)
has been added to require an LEA
seeking to spend less than its 20 percent
obligation on choice-related
transportation, SES, and parent outreach
and assistance to maintain records
demonstrating compliance that it has
met the criteria in new § 200.48(d)(2)(i).
A new § 200.48(d)(2)(iii) has been added
to also require the LEA to notify the
SEA that it has met these criteria, and
that it intends to spend the remainder
of its 20 percent obligation on other
allowable activities and indicate the
amount of that remainder. A new
paragraph (d)(3) has been added to
require each SEA, in addition to
enforcing § 200.48(d) through its regular
monitoring of LEA Title I programs, to
review for compliance with new
§ 200.48(d)(2)(i) any LEA that (1) the
SEA determines has spent a significant
portion of its 20 percent obligation for
other activities, and (2) has been the
subject of multiple complaints,
supported by credible evidence,
regarding its implementation of public
school choice or SES requirements. A
new paragraph (d)(3)(ii)(B) has been
added to require the SEAs to complete
the review of such LEAs before the
beginning of the next school year.
Proposed § 200.48(d)(2) has been
redesignated as new § 200.48(d)(1)(ii)
and a new paragraph (d)(4) has been
added to provide that if an SEA
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determines, either through its regular
monitoring or through the review
required by new paragraph (d)(3)(ii),
that an LEA has failed to meet any of the
criteria in new paragraph (d)(2)(i), the
LEA must (1) spend an amount equal to
the remainder specified in its notice to
the SEA under new § 200.48(d)(2)(iii)(B)
in the subsequent school year, in
addition to its 20 percent obligation for
that year on choice-related
transportation costs, SES, or parent
outreach and assistance or (2) meet the
criteria in new § 200.48(d)(2)(i) and
obtain permission from the SEA before
spending less than this total amount
(the remainder plus the new 20 percent
obligation) on choice-related
transportation, SES, or parent outreach
and assistance. The SEA must confirm
that the LEA has complied with the
criteria in new paragraph (d)(2)(i) for
that subsequent school year before
granting such permission.
Comment: One commenter
recommended that we revise the
regulations to provide authority for
SEAs to waive LEA compliance with
any of the criteria in proposed
§ 200.48(d)(1).
Discussion: As noted earlier in this
section, § 200.48(d) is intended to
improve implementation of Title I
public school choice and SES
requirements by LEAs with large
numbers of eligible students and low
participation rates. After more than six
years of NCLB implementation, a
considerable body of evidence on
existing implementation practices
argues strongly for less, rather than
more, flexibility in this area. This is
why new § 200.48(d)(2)(i) (proposed
§ 200.48(d)(1)) identifies several ‘‘best
practices’’ associated with effective
implementation of and greater
participation in public school choice
and SES and generally requires that an
LEA follow these practices before using
unspent funds from its 20 percent
obligation for other allowable activities.
The Department also believes, as noted
earlier in this preamble, that States
already have the authority, under
existing law and regulations, to
determine that the provisions in
§ 200.48(d) do not apply under certain
circumstances, such as in LEAs that are
not able to make available public school
choice or SES options to their students
due to a lack of such options in their
geographic area. However, States do not
have the authority to waive compliance
with a specific criterion for an LEA to
which § 200.48(d) does apply.
Changes: None.
Comment: One commenter
recommended that the evidence
submitted to an SEA by an LEA to
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demonstrate success in meeting the
criteria in proposed § 200.48(d)(1) be
publicly available, and that such
evidence include a separate breakout of
the funds spent on choice-related
transportation and SES, the amount of
the unspent funds, and a justification
for how the funds would subsequently
be used.
Discussion: The final regulations do
not require LEAs to submit evidence
that they have met the criteria in new
§ 200.48(d)(2)(i) (proposed § 200.(d)(1))
before using unspent choice-related
transportation and SES funds for other
allowable activities. The Secretary made
this change, in part, to alleviate SEA
and LEA concerns about administrative
burden, and declines the commenter’s
recommendation to increase that burden
by adding new data collection and
disclosure requirements to the final
regulations.
Changes: None.
New § 200.48(d)(2)(i)(A) (Proposed
§ 200.48(d)(1)(i)) Partnering With
Outside Organizations
Comment: We received a number of
comments on the proposal that an LEA,
before using unspent choice-related
transportation and SES funds for other
purposes, demonstrate success in
partnering with community-based
organizations (CBOs) or other groups to
help inform eligible students and their
families of the opportunities to transfer
to another public school or to receive
SES. One of these commenters
recommended that this requirement be
optional because some communities
have few CBOs that are available or
interested in partnering with LEAs.
Discussion: The Department proposed
this requirement based on findings from
the NATI report and other evaluation
data that participation in public school
choice and SES is higher when parents
learn of these options from multiple
sources within their communities.17
However, the Department recognizes
that in some communities, particularly
in rural or geographically isolated areas,
it may be difficult to identify a willing
partner for educational outreach
activities. We, therefore, have revised
§ 200.48(d)(2)(i)(A) (proposed
§ 200.48(d)(1)(i)) to require LEAs to
partner with a CBO or other groups for
the purpose of promoting participation
in Title I public school choice and SES
‘‘to the extent practicable.’’ We have
also expanded the examples of such
groups to include faith-based
organizations (FBOs), other CBOs, and
business groups.
17 Id.
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Changes: We have added ‘‘to the
extent practicable’’ to the criterion in
new § 200.48(d)(2)(i)(A) (proposed
§ 200.48(d)(1)(i)) regarding partnering
with outside groups and have also
added examples of such outside groups
to include faith-based organizations,
other community-based organizations,
and business groups.
Comment: Two commenters stated
that an LEA should not be required to
demonstrate success in partnering with
CBOs as a criterion for reallocating
unspent funds from its 20 percent
obligation because, according to the
commenters, this requirement would
increase administrative costs. One of
these commenters added that the
requirement to partner with CBOs
would be an excessive burden on public
schools already mandated to provide
information on Web sites, in
newsletters, and in letters to parents.
Discussion: The Department
recognizes that meeting the criterion in
new § 200.48(d)(2)(i)(A) (proposed
§ 200.48(d)(1)(i)) could entail additional
administrative costs, but believes that
such costs, as described in the Summary
of Costs and Benefits section, would be
minimal and would be far outweighed
by the potential benefits of more
effective implementation of and
participation in Title I public school
choice and SES. These requirements
also reflect evidence from the NATI
report and other sources that pursuing
multiple avenues of communicating
with parents about public school choice
and SES is one of the most effective
strategies for increasing participation in
these options. In addition, the
Department believes that partnering
with outside groups is one of the most
cost-effective ways to promote SES, as
FBOs, CBOs, and business groups
already have a presence in the
community and thus, gives LEAs a way
to tap existing resources in their effort
to reach out to parents about Title I
public school choice and SES options.
However, as discussed previously, the
Department acknowledges that
partnering with outside groups may be
challenging for some LEAs, and we have
revised the regulations to provide that
an LEA establish such partnerships ‘‘to
the extent practicable.’’
Changes: None.
Comment: One commenter
recommended that the Department
prescribe in the final regulations
specific requirements for an LEA to
meet in establishing a partnership with
CBOs for the purpose of this section,
such as responsibility for choosing the
CBO partners, the elements of an
adequate partnership, and the
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appropriate division of authority
between the LEA and its partners.
Discussion: The Secretary believes
that LEAs are in the best position to
decide how to develop and structure
partnerships with outside groups in
their communities. Establishing
requirements for such partnerships
through these regulations would create
a ‘‘one-size-fits-all’’ approach that
would likely stifle the development of
cooperative and innovative
partnerships.
Changes: None.
Comment: One commenter objected to
requiring LEAs to partner with CBOs
because, according to the commenter, it
should be sufficient for LEAs to make
parents aware of their public school
choice and SES options through written
notifications sent by mail.
Discussion: The Secretary does not
dispute that sending written
information through the U.S. mail is a
standard and widely accepted practice,
used by a variety of Federal, State, and
local government agencies, including
LEAs, for communicating with the
public. However, as discussed in the
preamble to the NPRM, there is
evidence that, regardless of the method
of transmission, mailings and other
written materials alone are often
insufficient to make eligible parents
aware of their Title I public school
choice and SES options. For example,
the NATI report found that, in the
2004–2005 school year, while nearly 70
percent of LEAs provided written
notification of public school choice
options and 94 percent of LEAs used
written materials to inform parents of
SES options, surveys of parents in eight
large urban LEAs showed that just over
a quarter (27 percent) of eligible parents
reported receiving notification about
public school choice and about half of
parents (53 percent) reported receiving
notice of SES options.18
One problem with using written
materials alone to communicate with
parents is that such materials can vary
widely in content and clarity. The NATI
report also found that, although some
notification letters were easy to read and
presented public school choice and SES
options as a positive benefit for eligible
students, others were confusing,
discouraged parents from changing
schools, or appeared to be biased in
favor of certain SES providers.19 Finally,
the families of many students attending
the high-poverty schools served by Title
I, particularly in urban areas, often are
18 Id.
19 Id.
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64495
highly mobile and, thus, hard to reach
at a fixed address via U.S. mail.
For all of these reasons, the Secretary
believes that it is important for LEAs to
use multiple methods for informing
eligible parents of their public school
choice and SES options. The Secretary
believes that partnering with CBOs is an
effective, low-cost strategy for LEAs to
help ensure that eligible parents learn
about and take advantage of public
school choice and SES options for their
children.
Changes: None.
Comment: One commenter
recommended adding language ensuring
that the criteria in proposed
§ 200.48(d)(1), and more specifically the
criteria to partner with CBOs and to
permit enrollment in SES throughout
the school year, take into account the
needs of homeless, migrant, foster, and
other highly mobile students.
Discussion: The Secretary agrees that
it is important for LEAs to reach out to
all eligible students in order to provide
a genuine opportunity for all eligible
students to obtain SES. This is one
reason the final regulations include
multiple criteria that LEAs must meet
before spending any unused funds from
their 20 percent obligation for other
allowable activities. These criteria
require an LEA that wishes to use
unspent funds from its 20 percent
obligation for other allowable activities
to engage in broader outreach efforts
that must include, to the extent
practicable, partnering with outside
groups (such as CBOs serving homeless,
migrant, foster, and other mobile
students), hold a minimum of two SES
enrollment periods so that a student
who starts school after the beginning of
the school year has at least one
opportunity to sign up for SES, and
afford greater opportunities to obtain
SES in school facilities—a convenient,
safe location for students who otherwise
might not be able to access SES. We
believe that implementation of these
‘‘best practices’’ will greatly benefit
homeless, migrant, foster, and other
mobile students and increase their
participation in public school choice
and SES. However, we believe that
LEAs should have flexibility to meet the
criteria in new § 200.48(d)(2)(i)
(proposed § 200.48(d)(1)) in ways that
best meet the needs, and accommodate
the circumstances, of their students, and
we decline to add references to any
particular student group in this section.
Changes: None.
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New § 200.48(d)(2)(i)(B)(2) (Proposed
§ 200.48(d)(1)(ii)(B)) SES Enrollment
Forms
Comment: One commenter suggested
that the Secretary modify proposed
§ 200.48(d)(1)(ii)(B) to require that signup forms for SES be distributed through
the Department-funded Parent Training
and Information Centers and Parent
Information and Resource Centers.
Discussion: New.
§ 200.48(d)(2)(i)(B)(2) (proposed
§ 200.48(d)(1)(ii)(B)) provides that, to
ensure that eligible students and their
parents have a genuine opportunity to
sign up to transfer or to obtain SES, an
LEA must, among other things, ensure
that SES sign-up forms are distributed
directly to all eligible students and their
parents and are made widely available
through broad means of dissemination,
such as through public agencies serving
eligible students and their families. The
Secretary prefers to give LEAs flexibility
in selecting those public agencies that
are in the community and able to assist
the LEA, rather than mandating that
each LEA work with a specific agency
or center. In many LEAs, there will be
no Parent Training and Information
Center or Parent Information and
Resource Center present and available to
work with the LEA on the distribution
of sign-up forms.
Changes: None.
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New § 200.48(d)(2)(i)(B)(3) (Proposed
§ 200.48(d)(1)(ii)(C)) SES Enrollment
Period
Comment: Many commenters opposed
the criterion in proposed
§ 200.48(d)(1)(ii)(C) that LEAs provide
opportunities for enrollment in SES
throughout the school year. For
example, one commenter asserted that
meeting this criterion would effectively
prevent an LEA from ever using unspent
funds from its 20 percent obligation for
other instructional purposes because
funds would have to be reserved
through the end of the school year.
Another commenter claimed that
offering year-round services would be a
resource and staffing burden for LEAs.
An SES provider expressed similar
concerns, stating that continuous or
open enrollment throughout the school
year would be administratively
burdensome because it is difficult to
schedule services on short notice and
because services may begin too late in
the year for students to finish an SES
program. This commenter
recommended that LEAs instead be
required to offer three enrollment
windows during which parents and
students could sign up to receive SES.
Another commenter recommended that
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States be permitted to set their own
dates for releasing unused funds from
an LEA’s 20 percent obligation.
Discussion: The Secretary recognizes
that the proposed full-year SES
enrollment criterion, although desirable
as a way of maximizing opportunities
for parents to obtain SES for their
eligible children, could be difficult for
LEAs to implement and could hamper
the provision of effective SES programs.
In addition, as the commenters noted, to
meet this criterion an LEA would have
to reserve funding for SES until very
late in the school year, making it
difficult to spend unused funds for
other purposes. Setting a requirement
that could severely restrict an LEA’s use
of unspent funds from its 20 percent
obligation could have the unintended
effect of serving as a disincentive to
undertake good-faith efforts to promote
public school choice and SES. On the
other hand, simply setting a fixed date
in the school year for release and use of
unspent choice-related transportation
and SES funds could encourage halfhearted enrollment practices by LEAs
seeking to maximize the amount of
funds that could be used for other
allowable Title I activities.
To address these concerns, while
continuing to pursue the goal of
expanding SES enrollment
opportunities for eligible students and
their parents, the final regulations
require LEAs to provide a minimum of
two enrollment windows at separate
points in the school year. In addition,
we have added language requiring that
these enrollment windows be of
sufficient length to enable parents to
make informed decisions about
requesting SES and selecting a provider.
We note that to help ensure that parents
have a genuine opportunity to sign up
for SES, enrollment windows should be
at times and places that are convenient
for the parents of eligible students,
including working parents and single
parents. One approach, for example,
would be to link enrollment windows to
the end of grading periods and the
associated parent-teacher conferences
that typically create a natural
opportunity to encourage and promote
SES enrollment. Multiple enrollment
windows will also help ensure that
students who enroll after the beginning
of the school year have an opportunity
to sign up for SES.
Changes: We have revised the
criterion in new § 200.48(d)(2)(i)(B)(3)
(proposed § 200.48(d)(1)(ii)(C)) to
require an LEA to provide a minimum
of two enrollment windows, at separate
points in the school year, that are of
sufficient length to enable parents of
eligible students to make informed
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decisions about requesting SES and
selecting a provider.
Comment: Two commenters suggested
that the Department modify proposed
§ 200.48(d)(1)(ii)(C) to require an LEA to
allow eligible students to sign up to
receive SES not only throughout the
school year but also through summer
learning programs before being
permitted to use unspent funds from its
20 percent obligation for other allowable
activities.
Discussion: The Department
encourages LEAs to begin SES at the
beginning of the school year because, as
stated in section 1116(e)(12)(C) of the
ESEA, the primary purpose of SES is to
increase the academic achievement of
eligible children on the State’s academic
assessments. The Department’s
guidance permits summer SES
programs, but in most cases it will be
preferable to provide services that take
place over the course of the school year.
In addition, the Department recognizes
that waiting until late in the school year,
or even until the summer, before
beginning the process of spending
unused choice-related transportation
and SES funds could result in less
effective use of those funds. For these
reasons, the Department believes that
the decision to offer SES late in the
school year or in the summer is best left
to the discretion of individual LEAs.
Changes: None.
Comment: One commenter
recommended that the Department
require an LEA to maintain a student
waiting list for SES in order to ensure
that the LEA meets all demand for SES
before using unspent funds from its 20
percent obligation for other allowable
activities.
Discussion: Maintaining a waiting list
for SES essentially requires continuous
or open enrollment in SES throughout
the school year (and perhaps into the
summer months). As we have discussed
in our responses to other comments, we
no longer believe we should require an
LEA to provide continuous or open
enrollment throughout the school year.
Changes: None.
New § 200.48(d)(2)(i)(C) (Proposed
§ 200.48(d)(l)(iii)) SES Provider Access
to School Facilities
Comment: Several commenters
expressed concern that proposed
§ 200.48(d)(1)(iii), which requires LEAs
to offer SES providers fair access to
school facilities on the same basis and
terms as are available to other groups,
may conflict with State and local
prerogatives and authority governing
access to public facilities. Another
commenter recommended that LEAs be
permitted to differentiate among for-
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profit and non-profit groups and
organizations, including SES providers,
in granting access to school facilities.
Discussion: The intention of the fair
provider access criterion in new
§ 200.48(d)(2)(i)(C) (proposed
§ 200.48(d)(1)(iii)) is not to override
State and local policies with respect to
determining the terms of access to
school facilities, but to ensure that all
SES providers are treated fairly under
those policies. The Secretary recognizes
that many municipalities and LEAs may
have access policies that differentiate
among public and private and nonprofit and for-profit organizations
seeking to use school facilities.
However, the Department believes that
those policies must take into account
both the educational purpose of SES
and the requirement to implement SES
fairly as part of an LEA’s overall Title
I program. In this context, the
Department believes it is reasonable to
require that State and local
municipalities ensure that their policies
do not unfairly exclude SES providers,
regardless of their profit-making status,
from school facilities.
Changes: None.
Comment: One commenter stated that
meeting the criterion in proposed
§ 200.48(d)(1)(ii)(C) to offer the
opportunity to enroll in SES throughout
the school year, and the criterion under
which an LEA would have to provide
SES providers with access to school
facilities in proposed § 200.48(d)(1)(iii)
could create capacity concerns for LEAs.
Another commenter asserted that many
LEAs simply do not have the capacity
to offer access to school facilities for
SES because of the extensive afterschool programs already offered on
school sites.
Discussion: The Secretary recognizes
that LEAs have limited space and times
available for organizations seeking use
of school facilities. In particular, we
recognize that access to school facilities
in any particular LEA may depend on
such factors as the size of those
facilities, the number of organizations
seeking access, and the cost of keeping
facilities open outside of the regular
school day. The final regulations,
however, simply provide that, when
making facilities available, LEAs use a
fair, open, and objective process that
offers access to SES providers on the
same basis and terms that are available
to other groups seeking access to school
facilities. In addition, the final
regulations in new § 200.48(d)(2)(i)(B)(3)
reduce facilities planning burdens on
LEAs by modifying the proposed SES
‘‘full-year enrollment’’ criterion to
require, instead, a minimum of two
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enrollment ‘‘windows’’ at separate
points in the school year.
Changes: None.
Comment: One commenter expressed
concern that the fair provider access
criterion in proposed § 200.48(d)(1)(iii)
could lead some LEAs to implement or
raise fees charged to other (non-SES
provider) organizations for access to
school facilities.
Discussion: We understand that many
LEAs currently make school facilities
available to community groups and
other organizations at little or no cost,
and that increased demand for facility
space from SES providers and
regulatory pressure to equalize access
may lead some LEAs to adopt more
restrictive space-use policies, including
the possible imposition of new or higher
fees for using school space. The
Secretary believes that such changes
would be detrimental both to SES and
to non-SES-related organizations.
However, the Secretary believes that in
most cases LEAs will endeavor to make
fair arrangements for all entities seeking
access to school facilities and that any
additional cost or other limitations on
such access for non-SES-related
organizations must be balanced against
the benefits potentially gained through
greater student access to SES at school
sites.
Changes: None.
Comment: Two commenters
expressed concern that the proposed
criterion that an LEA provide fair and
open access to school facilities for SES
providers could force LEAs to grant
access to organizations that present a
danger to students or other school
personnel and that LEAs should not
have to provide space for ‘‘unproven
services.’’
Discussion: The criterion in new
§ 200.48(d)(2)(i)(C) (proposed
§ 200.48(d)(1)(iii)) would not require an
LEA to grant access to school facilities
to any organization that presents a
danger to students, teachers, or other
school personnel. It merely provides
that an LEA choosing to take advantage
of the flexibility offered in the
regulations implement a policy, if it
does not already have one, that provides
fair and open access to school facilities
by SES providers on the same basis and
terms as are available to other groups.
Moreover, the assertion that SES
providers, in general, represent a threat
to school safety has no basis in either
fact or experience. SES providers are
approved by the SEAs of the States in
which they operate and typically are
required as part of that approval process
to conduct criminal background checks
on their employees. Providers operate
openly in the communities they serve,
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often recruit by word of mouth, hire
public school teachers as tutors, and
even serve students in their own homes
in many locations. SEAs monitor SES
providers, typically with assistance
from LEAs, and the Department is not
aware of any significant safety issues
arising with the SES program since it
began nearly six years ago.
With respect to the claim that SES
services are ‘‘unproven,’’ under
§ 200.47(b), an SEA may only grant
approval to providers with a
‘‘demonstrated record of effectiveness,’’
and final regulations in § 200.47 would
strengthen the process for approving
and renewing and withdrawing
approval of SES providers.
Changes: None.
Section 200.56(d) Definition of
‘‘Highly Qualified Teacher’’
Comment: Two commenters
expressed concern about proposed
§ 200.56(d), which would include a
cross-reference to the definition of
‘‘highly qualified special education
teacher’’ in 34 CFR 300.18(d) of the
IDEA regulations. The commenters
stated that the Department should not
incorporate by reference a regulation
from one law (IDEA) into a regulation
for another law (ESEA) that contains no
reference to special education teachers.
The commenters stated that, as a matter
of law, the requirements for highly
qualified special education teachers
may be applied and enforced only under
the IDEA, not under the ESEA. Other
commenters supported including the
cross-reference in § 200.56. One
commenter, however, said that it did
not make sense to add more regulations
for special education teachers seven
years after NCLB was enacted. Other
commenters stated that the proposed
regulation would weaken the
requirements for highly qualified
teachers and should not be adopted.
Discussion: Section 1119(a) of the
ESEA requires that all teachers, which
includes special education teachers,
teaching core academic subjects be
‘‘highly qualified’’ by the 2005–2006
school year. In 2004, Congress amended
the IDEA and established, in section
602(10), requirements governing the
qualifications of special education
teachers that differ from those in the
ESEA. The ‘‘highly qualified special
education teacher’’ definition in section
602(10) of the IDEA requires all special
education teachers, including those who
teach core academic subjects, to meet a
State’s special education certification or
licensure requirements. In addition, if
special education teachers are teaching
core academic subjects, they must
demonstrate subject-matter competency.
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Under the IDEA, the ways in which
some special education teachers can
demonstrate subject-matter competency
also differ from the regulations under
the ESEA. For example, with respect to
new special education teachers who are
teaching multiple core academic
subjects and who are highly qualified in
mathematics, language arts, or science,
section 602(10)(D) of the IDEA allows
those teachers up to two years from the
date of employment to demonstrate
competence in the other core academic
subjects that they teach. Section
602(10)(F) of the IDEA also provides
that a teacher who is highly qualified
under the IDEA will be considered
highly qualified for purposes of the
ESEA.
Our intent in the NPRM was to
reference the definition of ‘‘highly
qualified special education teacher’’ in
34 CFR 300.18 of the IDEA regulations
so as to clarify, consistent with section
602(10)(F) of the IDEA, that the
flexibility in meeting the highly
qualified requirements afforded some
special education teachers under the
IDEA applies to determinations of
whether they are highly qualified under
the ESEA. The language in the preamble
to the NPRM, however, might have
implied that special education teachers
who do not teach core academic
subjects would be covered by the ESEA
regulations. Such an implication would
be inaccurate because the term ‘‘highly
qualified’’ in the ESEA is only used
with regard to teachers who are teaching
core academic subjects. The preamble to
the NPRM might also have implied that
special education teachers would have
to meet the highly qualified
requirements in the IDEA in order to be
highly qualified under the ESEA, even
if they met the requirements in § 200.56.
We did not intend to change the
requirements for highly qualified
teachers under the IDEA or the ESEA or
imply that the requirements for all
highly qualified special education
teachers would be enforced under the
ESEA. We merely wanted to clarify that,
if a special education teacher is highly
qualified under 34 CFR 300.18, that
teacher is considered highly qualified
under § 200.56, recognizing that the
term ‘‘highly qualified’’ in the ESEA is
used only with regard to teachers who
are teaching core academic subjects.
Therefore, we are revising § 200.56(d) to
make clear that a special education
teacher is a highly qualified teacher for
purposes of the ESEA if the teacher is
a ‘‘highly qualified special education
teacher’’ under 34 CFR 300.18. Special
education teachers who meet the
requirements in § 200.56(a) and (b) or (c)
are also highly qualified under the
ESEA even if they do not meet the
requirements under the IDEA.
Changes: We have revised § 200.56(d)
and the introductory language in
§ 200.56 to make clear that a special
education teacher is highly qualified
under § 200.56 if the teacher is a ‘‘highly
qualified special education teacher’’
under 34 CFR 300.18.
Implementation Timeline
Comment: Some commenters stated
that the effective date of the proposed
regulations could inhibit meaningful
implementation because the regulations
take effect in the middle of school year
2008–2009.
Discussion: The NPRM was not clear
on when States and LEAs would need
to begin implementing the various
sections of the regulations. Therefore,
we are including a table (Table 1) that
provides a detailed timeline for
implementing the final regulatory
requirements. The timeline includes
provisions for which States or LEAs
must take action and does not include
voluntary provisions (e.g., § 200.20
incorporating growth in calculating
AYP) or provisions that do not require
actions by States and LEAs (e.g.,
§ 200.22 National TAC).
We are also including another table
(Table 2) that provides a detailed
timeline for implementing the
graduation rate requirements.
TABLE 1—IMPLEMENTATION TIMELINE
Regulatory requirement
Implementation date
§ 200.7—Review of minimum group size, confidence intervals, etc.
Each State must submit revisions to its Accountability Workbook.
§ 200.11—Reporting NAEP data on report cards ....................................
In time for changes to be effective for AYP determinations based on
2009–2010 assessment results.
Report cards issued in 2009–2010 for 2008–2009 school year data
(with NAEP data from the most recent year available).
§ 200.19—Other Academic Indicators
Implementing transitional graduation rate .........................................
Establishing a goal and targets/continuous and substantial improvement for AYP.
Reporting of four-year adjusted cohort graduation rate ....................
AYP determinations based on 2008–2009 assessment results.
AYP determinations based on 2009–2010 assessment results.
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Reporting of extended-year adjusted cohort graduation rate ...........
Implementing four-year adjusted cohort graduation rate for AYP
purposes, in the aggregate and disaggregated.
Accountability Workbook revisions ....................................................
Request for extension of the deadline for reporting four-year adjusted cohort graduation rate.
§ 200.37—Notice of identification
14-day notice for choice ....................................................................
New provisions for SES notice .........................................................
§ 200.39—Responsibilities regarding improvement (publication of data
on LEA Web site).
§ 200.47—SEA responsibility re: SES
SEA posting of data on Web site for LEAs ......................................
Develop, implement, and publish standards for monitoring LEAs ....
Approving providers using new criteria .............................................
Monitoring providers using new criteria ............................................
§ 200.48(d) 20 percent obligation .............................................................
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Report cards providing assessment results for the 2010–2011 school
year.
The first year for which a State separately calculates such a rate.
AYP determinations based on 2011–2012 assessment results.
In time for changes to be effective for AYP determinations based on
2009–2010 assessment results.
March 2, 2009.
Before start of 2009–2010 school year.
Beginning with 2009–2010 notice.
In a timely manner to ensure that parents have current information on
their public school choice and SES options.
Before the start of the 2009–2010 school year.
Before the start of the 2009–2010 school year.
Beginning with next approval cycle.
Beginning with next monitoring cycle of SES.
Beginning with funds expended during 2009–2010 school year.
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64499
TABLE 2—IMPLEMENTATION TIMELINE FOR GRADUATION RATES
School year and regulatory requirements
2008–2009
2009–2010
2010–2011
2011–2012
AYP based on 2008–2009
assessment results
AYP based on 2009–2010
assessment results
AYP based on 2010–2011
assessment results
AYP based on 2011–2012
assessment results
AYP ............................
States must calculate high school graduation rate for AYP determinations in the aggregate using an approved transitional rate or the four-year adjusted cohort graduation rate
and any extended-year adjusted cohort graduation rate
States must calculate high
school graduation rate for
AYP, in the aggregate
and disaggregated by
subgroup, using the fouryear rate and any extended-year rate.
Reporting ....................
States must report disaggregated graduation rate data
using an approved transitional rate or the four-year rate
(any extended-year rate must be reported separately)
Goal and Targets .......
States may use current
goals and targets.
To read this chart: For example, for
the 2008–2009 school year, a State must
(a) calculate high school graduation rate
for AYP determinations using an
approved transitional rate or the fouryear adjusted cohort graduation rate
(that meets the requirements in the
regulation); (b) report its graduation rate
disaggregated by subgroup; and (c) may
use its current goal and targets.
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Executive Order 12866
Under Executive Order 12866, the
Secretary must determine whether this
regulatory action is ‘‘significant’’ and
therefore subject to the requirements of
the Executive Order and subject to
review by OMB. Section 3(f) of
Executive Order 12866 defines a
‘‘significant regulatory action’’ as an
action likely to result in a rule that may
(1) have an annual effect on the
economy of $100 million or more, or
adversely affect a sector of the economy,
productivity, competition, jobs, the
environment, public health or safety, or
State, local or tribal governments, or
communities in a material way (also
referred to as an ‘‘economically
significant’’ rule); (2) create serious
inconsistency or otherwise interfere
with an action taken or planned by
another agency; (3) materially alter the
budgetary impacts of entitlement grants,
user fees, or loan programs or the rights
and obligations of recipients thereof; or
(4) raise novel legal or policy issues
arising out of legal mandates, the
President’s priorities, or the principles
set forth in the Executive order. The
Secretary has determined that this
regulatory action is significant under
section 3(f)(4) of the Executive order.
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Beginning with report cards providing assessment results
for the 2010–2011 school year, States must report
disaggregated graduation rate data using the four-year
rate (any extended-year rate must be reported separately).
States must have a single goal and targets that meet the criteria in the regulations.
States may need to change their goal and targets when they begin using the four-year
rate for AYP.
Summary of Costs and Benefits
The Department believes many of the
regulatory changes included in these
final regulations will not impose
significant costs on States, LEAs, or
other entities that participate in
programs funded under Part A of Title
I. Other changes will impose costs, but
the Department believes that the
benefits resulting from the regulations
will greatly exceed those costs.
Although many commenters claimed
that the proposed regulations would
increase State or local burden (and one
commenter stated specifically that the
cost-benefit analysis included in the
NPRM underestimated the costs of
implementing the proposed
regulations), commenters did not
provide alternative estimates of the
costs of implementing the various
proposals. Therefore, this final costbenefit analysis generally continues the
Department’s original estimates, making
revisions only to reflect changes in the
regulations or in other places where the
Department determined that revisions
were needed.
The major benefit of these regulations,
taken in their totality, is a Title I, Part
A program in which clearer
accountability and implementation
requirements (particularly in the areas
of high school graduation rate, public
school choice, and SES) will be coupled
with greater flexibility in
implementation (particularly in the use
of measures of individual student
academic growth in calculating AYP).
These regulations will, thus, add to the
contributions that NCLB has made to
the creation of a system in which
schools, LEAs, and States expect to
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educate all children to high standards
and are held accountable for doing so.
The regulations will support the
attainment of increases in student
achievement that build on the
improvements that the Nation has seen
in the last several years. The benefits to
the United States of having a more
educated citizenry have been plentiful
and will continue to be so as the reforms
implemented as a result of NCLB (and
as supported through these regulations)
continue to take hold.
The Department’s analysis of the costs
and benefits of implementing specific
provisions of the regulations follows.
The costs to implement specific
provisions of the regulations are
included in the tables at the end of the
Paperwork Reduction Act of 1995
section of this notice.
Accountability Workbook (Minimum
Group Size and Graduation Rate)
The regulations in § 200.7 clarify that
State definitions of AYP must include a
minimum group size that is based on
sound statistical methodology, that
yields statistically reliable information
for each purpose for which
disaggregated data are used, and that
ensures that, to the maximum extent
practicable, all student groups are
included, particularly at the school
level, in accountability determinations.
The Department has previously
reviewed each State’s minimum group
size and believes that some States
already meet the requirements of
§ 200.7. Some States, however, may
need to revise their minimum group size
and other components of the State’s
AYP definition based on the final
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regulations and on feedback from the
new peer review.
All States are required to revise their
Accountability Workbook and explain
how their minimum group size meets
the requirements in § 200.7 and to
provide certain other information on
their minimum group size and AYP
definition (information on how other
components of the State’s AYP
definition, in addition to its minimum
group size, interact to affect statistical
reliability and ensure the maximum
inclusion of all students and student
subgroups in AYP determinations as
well as information on the exclusion of
students and subgroups from those
determinations). States are required to
submit to the Department, for technical
assistance and peer review, a revised
Accountability Workbook that reflects
these new requirements in time for AYP
determinations based on 2009–2010
assessment results.
Under the regulations in
§ 200.19(b)(6), States will also need to
revise their Accountability Workbook in
order to include: (a) The State’s current
graduation rate definition, (b) the State’s
progress toward meeting the deadline
for calculating and reporting the fouryear adjusted cohort graduation rate, (c)
the State’s graduation rate goal and
targets, (d) an explanation of how the
State’s graduation rate goal represents
the rate the State expects all high
schools in the State to meet and of how
the State’s targets demonstrate
continuous and substantial
improvement toward meeting or
exceeding the goal, and (e) the
graduation rate for the most recent
school year of the high school at the
10th percentile, the 50th percentile, and
the 90th percentile in the State (ranked
in terms of graduation rate). If a State
decides to use an extended-year
adjusted cohort graduation rate as part
of its AYP definition, the State must
also describe, in its Accountability
Workbook, how it will use that rate with
its four-year adjusted cohort graduation
rate to determine whether its schools
and LEAs have made AYP. These
requirements are somewhat different
from what the Department proposed in
the NPRM.
We have revised our earlier estimates
(included in the NPRM) of the cost to
States of submitting a revised
Accountability Workbook in order to
include the time necessary to prepare
and submit the information related to
graduation rates. The Department
estimates that each State would, on
average, require 276 hours of staff time
to complete this effort, including 80
hours for development and analysis of
a proposed minimum group size policy
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(within an overall definition of AYP),
132 hours for the development of new
graduation rate definitions and policies,
and an additional 64 hours for actual
preparation of the Accountability
Workbook. We further estimate that
SEAs’ cost for that activity will be $30
an hour. For the 50 States, the District
of Columbia, and Puerto Rico, the
estimated cost of revising and
submitting their Accountability
Workbook would thus be $430,560.
These estimates incorporate an
assumption that some States will need
to do additional work on their
Accountability Workbook as a result of
feedback from the peer review.
In response to the NPRM, one
commenter stated that our cost
estimates severely underestimated the
time and resources States would expend
to revise their Accountability
Workbook. However, the commenter did
not provide alternative estimates for the
Department to consider. Moreover, this
cost-benefit analysis includes a
‘‘sensitivity analysis’’ (discussed later in
this section) that subjects the cost
calculations to alternative (and higher)
assumptions about the amount of time
that will be required for compliance.
The Department believes that the
benefits of the change in minimum
group size policy, in terms of greater
accountability that would result from a
State’s use of a minimum group size that
meets the regulatory criteria, would
greatly outweigh the minimal costs of
compliance.
Participation in NAEP
In the NPRM, the Department
projected that States and LEAs would be
able to implement at minimal cost the
requirement to include NAEP data on
State and LEA report cards. The
Department made this projection
because State NAEP results are available
on the NCES Web site and through other
sources, and obtaining those data
should not pose a significant burden.
Neither should including the data on
report cards, as the NAEP results would
be a minor addition to the data already
so included.
Several individuals who commented
on the NPRM stated that it would be
burdensome for SEAs and LEAs to
ensure the accurate and appropriate use
of NAEP results and some said, more
specifically, that the incorporation of
NAEP results on State report cards
would require significant staff time and
resources because States must seek
input from stakeholders, obtain State
Board of Education approval, and pay
the costs for reproduction. Other
commenters stressed that LEAs would
need to clarify, on their report cards,
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that only limited comparisons can be
made between NAEP and State
assessments because of the differences
between the two assessments.
In consideration of these comments,
the Department reiterates that NAEP
data are readily available and that it
should not be a significant burden for
States and LEAs to obtain and include
those data on their report cards.
However, the Department also
acknowledges that there will be some
cost, particularly in the first year, of
making the transition to including
NAEP data on State and local report
cards. The Department’s final estimate
is that, in the first year, each SEA will
require 24 hours to incorporate NAEP
data on State report cards and,
thereafter, each SEA will require the 5
hours annually that the Department
estimated in the Paperwork Reduction
Act analysis included in the NPRM. At
$30 per hour, the estimated cost of
implementation for 52 States is, thus,
$37,440 in the first year and $7,800 in
each succeeding year.
Similarly, at the local level, the
Department also estimates 24 hours of
burden in the first year and 5 hours
thereafter. For approximately 14,000
LEAs, at $25 per hour, the total cost will
be $8,400,000 in year one and
$1,750,000 annually thereafter.
These estimates take into
consideration the changes made in the
final regulations, which provide greater
specificity on the NAEP data that must
be reported and no longer require LEAs
to publish disaggregated NAEP results.
The Department does not believe that
those changes will add measurably to
the cost of compliance.
We note that the NAEP reading and
mathematics assessments are
administered only once every two years.
In the second year of a cycle, the costs
to SEAs and LEAs of including NAEP
data on their report cards should be
particularly low. Further, the
Department assumes that, in many
States, the SEA will prepare summaries
of the NAEP data (largely from the
‘‘snapshots’’ provided by NCES and
accessible on the NCES Web site) and
provide them to LEAs, which in turn
will be able to include those summaries
on their report cards with little
investment of time or effort. The
Department, thus, does not believe that
the cost of including NAEP data on the
report cards will be any greater than
what is estimated above.
The Department believes that these
minimal costs of implementing the
requirements to include NAEP data on
report cards will be greatly outweighed
by the benefits of providing the public
with important additional information
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on student achievement with which to
compare State assessment results.
High School Graduation Rate
The final regulations restructure the
regulations in § 200.19 on ‘‘Other
Academic Indicators’’ and, in particular,
require States to adopt a ‘‘four-year
adjusted cohort graduation rate’’ and, at
a State’s option, an ‘‘extended-year
adjusted cohort graduation rate,’’ for the
purpose of reporting no later than
school year 2010–2011 and for the
purpose of making AYP determinations
no later than school year 2011–2012.
Prior to those deadlines, States will use
either the four-year adjusted cohort
graduation rate or a transitional
graduation rate, which for most States
will be the rate they currently use, for
those two purposes. (Unlike the NPRM,
the final regulations do not require
States to implement an ‘‘Averaged
Freshman Graduation Rate’’ during the
interim period.) The regulations also
require the use of disaggregated
graduation rate data for AYP
determinations beginning with the
determinations based on school year
2011–2012 assessment results (with the
exception that ‘‘safe-harbor’’
determinations, which are already
required to include disaggregated data,
would continue to include them). In
addition, the final regulations require a
State to include in its AYP definition (a)
a single graduation rate goal that the
State expects all high schools in the
State to meet, and (b) annual graduation
rate targets that reflect continuous and
substantial improvement from the prior
year toward meeting or exceeding the
goal. To make AYP beginning with
determinations based on 2009–2010
assessment results, any school or LEA
that serves grade 12, and the State, must
meet or exceed the graduation rate goal
or annual target.
In order to meet the deadlines for
implementation of the four-year
adjusted cohort graduation rate, States
will need to have in place a data system
that can track students who emigrate to
another country, transfer to another
school, or die. States also will need to
collect four years of student data
through those systems in order to
implement the new rate by the deadline
established in the final regulations.
In 2005, all 50 States agreed to the
NGA’s Graduation Counts: A Compact
on State High School Graduation Data,
which calls for each State to develop a
longitudinal graduation rate. A recent
publication by the NGA 20 reports that
20 National
Governors Association. (2008).
Implementing Graduation Counts: State Progress to
Date, 2008. Washington, DC: Author.
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36 States already have the information
systems needed to collect student
longitudinal data and are tracking
cohorts of students as they progress
through school. Within four years,
according to this report, 49 States
should have the high school cohort data
needed to implement an adjusted cohort
graduation rate, although States will
still need to provide guidance to local
officials who collect and report the data
and to take other actions to ensure data
quality and accuracy. This activity
reflects policies the States have adopted,
and actions they have taken, in the
absence of Federal regulations. Based on
this information, we believe that the
regulations on development and
implementation of a four-year adjusted
cohort graduation rate will not impose
significant costs on the great majority of
States that they were not likely to
assume in the absence of the
regulations. That is, in light of the
progress by almost all States in
developing the systems needed to
calculate a four-year adjusted cohort
graduation rate, it would not be
appropriate to attribute to the
regulations the costs that States are
assuming in this area.21 Moreover, the
Federal government supports States’
development of longitudinal student
data systems through the Department’s
Statewide Longitudinal Data Systems
program. For the fiscal years 2005
(when the program began) through 2008,
the Congress appropriated more than
$122 million for this program and,
through fiscal year 2007, 27 States have
received these grants.
At the local level, the major cost of
implementing the new regulations on
graduation rate will be in determining
whether students who have left the
schools of an LEA have transferred to
another LEA or school or have dropped
out. We estimate that each LEA will
require 50 hours annually to meet this
responsibility. For approximately
14,000 LEAs nationally, at $25 per hour,
the cost of implementation will be
approximately $17.5 million.
21 More specifically, we estimate that 36 States
will require an average of 240 hours to complete the
development or refinements of their data systems
for the purpose of computing the four-year adjusted
cohort graduation rate consistent with the
regulations, for a total of 8,640 hours nationally.
Based on information from the NGA reports, we
believe the additional 16 States will not need to
assume those costs because they have already
completed that work. Further, we assume that the
52 States will require an average of 120 hours to
compute the extended-year adjusted cohort
graduation rate, should all decide to adopt such a
rate, for a total of 6,240 hours. At $30 per hour, the
total cost of implementing these requirements
would be $446,400, or approximately $8,585 per
State.
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We believe the benefits of the changes
regarding graduation rate definitions
and the use of disaggregated graduation
rate data in AYP calculations will be
significant. A uniform and accurate
method of calculating graduation rate is
needed to raise expectations and to hold
schools, LEAs, and States accountable
for increasing the number of students
who graduate on time with a regular
high school diploma, as well as to
provide parents and the public with
more accurate information. By requiring
all States to use a more rigorous and
accurate graduation rate calculation, the
Department can ensure greater
accountability and transparency on this
important indicator. In addition, we
need to have a uniform and accurate
method of calculating high school
graduation rate to improve our
understanding of the scope and
characteristics of those students
dropping out of school or taking longer
to graduate. Finally, the use of
disaggregated graduation rate data in
AYP calculations will help ensure that
schools and LEAs do not allow overall
success in graduating students in four
years (or less) to mask low graduation
rates for individual student groups.
Growth Models
The final regulations allow States to
use measures of individual student
academic growth in school and LEA
AYP determinations and, thus, provide
States with greater flexibility without
burdening them with significant
additional costs. To receive permission
to incorporate individual student
academic growth into its AYP
definition, a State will have to have
implemented a longitudinal data system
that tracks student progress from grade
to grade. However, as discussed earlier
under the heading High School
Graduation Rate, almost all States are
developing student longitudinal data
systems in the absence of Federal
regulations; this is the case because the
benefits of having a longitudinal student
data system are much greater than just
having the ability to support the use of
individual student academic growth in
calculating AYP. States have found such
systems to be valuable in numerous
ways,22 including in tracking the
educational progress of students as they
progress through grades and across
schools and school systems; more
accurately determining whether
students graduate from high school;
calculating accurate student dropout
22 Ewell, P., & Boeke, M. (2007). Tracking student
progression: The State of the States; Retrieved
October 10, 2008 from https://www.nchems.org/
c2sp/sur/SURSurveyReport.pdf.
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rates; holding schools and LEAs
accountable for results; targeting
assistance to those schools and LEAs
most in need; determining whether the
content their secondary schools offer is
well aligned with college-preparedness
requirements; identifying strengths and
weaknesses in teacher preparedness;
and measuring the educational
performance of the State as a whole.
Therefore, the Department believes it
would be inappropriate to assign the
costs States incur in designing and
implementing longitudinal data systems
as a cost of complying with this section
of the final regulations.
In order to implement an AYP
definition that includes measures of
student academic growth, an SEA will
need to submit a request to the
Department that describes that
definition and meets certain other
requirements. We estimate that a State
would need 240 hours to prepare such
a request. If all 52 States prepare such
requests, the total cost would be
$374,720 (again assuming $30 per hour).
Public School Choice and Supplemental
Educational Services
The final regulations make a number
of changes to the current regulations on
public school choice and supplemental
educational services.
First, in § 200.37, the regulations
require LEAs to notify parents of eligible
students of the option to transfer their
child to another school, sufficiently in
advance of, but no later than 14
calendar days before, the start of the
school year in order to give those
parents adequate time to exercise their
public school choice option. As stated
in the NPRM, the Department believes
that this regulation would not increase
LEA costs because it would affect
merely the timing of the parental
notification. Two commenters on the
NPRM disagreed, stating that this
change in the regulations would result
in increased local administrative costs.
However, the commenters did not offer
any facts or estimates to support that
comment, so we decline to amend our
analysis.
Under § 200.37, the regulations also
require that an LEA’s notice to parents
of students eligible for SES: (a) Explain
the benefits of SES, (b) be clear and
concise, and (c) be clearly
distinguishable from the other school
improvement information sent to
parents under § 200.37. The final
regulation, unlike the NPRM, also
requires that this notice include an
indication of those providers that are
able to serve students with disabilities
or LEP students. The Department does
not believe this change will add
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significantly to LEAs’ compliance
burden because information on
providers that are able to serve students
with disabilities and LEP students will
be available from the SEAs; LEAs will
not need to collect that information
themselves.
We note that LEAs may assign costs
related to meeting this requirement to
the amount equal to 0.2 percent of their
Title I, Part A allocation that the
regulations permit LEAs to use for
outreach and assistance to parents on
public school choice and SES.
Data from the ESEA Consolidated
State Performance Report indicate that
approximately 2,000 LEAs nationally
have at least one Title I school in year
two of school improvement (or in a later
stage of the Title I accountability
timeline). These are the schools with
students eligible for SES that would
technically be covered by this new
requirement. However, some of these
LEAs are not able to offer SES and, thus,
are not affected by the proposed notice
requirement. For example, rural and
other small or isolated LEAs often do
not have any approved SES providers
serving their area. For this reason, our
analysis assumes that 80 percent of the
estimated 2,000 LEAs with at least one
Title I school in year two of
improvement or later, or 1,600 LEAs,
will be subject to the notice requirement
annually. We estimate that these 1,600
LEAs will each require an average of 12
hours of staff time to prepare the notice
to parents and that the cost for this time
will average $25 per hour. Under this
assumption, the cost for the preparation
of this notice will be $480,000 annually.
Further, in the 2006–2007 school
year, in the States for which the
Department has data, approximately 3.7
million students were eligible for SES.23
Assuming that approximately 3.7
million students continue to be eligible
each year, we project that: (1) The
parents of one half of these students
would receive the SES information by
mail, in a separate mailing, and (2) the
remaining parents would receive that
information through notices that
students bring home from school, in a
mailing that includes other information
already required to be provided to
parents (in § 200.37), or by other means
that impose very small costs on LEAs.
For the parents who would receive the
separate notices by mail, the cost of
providing the notice (assuming
continuation of current postage rates)
would be $756,000, bringing the total
cost for the implementation of the
23 U.S. Department of Education. (2007).
Consolidated State Performance Report, 2006–07.
Unpublished raw data.
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proposed SES notice requirement to
$1,236,000.
These estimates are the same as those
the Department included in the NPRM
(with the exception of an adjustment to
reflect a subsequent change in the firstclass postage rate). Although one
commenter stated that implementation
of these requirements in the regulations
would be burdensome, no commenters
challenged these cost estimates.
The regulations in § 200.39 require
LEAs to post on their Web sites
information on their implementation of
the public school choice and SES
requirements, including information on
the number of students who were
eligible for and who participated in the
public school choice and SES options,
information on approved SES providers
operating in the LEA and on the
locations where services are provided,
and a list of schools available to
students who wish to take advantage of
the public school choice option. If an
LEA does not have its own Web site, the
SEA is required to include on its Web
site the information otherwise required
of LEAs.
Based on data from the ESEA
Consolidated State Performance Report,
approximately 3,000 LEAs have a Title
I school in year one of improvement or
later and, thus, are technically required
to offer either public school choice, or
both public school choice and SES, to
their eligible students. However, as with
the SES notice requirement, some of
those LEAs would not be affected
because they are unable to offer public
school choice and SES due to a lack of
choice options (for instance, rural and
other small LEAs frequently have only
one school at a particular grade span) or
the absence of an approved SES
provider serving their area. We estimate
that 80 percent of the 3,000 LEAs with
a Title I school in year one of
improvement or later, or 2,400 LEAs,
would need to post the new information
on their Web site. We further estimate
that these LEAs would require an
average of 25 hours of staff time to
prepare the data for the Web site, at a
cost of $25 per hour, for an estimated
national cost of $1,500,000 to meet the
new requirement to post public school
choice and SES information on LEA
Web sites. Therefore, the total estimated
cost for implementation of the new SES
and Web site notice requirements is
$2,736,000. These estimates are
unchanged from those the Department
included in the NPRM (again, with the
exception of a minor adjustment
because of a change in the postage rate).
Although some commenters opposed
the proposed requirements as
burdensome, none challenged the
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Department’s cost estimates. In
addition, the Department does not
believe that the changes made since the
NPRM (exempting LEAs that do not
have a Web site from the requirement to
post the information on public school
choice and SES, but requiring that their
SEA post that information) will make a
significant difference in the cost of
compliance.
We have also estimated the cost to
SEAs of posting the public school
choice and SES information for LEAs
that do not have their own Web sites.
The Department projects that 47 States
will need to post this information and
that this effort will require five hours
annually. At $30 per hour, the estimated
total national cost is $7,050.
The benefits of these provisions are
that parents and others will have more
and better information about public
school choice and SES and, thus,
parents might be more likely to take
advantage of those options (with
attendant benefits for their children)
and that LEA implementation of the
public school choice and SES
requirements will be more transparent.
We also note that LEAs may assign costs
related to meeting this requirement to
the amount equal to 0.2 percent of their
Title I, Part A allocations under
§ 200.48(a)(2)(iii)(C).
The final regulations in § 200.47
require SEAs to post information on
their Web sites on the amount that each
LEA must spend for public school
choice and SES (that is, an amount
equal to 20 percent of the LEA’s Title I
allocation) and, for each LEA, the perchild amount for SES. SEA Web sites
must also indicate which SES providers
are able to serve students with
disabilities or LEP students. The
Department added these provisions to
the final regulations in response to
comments on the NPRM. The
Department believes that the
information called for will be readily
available to most SEAs and, thus,
should be inexpensive to post. (A few
SEAs may have to revise their
application instructions in order to
gather some of this information, but the
cost of making such revisions should be
minimal.) The Department estimates
that it will require four hours annually
for an SEA to post this information. For
52 SEAs at $30 an hour, the total annual
cost will be an estimated $6,240.
The regulations in § 200.47 also
clarify the SEA’s responsibilities for
SES, by stating that those
responsibilities include developing,
implementing, and publicly reporting
on the SEA’s standards and techniques
for monitoring LEAs’ implementation of
SES. States should already have such
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standards and techniques in place
because they are required under 34 CFR
80.40 to monitor LEA activities. The
burden of publicly reporting on them,
such as by posting information about
them on the SEA’s Web site, should be
minimal. Specifically, we estimate that
the total cost of implementation will be
$62,400, based on an assumption that
each of the 52 SEAs will require 40
hours to fulfill these responsibilities, at
a cost of $30 an hour. The benefit of
these regulations will be greater
transparency of how SEAs monitor
LEAs’ implementation of SES.
The regulations in § 200.47 also
clarify that, in order to be approved as
an SES provider, an entity must provide
the State with evidence that the
instruction it would provide and the
content it would use are aligned with
the State’s academic content and
student academic achievement
standards and are of high quality,
research-based, and specifically
designed to increase the academic
achievement of eligible children. In
addition, a State must consider, at a
minimum, (1) whether the entity has
been removed from any State’s
approved provider list; (2) parent
recommendations or results from parent
surveys, if any, regarding the success of
the entity’s instructional program in
increasing student achievement; and (3)
evaluation results, if any, demonstrating
that the instructional program has
improved student achievement. The
Department believes that these
requirements will result in
improvements in States’ SES provider
approval procedures leading to highquality SES and improved student
achievement, and that the cost of
compliance will be very minimal.
The regulations in § 200.47 also
further specify the evidence that States
must consider when monitoring the
quality and effectiveness of the services
offered by an approved provider in
order to inform decisions on renewal or
withdrawal of approval of the provider.
The statute and current regulations
already require States to approve SES
providers with a demonstrated record of
effectiveness, and to develop and apply
objective criteria for monitoring and
withdrawing approval of providers. The
regulations may add minimal costs to
States if they need to revise their
applications or monitoring protocol in
order to comply with the requirements,
or if a revised application or protocol
results in more labor-intensive
application review or monitoring. The
regulations will only add costs to SES
providers if they are not already
providing this information to States in
their applications for approval and
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renewal. The Department believes that
the minimal costs to States and SES
providers will be outweighed by the
benefits of having a clear outline of the
evidence that States must consider both
before providers begin serving students
in the State and as their programs are
monitored and being considered for
renewal or termination.
A number of commenters expressed
concern about the costs of implementing
the changes proposed for § 200.47, but
did not offer specific estimates of the
cost of implementation. For example,
some commenters stated that the cost of
SEA monitoring of SES providers would
diminish direct services to students.
The Department responded, in the
Analysis of Comments and Changes
section of this preamble, that State
monitoring is required under the ESEA
and that the regulations merely clarify
the elements of effective monitoring.
Moreover, SEA monitoring is financed
with Title I funds that SEAs reserve for
State administration, not with funds
that would otherwise be used for
services to students. Other commenters
expressed concern about the new
requirement for SEAs to consider, in
their monitoring and in their review of
SES provider applications, evaluation
results and parent surveys; these
commenters were concerned that the
regulations would require SEAs to
conduct costly surveys and evaluations.
The Department pointed out that the
regulations require consideration of
parent surveys and evaluations only
when they are available. After
consideration of these comments, the
Department’s assessment of the cost of
compliance for the § 200.47 revisions is
largely unchanged.
The regulations on funding for public
school choice and SES in § 200.48 allow
LEAs to count costs for parent outreach
and assistance toward the requirement
to spend the equivalent of 20 percent of
the LEA’s Title I, Part A allocation (the
‘‘20 percent obligation’’) on choicerelated transportation and SES. This
provision permits an LEA to allocate up
to 0.2 percent of its Title I, Part A
allocation (1.0 percent of the 20 percent
obligation) in that manner. Allowing
LEAs to count toward meeting the 20
percent obligation a limited amount of
funds for parent outreach and assistance
will help ensure that LEAs provide
parents the information they need to
make the best decisions for their
children. The new provision will not
impose costs on LEAs, as they would, at
their discretion, support the parental
outreach and assistance activities by
using funds from other activities.
The amendments to § 200.48 also
require an LEA that uses unspent funds
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from its 20 percent obligation for other
allowable activities to meet the
following criteria:
(1) Partner, to the extent practicable,
with outside groups, such as faith-based
organizations, other community-based
organizations, and business groups, in
order to inform eligible students and
their families about their opportunities
for public school choice and SES.
(2) Ensure that eligible students and
their families have a genuine
opportunity to transfer to schools or to
receive SES. The language clarifies that
providing such an opportunity includes
(a) providing timely and accurate notice
to those students and their families, as
required under §§ 200.36 and 200.37; (b)
ensuring that sign-up forms for SES are
distributed directly to all eligible
students and are made widely available
and accessible; and (c) providing a
minimum of two SES enrollment
‘‘windows’’ at separate points in the
school year that are of sufficient length
to enable parents of eligible students to
make informed decisions about
requesting SES and selecting a provider.
(3) Ensure that approved SES
providers are given access to school
facilities through a fair, open, and
objective process.
In response to comments on the
NPRM, the Department revised the
proposed language to require an LEA
that is using funds from its 20 percent
obligation for other purposes: (1) To
maintain records that it has met the
criteria listed above, and (2) to notify
the SEA that it has met those criteria
and of the amount remaining from its 20
percent obligation that it intends to
spend on other allowable activities.
These requirements replace language in
the NPRM that would have required
LEAs to obtain permission from the SEA
before using unspent funds for other
purposes. The final regulations also: (1)
Revise the proposed language on
partnering to provide examples of
outside groups with which an LEA may
partner and to clarify that this activity
must take place only to the extent
practicable; and (2) replace a
requirement that LEAs permit eligible
students to sign up for SES throughout
the school year with a requirement for
two enrollment ‘‘windows’’ at separate
points in the school year. All of these
changes should result in reduced
compliance costs.
The Department believes that most of
the costs that LEAs will incur in
meeting these requirements will be
minimal. The most tangible costs will be
for developing a clearly distinguishable
notification (on eligibility and the
benefits of SES) to parents of eligible
students (which has been accounted for
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in the cost estimate for § 200.37) and in
maintaining records and informing the
SEA that an LEA has met the various
outreach and access criteria in
§ 200.48(d) if it wishes to use unspent
funds from its 20 percent obligation for
other allowable activities. We estimate
these additional LEA documentation
costs related to § 200.48(d) as follows.
As noted earlier, we project that 2,400
LEAs annually will be required to offer
public school choice, or both public
school choice and SES, to their eligible
students. Further, based on data for 378
LEAs reported to the Department’s
EDFacts data system, we estimate that
10 percent of those LEAs (240) will use
the full 20 percent obligation for choicerelated transportation and SES and,
thus, will not be affected by the
regulations.24 Further, based on the
EDFacts data, we estimate that an
additional 15 percent of the LEAs (360)
will not meet the 20 percent obligation
but will choose to spend the remaining
funds for choice-related transportation
and SES in the following year, rather
than meeting the criteria in new
§ 200.48(d)(2)(i), compiling and
maintaining the required records, and
informing the SEA of their actions.25
The remaining 1,800 LEAs, under our
assumptions, will decide to use unspent
funds from their 20 percent obligation
for other allowable activities and, thus,
will need to maintain records
demonstrating that they have met the
criteria in § 200.48(d)(2)(i) and inform
the SEA that they have met those
criteria and of the amount they intend
to spend on other allowable activities.
We estimate that the annual cost of this
effort will be $540,000, based on an
assumption that each LEA will require
12 hours to meet these requirements and
that LEAs’ costs for this effort will be
$25 per hour.
The final regulations also revise the
language in the NPRM on SEA
24 The EDFacts data from 2005–2006 indicate that
8.2 percent of LEAs used the equivalent of at least
20 percent of their Title I allocation to fund SES.
Unfortunately, the data do not include expenditures
for choice-related transportation. We assume that
the inclusion of expenditures for choice-related
transportation would bring the total to
approximately 10 percent.
25 This estimate is based on the assumption that
LEAs that spend close to the 20 percent will find
it more efficient to spend the remaining funds the
following year than to compile and maintain the
records and inform the SEA of their use of those
funds for other purposes. The EDFacts data from
2005–2006 indicate that 11.6 percent of LEAs used
the equivalent of at least 16 percent (but less than
20 percent) of their Title I allocations for SES.
Again, the data do not include expenditures for
choice-related transportation; we assume that if
those expenditures were included, approximately
15 percent of LEAs will elect to spend the
remaining funds of their obligation in the
succeeding year.
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responsibilities related to an LEA’s use
of any unspent portion of its 20 percent
obligation. In place of the proposed
requirement for SEAs to approve LEA
requests to spend less than the 20
percent obligation, the final regulations
require that SEAs ensure, through their
regular monitoring process, LEAs’
compliance with the criteria in new
§ 200.48(d)(2)(i). The regulations also
require SEAs to review certain LEAs
(those that have spent a significant
portion of their 20 percent obligation on
other allowable activities and have been
the subject of multiple complaints,
supported by credible evidence, related
to public school choice or SES) and to
complete each such review by the
beginning of the next school year. The
Department estimates that most of the
costs of meeting these requirements will
be minimal, as SEAs are already
monitoring LEAs’ implementation of the
public school choice and SES
requirements and should be able, at
minimal cost, to incorporate the new
requirements into their monitoring
procedures. However, the requirement
to complete a review of certain LEAs
before the beginning of the next school
year will likely result in SEAs having to
undertake additional monitoring and
review activities. The Department
estimates that, of the projected 1,800
LEAs that will elect to spend less than
their 20 percent obligation on choicerelated transportation and SES, five
percent (90) will be covered by
§ 200.48(d)(3)(ii)(A) and, thus, will be
required to be reviewed by the SEA
prior to the beginning of the next school
year. The Department further estimates
that 80 percent of these reviews (72)
will be reviews that the State would not
have carried out in the absence of this
new requirement. Finally, the
Department estimates that the cost of
carrying out each review (including staff
time, travel, and other expenses) will
average $1,220 (based on 24 hours of
staff time per review, at $30 an hour,
plus $500 per review for travel and
additional expenses). Thus, the
estimated total cost of implementation
will be $87,840 annually.
Finally, the regulations require that, if
an SEA determines that an LEA has
failed to meet the three criteria related
to implementation of public school
choice and SES, the LEA must spend, in
the next year, the ‘‘unexpended’’
amount needed to meet the 20 percent
obligation, in addition to the 20 percent
required in that subsequent year. Such
an LEA must also request SEA
permission before spending less than
the unexpended amount and the 20
percent obligation in the subsequent
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year, and the SEA may not grant such
permission unless it has confirmed the
LEA’s compliance with the criteria in
§ 200.48(d)(2)(i). The Department
believes that few LEAs will be covered
by these provisions and, thus, that the
cost of compliance will be low. Our
estimate is that 10 percent (240) of the
2,400 LEAs required to implement
public school choice and SES will be
covered and that one half of those LEAs
will apply to the SEA for permission to
spend the unused funds. (The other half
will add the unexpended amount to the
20 percent obligation in the succeeding
year). We further estimate that each
such LEA will require 12 hours (at $25
per hour) to prepare a request to the
SEA to spend the unused funds. The
total estimated annual cost of
implementing these requirements at the
LEA level is, thus, $36,000. We further
estimate that SEAs will require 12 hours
to review each request. At $30 per hour,
the total estimated annual cost for SEAs
is $43,200.
Overall, the total estimated cost of
implementing the regulations on public
school choice and SES is $3,519,060.
Although our cost estimates for the
public school choice and SES
regulations are necessarily speculative
(because of the limited availability of
relevant data), the estimated costs are
low even if some of the assumptions are
changed significantly. For example, if
the number of hours required at each
stage of implementing the new public
school choice and SES regulations were
doubled, the total annual cost would
increase only to $6,245,460. These costs,
even when combined with the estimated
$27,188,800 attributable to
implementation (in the first year) of the
regulations on minimum group size,
high school graduation rates,
submission of revised Accountability
Workbooks, the inclusion of NAEP data
on report cards, and implementation of
AYP definitions that include measures
of student growth are an extremely
small amount within the context of the
$13.9 billion Title I program.
The Department believes that the
regulations on public school choice and
SES will result in significant benefits, in
terms of providing more students with
access to public school choice and SES
under Title I and students and their
families receiving better information
about their options. A recent study by
the RAND Corporation, supported by
the Department, found that, in five out
of the seven large urban LEAs in which
there were sufficient numbers of
students to analyze the effects, the
students participating in SES showed
statistically significant positive effects
in both reading and mathematics
achievement.26 Moreover, for those
students using SES for multiple years,
the analysis suggests that the positive
effects might accumulate over time. If
SES can continue to improve student
achievement and close the achievement
gap, students, schools, and LEAs will
benefit. In sum, the Department believes
that the benefits students will receive, if
more LEAs provide eligible students
with a genuine opportunity to take
advantage of the public school choice
and SES options, will well exceed the
small costs LEAs and SEAs would
assume in implementing these
regulations. Moreover, LEAs and SEAs
will be able to use Federal funds
provided through Title I, Part A to meet
the aforementioned administrative
expenses.
Other Provisions
The Department believes that the
additional provisions in the final
regulations will not result in significant
costs for LEAs, SEAs, or other entities.
These provisions include, in § 200.2,
clarification of the requirement that
State assessments involve multiple
measures of student achievement and,
in § 200.43, clarification of the actions
LEAs must take when schools are in
‘‘restructuring’’ status. Similarly,
§ 200.22 authorizes the creation of a
National Technical Advisory Council;
all costs of operating the National TAC
will be paid for with Department
salaries and expenses funds.
Paperwork Reduction Act of 1995
The final regulations contain
information collection provisions that
64505
are subject to review by OMB under the
Paperwork Reduction Act of 1995 (44
U.S.C. 3501–3520). A description of the
specific information collection
requirements is provided in the
following tables along with an estimate
of the annual recordkeeping burden for
these requirements. (Two of the
requirements do not add additional
burden to what has already been
approved.) Included in the estimate is
the time for collecting and tracking data,
maintaining records, calculations, and
reporting. We display the valid OMB
control numbers assigned to the
collections of information in these final
regulations at the end of the affected
sections of the regulations.
The final regulations include
information collection requirements
associated with the following provisions
that will add additional burden to
already approved collections (1810–
0576 and 1810–0581): § 200.7(a)(2)(ii);
§ 200.11(c); § 200.19(b)(1);
§ 200.19(b)(1)(ii)(B)(1); § 200.19(b)(6);
§ 200.19(b)(7); § 200.20(h);
§ 200.37(b)(5)(ii)(C); § 200.39(c)(1);
§ 200.39(c)(2); § 200.47(a)(1)(ii)(B);
§ 200.47(a)(3)(ii); § 200.47(a)(4)(iii);
§ 200.48(d)(3); and 200.48(d)(4). These
information collection requirements
were listed in the NPRM or represent
new or modified requirements in
response to public comment.
Collections of information: State
Educational Agency, Local Educational
Agency, and School Data Collection and
Reporting under ESEA, Title I, Part A
(OMB Number 1810–0581) and
Consolidated State Application (OMB
Number 1810–0576).
Burden hours and cost estimates for
the final regulations pertaining to ‘‘State
Educational Agency, Local Educational
Agency, and School Data Collection and
Reporting under ESEA, Title I, Part A
(OMB Number 1810–0581)’’ are
presented in the following tables. The
first table presents the estimated burden
for SEAs and the second table presents
the estimated burden for LEAs.
TITLE I REGULATIONS (COLLECTION 1810–0581) FINAL REGULATIONS BURDEN HOURS/COST FOR SEAS
Number of
respondents
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Citation
Description
§ 200.11(c) .....................
Adding NAEP data to SEA report cards and developing tool for parents to compare NAEP
and State assessment data.
26 U.S. Department of Education. (2007). State
and Local Implementation of the No Child Left
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52
Behind Act, Volume I—Title I School Choice,
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Average
number of
hours per
respondent *
24
Total hours
1,248
Total cost
(total hours ×
$30.00)
$37,440
Supplemental Educational Services, and Student
Achievement, Washington, DC: Author.
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Federal Register / Vol. 73, No. 210 / Wednesday, October 29, 2008 / Rules and Regulations
TITLE I REGULATIONS (COLLECTION 1810–0581) FINAL REGULATIONS BURDEN HOURS/COST FOR SEAS—Continued
Number of
respondents
Average
number of
hours per
respondent *
Description
§ 200.19 (b)(1) ...............
52
286
14,880
446,400
47
5
235
7,050
52
2
104
3,120
52
2
104
3,120
52
40
2,080
62,400
§ 200.48(d)(3) ................
§ 200.48(d)(4) ................
Beginning with report cards providing assessment results for SY 2010–11, calculate the
four-year adjusted cohort graduation rate,
and, if option is selected by the State, the extended-year adjusted cohort graduation rate.
Post the information listed in § 200.39(c)(1) for
LEAs that do not operate their own Web site.
Post on the SEA’s Web site an amount equal to
20 percent of each LEA’s Part A allocation
and the per-pupil amount available for SES.
Indicate on the list those providers able to serve
students with disabilities or limited English
proficient students.
Develop, implement and publicly report on
standards and techniques for monitoring
LEAs’ implementation of the SES requirements.
Review of LEAs ...................................................
Review LEA request to use unexpended funds ..
52
52
33
28
1,728
1,440
51,840
43,200
Totals ......................
N/A .......................................................................
52
N/A
21,819
654,570
§ 200.39(c)(2) .................
§ 200.47(a)(1)(ii)(B) ........
§ 200.47(a)(3)(ii) ............
§ 200.47(a)(4)(iii) ............
Total hours
Total cost
(total hours ×
$30.00)
Citation
* Figures in this column reflect rounding.
Information collection activities are also
associated with other final revisions to
§ 200.47(a)(4) at the SEA level. These
particular revisions, however, do not pose an
additional burden to SEAs because they
simply specify how SEAs are to carry out this
part of the regulation and related regulations
but should not require additional time
beyond the hours already estimated for
§ 200.47(a) in the currently approved 1810–
0581 collection.
TITLE I REGULATIONS (COLLECTION 1810–0581) FINAL REGULATIONS BURDEN HOURS/COST FOR LEAS
Number of
respondents
Average
number of
hours per
respondent
Description
§ 200.11(c) .....................
§ 200.19(b)(1)(ii)(B)(1) ...
13,987
13,987
24
50
335,688
699,350
$8,392,200
17,483,750
1,600
12
19,200
480,000
2,400
25
60,000
1,500,000
1,800
12
21,600
540,000
§ 200.48(d)(4) ................
Adding NAEP data to LEA report cards ..............
Documentation that a student has transferred
out—that the student has enrolled in another
school or in an educational program that culminates in the award of a regular high school
diploma.
Providing notice to parents that their children
are eligible for SES and describing the benefits of SES.
Provide information on public school choice and
SES.
Maintain records that the criteria are met and
meet requirements for informing SEA.
Apply to SEA to use unexpended funds .............
120
12
1,440
36,000
Totals ......................
..............................................................................
13,987
N/A
1,137,278
28,431,950
§ 200.37(b)(5)(ii)(C) .......
§ 200.39(c)(1) .................
§ 200.48(d)(3) ................
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Information collection activities are also
associated with §§ 200.37(b)(4)(iv) and
200.37(b)(5)(ii)(B). The information
collection activities associated with this
change do not pose an additional burden to
LEAs, however. Sufficient hours for this
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activity are already accounted for in the
currently approved 1810–0581 collection.
Consolidated State Application
(Collection 1810–0576)
SEA burden hours and cost estimates
for the final regulations pertaining to
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Total hours
Total cost
(total hours ×
$25.00)
Citation
‘‘Consolidated State Application (OMB
Number 1810–0576)’’ are presented in
the following table.
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Number of
respondents
Average
number of
hours per
respondent
Total cost
(total hours ×
$30.00)
Citation
Description
§ 200.7(a)(2)(ii) ..............
Revise Accountability Workbook relating to minimum group size.
Revise Accountability Workbook for Graduation:
1. Graduation rate definition to determine
AYP based on SY 2009–2010 assessment results;
2.
Progress
towards
deadline
in
§ 200.19(b)(4)(ii)(A) for calculating and reporting graduation rate defined in
§ 200.19(b)(1)(i) through (iv);
3. Graduation rate goal and targets;
4. Explanation of graduation rate goal and
how the targets demonstrate continuous
and substantial improvement;
5. Graduation rate of the high school at the
10th percentile, 50th percentile, and 90th
percentile ranked by graduation rate;
6. If using extended-year adjusted cohort,
how it will use this rate with the four-year
rate to determine AYP;
7. Request extension of deadline, if appropriate.
Request waiver under section 9401 of ESEA to
incorporate academic growth into State’s AYP
definition.
52
112
5,824
$174,720
52
164
8,528
255,840
52
240
12,480
374,400
..............................................................................
52
N/A
26,832
804,960
§ 200.19(b)(6) and (b)(7)
§ 200.20(h) .....................
Total ........................
Regulatory Flexibility Act Certification
The Secretary certifies that these final
regulations will not have a significant
economic impact on a substantial
number of small entities. The small
entities that the final regulations will
affect are small LEAs receiving funds
under Title I. These final regulations
will not have a significant economic
impact because the regulations impose
minimal requirements beyond those that
would otherwise be required under the
ESEA, with most of those requirements
falling on SEAs. Further, the small LEAs
should be able to meet the costs of
compliance with these regulations using
Federal funds provided through Title I.
Intergovernmental Review
This program is not subject to
Executive Order 12372 and the
regulations in 34 CFR part 79.
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Electronic Access to This Document
You may view this document, as well
as all other Department of Education
documents published in the Federal
Register, in text or Adobe Portable
Document Format (PDF) on the Internet
at the following site: https://www.ed.gov/
news/fedregister.
To use PDF you must have Adobe
Acrobat Reader, which is available free
at this site. If you have questions about
using PDF, call the U.S. Government
VerDate Aug<31>2005
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Jkt 217001
Printing Office (GPO), toll free, at
1–888–293–6498; or in the Washington,
DC, area at (202) 512–1530.
Total hours
64507
200 of title 34 of the Code of Federal
Regulations as follows:
PART 200—TITLE I—IMPROVING THE
ACADEMIC ACHIEVEMENT OF THE
DISADVANTAGED
Note: The official version of this document
is the document published in the Federal
Register. Free Internet access to the official
edition of the Federal Register and the Code
of Federal Regulations is available on GPO
Access at: https://www.gpoaccess.gov/nara/
index.html.
■
(Catalog of Federal Domestic Assistance
Number: 84.010 Improving Programs
Operated by Local Educational Agencies)
■
List of Subjects in 34 CFR Part 200
Administrative practice and
procedure, Adult education, Children,
Education of children with disabilities,
Education of disadvantaged children,
Elementary and secondary education,
Eligibility, Family-centered education,
Grant programs—education, Indians—
education, Infants and children,
Institutions of higher education,
Juvenile delinquency, Local educational
agencies, Migrant labor, Nonprofit
private agencies, Private schools, Public
agencies, Reporting and recordkeeping
requirements, State-administered
programs, State educational agencies.
Dated: October 20, 2008.
Margaret Spellings,
Secretary of Education.
For the reasons discussed in the
preamble, the Secretary amends part
■
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1. The authority citation for part 200
continues to read as follows:
Authority: 20 U.S.C. 6301 through 6578,
unless otherwise noted.
2. Section 200.2 is amended by
revising paragraph (b)(7) to read as
follows:
§ 200.2 State responsibilities for
assessment.
*
*
*
*
*
(b) * * *
(7) Involve multiple up-to-date
measures of student academic
achievement, including measures that
assess higher-order thinking skills and
understanding of challenging content, as
defined by the State. These measures
may include—
(i) Single or multiple question formats
that range in cognitive complexity
within a single assessment; and
(ii) Multiple assessments within a
subject area.
*
*
*
*
*
■ 3. Section 200.7 is amended by:
■ A. Revising paragraph (a)(2)(i).
■ B. Redesignating paragraph (a)(2)(ii)
as (a)(2)(iv).
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§ 200.11
C. Adding new paragraphs (a)(2)(ii)
and (a)(2)(iii).
■ D. Adding the OMB control number
before the authority citation.
The revision and additions read as
follows:
■
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§ 200.7
Disaggregation of data.
(a) * * *
(2)(i) Based on sound statistical
methodology, each State must
determine the minimum number of
students sufficient to—
(A) Yield statistically reliable
information for each purpose for which
disaggregated data are used; and
(B) Ensure that, to the maximum
extent practicable, all student subgroups
in § 200.13(b)(7)(ii) (economically
disadvantaged students; students from
major racial and ethnic groups; students
with disabilities as defined in section
9101(5) of the Act; and students with
limited English proficiency as defined
in section 9101(25) of the Act) are
included, particularly at the school
level, for purposes of making
accountability determinations.
(ii) Each State must revise its
Consolidated State Application
Accountability Workbook under section
1111 of the Act to include—
(A) An explanation of how the State’s
minimum group size meets the
requirements of paragraph (a)(2)(i) of
this section;
(B) An explanation of how other
components of the State’s definition of
adequate yearly progress (AYP), in
addition to the State’s minimum group
size, interact to affect the statistical
reliability of the data and to ensure the
maximum inclusion of all students and
student subgroups in § 200.13(b)(7)(ii);
and
(C) Information regarding the number
and percentage of students and student
subgroups in § 200.13(b)(7)(ii) excluded
from school-level accountability
determinations.
(iii) Each State must submit a revised
Consolidated State Application
Accountability Workbook in accordance
with paragraph (a)(2)(ii) of this section
to the Department for technical
assistance and peer review under the
process established by the Secretary
under section 1111(e)(2) of the Act in
time for any changes to be in effect for
AYP determinations based on school
year 2009–2010 assessment results.
*
*
*
*
*
■ 4. Section 200.11 is amended by:
■ A. Adding a new paragraph (c).
■ B. Adding the OMB control number
before the authority citation.
The additions read as follows:
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Participation in NAEP.
*
*
*
*
*
(c) Report cards. Each State and LEA
must report on its annual State and LEA
report card, respectively, the most
recent available academic achievement
results in grades four and eight on the
State’s NAEP reading and mathematics
assessments under paragraph (a) of this
section. The report cards must
include—
(1) The percentage of students at each
achievement level reported on the
NAEP in the aggregate and, for State
report cards, disaggregated for each
subgroup described in § 200.13(b)(7)(ii);
and
(2) The participation rates for students
with disabilities and for limited English
proficient students.
(Approved by the Office of Management and
Budget under control number 1810–0581)
*
*
*
*
*
5. Section 200.19 is amended by:
A. Revising paragraph (a).
B. Redesignating paragraphs (b) and
(c) as paragraphs (c) and (d),
respectively.
■ C. Adding a new paragraph (b).
■ D. In paragraph (e)(1), removing the
words ‘‘in paragraphs (a) and (b)’’, and
adding in their place, the words ‘‘in
paragraphs (a) through (c)’’.
■ E. Adding the OMB control number
before the authority citation.
The revision and additions read as
follows:
■
■
■
§ 200.19
Other academic indicators.
(a) Elementary and middle schools—
(1) Choice of indicator. To determine
AYP, consistent with § 200.14(e), each
State must use at least one other
academic indicator for public
elementary schools and at least one
other academic indicator for public
middle schools, such as those in
paragraph (c) of this section.
(2) Goals. A State may, but is not
required to, increase the goals of its
other academic indicators over the
course of the timeline under § 200.15.
(3) Reporting. A State and its LEAs
must report under section 1111(h) of the
Act (annual report cards) performance
on the academic indicators for
elementary and middle schools at the
school, LEA, and State levels in the
aggregate and disaggregated by each
subgroup described in § 200.13(b)(7)(ii).
(4) Determining AYP. A State—
(i) Must disaggregate its other
academic indicators for elementary and
middle schools by each subgroup
described in § 200.13(b)(7)(ii) for
purposes of determining AYP under
§ 200.20(b)(2) (‘‘safe harbor’’) and as
required under section 1111(b)(2)(C)(vii)
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of the Act (additional academic
indicators under paragraph (c) of this
section); but (ii) Need not disaggregate
those indicators for determining AYP
under § 200.20(a)(1)(ii) (meeting the
State’s annual measurable objectives).
(b) High schools—(1) Graduation rate.
Consistent with paragraphs (b)(4) and
(b)(5) of this section regarding reporting
and determining AYP, respectively,
each State must calculate a graduation
rate, defined as follows, for all public
high schools in the State:
(i)(A) A State must calculate a ‘‘fouryear adjusted cohort graduation rate,’’
defined as the number of students who
graduate in four years with a regular
high school diploma divided by the
number of students who form the
adjusted cohort for that graduating class.
(B) For those high schools that start
after grade nine, the cohort must be
calculated based on the earliest high
school grade.
(ii) The term ‘‘adjusted cohort’’ means
the students who enter grade 9 (or the
earliest high school grade) and any
students who transfer into the cohort in
grades 9 through 12 minus any students
removed from the cohort.
(A) The term ‘‘students who transfer
into the cohort’’ means the students
who enroll after the beginning of the
entering cohort’s first year in high
school, up to and including in grade 12.
(B) To remove a student from the
cohort, a school or LEA must confirm in
writing that the student transferred out,
emigrated to another country, or is
deceased.
(1) To confirm that a student
transferred out, the school or LEA must
have official written documentation that
the student enrolled in another school
or in an educational program that
culminates in the award of a regular
high school diploma.
(2) A student who is retained in grade,
enrolls in a General Educational
Development (GED) program, or leaves
school for any other reason may not be
counted as having transferred out for the
purpose of calculating graduation rate
and must remain in the adjusted cohort.
(iii) The term ‘‘students who graduate
in four years’’ means students who earn
a regular high school diploma at the
conclusion of their fourth year, before
the conclusion of their fourth year, or
during a summer session immediately
following their fourth year.
(iv) The term ‘‘regular high school
diploma’’ means the standard high
school diploma that is awarded to
students in the State and that is fully
aligned with the State’s academic
content standards or a higher diploma
and does not include a GED credential,
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certificate of attendance, or any
alternative award.
(v) In addition to calculating a fouryear adjusted cohort graduation rate, a
State may propose to the Secretary for
approval an ‘‘extended-year adjusted
cohort graduation rate.’’
(A) An extended-year adjusted cohort
graduation rate is defined as the number
of students who graduate in four years
or more with a regular high school
diploma divided by the number of
students who form the adjusted cohort
for the four-year adjusted cohort
graduation rate, provided that the
adjustments account for any students
who transfer into the cohort by the end
of the year of graduation being
considered minus the number of
students who transfer out, emigrate to
another country, or are deceased by the
end of that year.
(B) A State may calculate one or more
extended-year adjusted cohort
graduation rates.
(2) Transitional graduation rate. (i)
Prior to the deadline in paragraph
(b)(4)(ii)(A) of this section, a State must
calculate graduation rate as defined in
paragraph (b)(1) of this section or use,
on a transitional basis—
(A) A graduation rate that measures
the percentage of students from the
beginning of high school who graduate
with a regular high school diploma in
the standard number of years; or
(B) Another definition, developed by
the State and approved by the Secretary,
that more accurately measures the rate
of student graduation from high school
with a regular high school diploma.
(ii) For a transitional graduation rate
calculated under paragraph (b)(2)(i) of
this section—
(A) ‘‘Regular high school diploma’’
has the same meaning as in paragraph
(b)(1)(iv) of this section;
(B) ‘‘Standard number of years’’
means four years unless a high school
begins after ninth grade, in which case
the standard number of years is the
number of grades in the school; and
(C) A dropout may not be counted as
a transfer.
(3) Goal and targets. (i) A State must
set—
(A) A single graduation rate goal that
represents the rate the State expects all
high schools in the State to meet; and
(B) Annual graduation rate targets that
reflect continuous and substantial
improvement from the prior year toward
meeting or exceeding the graduation
rate goal.
(ii) Beginning with AYP
determinations under § 200.20 based on
school year 2009–2010 assessment
results, in order to make AYP, any high
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school or LEA that serves grade 12 and
the State must meet or exceed—
(A) The graduation rate goal set by the
State under paragraph (b)(3)(i)(A) of this
section; or
(B) The State’s targets for continuous
and substantial improvement from the
prior year, as set by the State under
paragraph (b)(3)(i)(B) of this section.
(4) Reporting. (i) In accordance with
the deadlines in paragraph (b)(4)(ii) of
this section, a State and its LEAs must
report under section 1111(h) of the Act
(annual report cards) graduation rate at
the school, LEA, and State levels in the
aggregate and disaggregated by each
subgroup described in § 200.13(b)(7)(ii).
(ii)(A) Beginning with report cards
providing results of assessments
administered in the 2010–2011 school
year, a State and its LEAs must report
the four-year adjusted cohort graduation
rate calculated in accordance with
paragraph (b)(1)(i) through (iv) of this
section.
(B) If a State adopts an extended-year
adjusted cohort graduation rate
calculated in accordance with paragraph
(b)(1)(v) of this section, the State and its
LEAs must report, beginning with the
first year for which the State calculates
such a rate, the extended-year adjusted
cohort graduation rate separately from
the four-year adjusted cohort graduation
rate.
(C) Prior to the deadline in paragraph
(b)(4)(ii)(A) of this section, a State and
its LEAs must report a graduation rate
calculated in accordance with paragraph
(b)(1) or (b)(2) of this section in the
aggregate and disaggregated by the
subgroups in § 200.13(b)(7)(ii).
(5) Determining AYP. (i) Beginning
with AYP determinations under
§ 200.20 based on school year 2011–
2012 assessment results, a State must
calculate graduation rate under
paragraph (b)(1) of this section at the
school, LEA, and State levels in the
aggregate and disaggregated by each
subgroup described in § 200.13(b)(7)(ii).
(ii) Prior to the AYP determinations
described in paragraph (b)(5)(i) of this
section, a State must calculate
graduation rate in accordance with
either paragraph (b)(1) or (b)(2) of this
section—
(A) In the aggregate at the school,
LEA, and State levels for determining
AYP under § 200.20(a)(1)(ii) (meeting
the State’s annual measurable
objectives), except as provided in
paragraph (b)(7)(iii) of this section; but
(B) In the aggregate and disaggregated
by each subgroup described in
§ 200.13(b)(7)(ii) for purposes of
determining AYP under § 200.20(b)(2)
(‘‘safe harbor’’) and as required under
section 1111(b)(2)(C)(vii) of the Act
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64509
(additional academic indicators under
paragraph (c) of this section).
(6) Accountability workbook. (i) A
State must revise its Consolidated State
Application Accountability Workbook
submitted under section 1111 of the Act
to include the following:
(A) The State’s graduation rate
definition that the State will use to
determine AYP based on school year
2009–2010 assessment results.
(B) The State’s progress toward
meeting the deadline in paragraph
(b)(4)(ii)(A) of this section for
calculating and reporting the four-year
adjusted cohort graduation rate defined
in paragraph (b)(1)(i) through (iv) of this
section.
(C) The State’s graduation rate goal
and targets.
(D) An explanation of how the State’s
graduation rate goal represents the rate
the State expects all high schools in the
State to meet and how the State’s targets
demonstrate continuous and substantial
improvement from the prior year toward
meeting or exceeding the goal.
(E) The graduation rate for the most
recent school year of the high school at
the 10th percentile, the 50th percentile,
and the 90th percentile in the State
(ranked in terms of graduation rate).
(F) If a State uses an extended-year
adjusted cohort graduation rate, a
description of how it will use that rate
with its four-year adjusted cohort
graduation rate to determine whether its
schools and LEAs have made AYP.
(ii) Each State must submit, consistent
with the timeline in § 200.7(a)(2)(iii), its
revised Consolidated State Application
Accountability Workbook in accordance
with paragraph (b)(6)(i) of this section to
the Department for technical assistance
and peer review under the process
established by the Secretary under
section 1111(e)(2) of the Act.
(7) Extension. (i) If a State cannot
meet the deadline in paragraph
(b)(4)(ii)(A) of this section, the State
may request an extension of the
deadline from the Secretary.
(ii) To receive an extension, a State
must submit to the Secretary, by March
2, 2009—
(A) Evidence satisfactory to the
Secretary demonstrating that the State
cannot meet the deadline in paragraph
(b)(4)(ii)(A) of this section; and
(B) A detailed plan and timeline
addressing the steps the State will take
to implement, as expeditiously as
possible, a graduation rate consistent
with paragraph (b)(1)(i) through (iv) of
this section.
(iii) A State that receives an extension
under this paragraph must, beginning
with AYP determinations under
§ 200.20 based on school year 2011–
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2012 assessment results, calculate
graduation rate under paragraph (b)(2)
of this section at the school, LEA, and
State levels in the aggregate and
disaggregated by each subgroup
described in § 200.13(b)(7)(ii).
*
*
*
*
*
(Approved by the Office of Management and
Budget under control numbers 1810–0581
and 1810–0576)
*
*
*
*
*
6. Section 200.20 is amended by:
A. Adding a new paragraph (h).
B. Adding the OMB control number
before the authority citation.
■ C. Revising the authority citation.
The additions and revision read as
follows:
■
■
■
§ 200.20
Making adequate yearly progress.
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*
*
*
*
*
(h) Student academic growth. (1) A
State may request authority under
section 9401 of the Act to incorporate
student academic growth in the State’s
definition of AYP under this section.
(2) A State’s policy for incorporating
student academic growth in the State’s
definition of AYP must—
(i) Set annual growth targets that—
(A) Will lead to all students, by school
year 2013–2014, meeting or exceeding
the State’s proficient level of academic
achievement on the State assessments
under § 200.2;
(B) Are based on meeting the State’s
proficient level of academic
achievement on the State assessments
under § 200.2 and are not based on
individual student background
characteristics; and
(C) Measure student achievement
separately in mathematics and reading/
language arts;
(ii) Ensure that all students enrolled
in the grades tested under § 200.2 are
included in the State’s assessment and
accountability systems;
(iii) Hold all schools and LEAs
accountable for the performance of all
students and the student subgroups
described in § 200.13(b)(7)(ii);
(iv) Be based on State assessments
that—
(A) Produce comparable results from
grade to grade and from year to year in
mathematics and reading/language arts;
(B) Have been in use by the State for
more than one year; and
(C) Have received full approval from
the Secretary before the State
determines AYP based on student
academic growth;
(v) Track student progress through the
State data system;
(vi) Include, as separate factors in
determining whether schools are
making AYP for a particular year—
(A) The rate of student participation
in assessments under § 200.2; and
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(B) Other academic indicators as
described in § 200.19; and
(vii) Describe how the State’s annual
growth targets fit into the State’s
accountability system in a manner that
ensures that the system is coherent and
that incorporating student academic
growth into the State’s definition of
AYP does not dilute accountability.
(3) A State’s proposal to incorporate
student academic growth in the State’s
definition of AYP will be peer reviewed
under the process established by the
Secretary under section 1111(e)(2) of the
Act.
(Approved by the Office of Management and
Budget under control number 1810–0576)
(Authority: 20 U.S.C. 6311(b)(2), (b)(3)(C)(xi);
7861)
7. Section 200.22 is added to read as
follows:
■
§ 200.22 National Technical Advisory
Council.
(a) To provide advice to the
Department on technical issues related
to the design and implementation of
standards, assessments, and
accountability systems, the Secretary
shall establish a National Technical
Advisory Council (hereafter referred to
as the ‘‘National TAC’’), which shall be
governed by the provisions of the
Federal Advisory Committee Act
(FACA) (Pub. L. 92–463, as amended; 5
U.S.C. App.).
(b)(1) The members of the National
TAC must include persons who have
knowledge of and expertise in the
design and implementation of
educational standards, assessments, and
accountability systems for all students,
including students with disabilities and
limited English proficient students, and
experts with technical knowledge
related to statistics and psychometrics.
(2) The National TAC shall be
composed of 10 to 20 members who
may meet as a whole or in committees,
as the Secretary may determine.
(3) The Secretary shall, through a
notice published in the Federal
Register—
(i) Solicit nominations from the
public for members of the National
TAC; and
(ii) Publish the list of members, once
selected.
(4) The Secretary shall screen
nominees for membership on the
National TAC for potential conflicts of
interest to prevent, to the extent
possible, such conflicts, or the
appearance thereof, in the National
TAC’s performance of its
responsibilities under this section.
(c) The Secretary shall use the
National TAC to provide its expert
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opinions on matters that arise during
the State Plan review process.
(d) The Secretary shall prescribe and
publish the rules of procedure for the
National TAC.
(Authority: 20 U.S.C. 6311(e))
8. Section 200.32 is amended by:
A. Redesignating paragraph (a)(1) as
paragraph (a)(1)(i).
■ B. Adding a new paragraph (a)(1)(ii).
The addition reads as follows:
■
■
§ 200.32 Identification for school
improvement.
(a)(1)(i) * * *
(ii) In identifying schools for
improvement, an LEA—
(A) May base identification on
whether a school did not make AYP
because it did not meet the annual
measurable objectives for the same
subject or meet the same other academic
indicator for two consecutive years; but
(B) May not limit identification to
those schools that did not make AYP
only because they did not meet the
annual measurable objectives for the
same subject or meet the same other
academic indicator for the same
subgroup under § 200.13(b)(7)(ii) for two
consecutive years.
*
*
*
*
*
■ 9. Section 200.37 is amended by:
■ A. Adding new paragraph (b)(4)(iv).
■ B. Revising paragraph (b)(5)(ii)(B).
■ C. Adding new paragraph (b)(5)(ii)(C).
■ D. Adding new paragraph (b)(5)(iii).
The revision and additions read as
follows:
§ 200.37 Notice of identification for
improvement, corrective action, or
restructuring.
*
*
*
*
*
(b) * * *
(4) * * *
(iv) The explanation of the available
school choices must be made
sufficiently in advance of, but no later
than 14 calendar days before, the start
of the school year so that parents have
adequate time to exercise their choice
option before the school year begins.
(5) * * *
(ii) * * *
(B) A brief description of the services,
qualifications, and demonstrated
effectiveness of the providers referred to
in paragraph (b)(5)(ii)(A) of this section,
including an indication of those
providers who are able to serve students
with disabilities or limited English
proficient students.
(C) An explanation of the benefits of
receiving supplemental educational
services.
(iii) The annual notice of the
availability of supplemental educational
services must be—
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(A) Clear and concise; and
(B) Clearly distinguishable from the
other information sent to parents under
this section.
*
*
*
*
*
10. Section 200.39 is amended by
adding a new paragraph (c) to read as
follows:
■
§ 200.39 Responsibilities resulting from
identification for school improvement.
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*
*
*
*
*
(c)(1) Except as provided in paragraph
(c)(2) of this section, the LEA must
prominently display on its Web site, in
a timely manner to ensure that parents
have current information, the following
information regarding the LEA’s
implementation of the public school
choice and supplemental educational
services requirements of the Act and
this part:
(i) Beginning with data from the
2007–2008 school year and for each
subsequent school year, the number of
students who were eligible for and the
number of students who participated in
public school choice.
(ii) Beginning with data from the
2007–2008 school year and for each
subsequent school year, the number of
students who were eligible for and the
number of students who participated in
supplemental educational services.
(iii) For the current school year, a list
of supplemental educational services
providers approved by the State to serve
the LEA and the locations where
services are provided.
(iv) For the current school year, a list
of available schools to which students
eligible to participate in public school
choice may transfer.
(2) If the LEA does not have its own
Web site, the SEA must include on the
SEA’s Web site the information required
in paragraph (c)(1) of this section for the
LEA.
*
*
*
*
*
■ 11. Section 200.43 is amended by:
■ A. Revising paragraph (a)(1).
■ B. In paragraph (a)(2), removing the
word ‘‘and’’ at the end of the paragraph.
■ C. In paragraph (a)(3), removing the
punctuation ‘‘.’’ and adding in its place
the punctuation ‘‘;’’ at the end of the
paragraph.
■ D. Adding new paragraphs (a)(4) and
(a)(5).
■ E. Revising paragraph (b)(3)(ii).
■ F. Revising paragraph (b)(3)(v).
The additions and revisions read as
follows:
§ 200.43
Restructuring.
(a) * * *
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(1) Makes fundamental reforms to
improve student academic achievement
in the school;
*
*
*
*
*
(4) Is significantly more rigorous and
comprehensive than the corrective
action that the LEA implemented in the
school under § 200.42, unless the school
has begun to implement one of the
options in paragraph (b)(3) of this
section as a corrective action; and
(5) Addresses the reasons why the
school was identified for restructuring
in order to enable the school to exit
restructuring as soon as possible.
(b) * * *
(3) * * *
(ii) Replace all or most of the school
staff (which may include, but may not
be limited to, replacing the principal)
who are relevant to the school’s failure
to make AYP.
*
*
*
*
*
(v) Any other major restructuring of a
school’s governance arrangement that
makes fundamental reforms, such as
significant changes in the school’s
staffing and governance, in order to
improve student academic achievement
in the school and that has substantial
promise of enabling the school to make
AYP. The major restructuring of a
school’s governance may include
replacing the principal so long as this
change is part of a broader reform effort.
*
*
*
*
*
■ 12. Section 200.44 is amended by
revising paragraph (a)(2) to read as
follows:
§ 200.44
Public school choice.
(a) * * *
(2) The LEA must offer this option,
through the notice required in § 200.37,
so that students may transfer in the
school year following the school year in
which the LEA administered the
assessments that resulted in its
identification of the school for
improvement, corrective action, or
restructuring.
*
*
*
*
*
■ 13. Section 200.47 is amended by:
■ A. Revising paragraph (a)(1)(ii).
■ B. Redesignating paragraph (a)(3) as
paragraph (a)(3)(i).
■ C. In newly redesignated paragraph
(a)(3)(i), removing the punctuation ‘‘.’’
and adding in its place the words ‘‘;
and’’ at the end of the paragraph.
■ D. Adding a new paragraph (a)(3)(ii).
■ E. Revising the introductory text in
paragraph (a)(4).
■ F. In paragraph (a)(4)(i), removing the
word ‘‘and’’ at the end of the paragraph.
■ G. In paragraph (a)(4)(ii), removing the
punctuation ‘‘.’’ and adding in its place
the words ‘‘; and’’ at the end of the
paragraph.
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H. Adding a new paragraph (a)(4)(iii).
I. Revising paragraph (b)(2)(ii)(B).
J. Redesignating paragraph (b)(2)(ii)(C)
as paragraph (b)(2)(ii)(D).
■ K. Adding a new paragraph
(b)(2)(ii)(C).
■ L. Redesignating paragraph (b)(3) as
paragraph (b)(4).
■ M. Adding a new paragraph (b)(3).
■ N. Adding a new paragraph (c).
The revisions and additions read as
follows:
■
■
■
§ 200.47 SEA responsibilities for
supplemental educational services.
(a) * * *
(1)(i) * * *
(ii) This promotion must include—
(A) Annual notice to potential
providers of—
(1) The opportunity to provide
supplemental educational services; and
(2) Procedures for obtaining the SEA’s
approval to be a provider of those
services; and
(B) Posting on the SEA’s Web site, for
each LEA—
(1) The amount equal to 20 percent of
the LEA’s Title I, Part A allocation
available for choice-related
transportation and supplemental
educational services, as required in
§ 200.48(a)(2); and
(2) The per-child amount for
supplemental educational services
calculated under § 200.48(c)(1).
*
*
*
*
*
(3)(i) * * *
(ii) Indicate on the list those providers
that are able to serve students with
disabilities or limited English proficient
students.
(4) Consistent with paragraph (c) of
this section, develop, implement, and
publicly report on standards and
techniques for—
*
*
*
*
*
(iii) Monitoring LEAs’
implementation of the supplemental
educational services requirements of the
Act and this part.
*
*
*
*
*
(b) * * *
(2) * * *
(ii) * * *
(B) Are aligned with State academic
content and student academic
achievement standards;
(C) Are of high quality, researchbased, and specifically designed to
increase the academic achievement of
eligible children; and
*
*
*
*
*
(3) In approving a provider, the SEA
must consider, at a minimum—
(i) Information from the provider on
whether the provider has been removed
from any State’s approved provider list;
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(ii) Parent recommendations or results
from parent surveys, if any, regarding
the success of the provider’s
instructional program in increasing
student achievement; and
(iii) Evaluation results, if any,
demonstrating that the instructional
program has improved student
achievement.
*
*
*
*
*
(c) Standards for monitoring
approved providers. To monitor the
quality and effectiveness of services
offered by an approved provider in
order to inform the renewal or the
withdrawal of approval of the
provider—
(1) An SEA must examine, at a
minimum, evidence that the provider’s
instructional program—
(i) Is consistent with the instruction
provided and the content used by the
LEA and the SEA;
(ii) Addresses students’ individual
needs as described in students’
supplemental educational services plans
under § 200.46(b)(2)(i);
(iii) Has contributed to increasing
students’ academic proficiency; and
(iv) Is aligned with the State’s
academic content and student academic
achievement standards; and
(2) The SEA must also consider
information, if any, regarding—
(i) Parent recommendations or results
from parent surveys regarding the
success of the provider’s instructional
program in increasing student
achievement; and
(ii) Evaluation results demonstrating
that the instructional program has
improved student achievement.
*
*
*
*
*
14. Section 200.48 is amended by:
A. In paragraph (a)(2), introductory
text, adding the words ‘‘(‘‘20 percent
obligation’’)’’ after the word ‘‘part’’.
■ B. In paragraph (a)(2)(iii)(A), removing
the word ‘‘and’’ at the end of the
paragraph.
■ C. In paragraph (a)(2)(iii)(B), removing
the punctuation ‘‘.’’ and adding, in its
place, the words ‘‘; and’’.
■ D. Adding a new paragraph
(a)(2)(iii)(C).
■ E. Adding a new paragraph (d).
■ F. Adding the OMB control number
before the authority citation.
The additions read as follows:
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■
■
§ 200.48 Funding for choice-related
transportation and supplemental
educational services.
(a) * * *
(2) * * *
(iii) * * *
(C) The LEA may count in the amount
the LEA is required to spend under
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paragraph (a) of this section its costs for
outreach and assistance to parents
concerning their choice to transfer their
child or to request supplemental
educational services, up to an amount
equal to 0.2 percent of its allocation
under subpart 2 of part A of Title I of
the Act.
*
*
*
*
*
(d) Unexpended funds for choicerelated transportation and
supplemental educational services.
(1)(i) Except as provided in paragraph
(d)(2) of this section, if an LEA does not
meet its 20 percent obligation in a given
school year, the LEA must spend the
unexpended amount in the subsequent
school year on choice-related
transportation costs, supplemental
educational services, or parent outreach
and assistance (consistent with
paragraph (a)(2)(iii)(C) of this section).
(ii) The LEA must spend the
unexpended amount under paragraph
(d)(1)(i) of this section in addition to the
amount it is required to spend to meet
its 20 percent obligation in the
subsequent school year.
(2) To spend less than the amount
needed to meet its 20 percent obligation,
an LEA must—
(i) Meet, at a minimum, the following
criteria:
(A) Partner, to the extent practicable,
with outside groups, such as faith-based
organizations, other community-based
organizations, and business groups, to
help inform eligible students and their
families of the opportunities to transfer
or to receive supplemental educational
services.
(B) Ensure that eligible students and
their parents have a genuine
opportunity to sign up to transfer or to
obtain supplemental educational
services, including by—
(1) Providing timely, accurate notice
as required in §§ 200.36 and 200.37;
(2) Ensuring that sign-up forms for
supplemental educational services are
distributed directly to all eligible
students and their parents and are made
widely available and accessible through
broad means of dissemination, such as
the Internet, other media, and
communications through public
agencies serving eligible students and
their families; and
(3) Providing a minimum of two
enrollment ‘‘windows,’’ at separate
points in the school year, that are of
sufficient length to enable parents of
eligible students to make informed
decisions about requesting
supplemental educational services and
selecting a provider.
(C) Ensure that eligible supplemental
educational services providers are given
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access to school facilities, using a fair,
open, and objective process, on the
same basis and terms as are available to
other groups that seek access to school
facilities;
(ii) Maintain records that demonstrate
the LEA has met the criteria in
paragraph (d)(2)(i) of this section; and
(iii) Notify the SEA that the LEA—
(A) Has met the criteria in paragraph
(d)(2)(i) of this section; and
(B) Intends to spend the remainder of
its 20 percent obligation on other
allowable activities, specifying the
amount of that remainder.
(3)(i) Except as provided in paragraph
(d)(3)(ii) of this section, an SEA must
ensure an LEA’s compliance with
paragraph (d)(2)(i) of this section
through its regular monitoring process.
(ii)(A) In addition to its regular
monitoring process, an SEA must
review any LEA that—
(1) The SEA determines has spent a
significant portion of its 20 percent
obligation for other activities under
paragraph (d)(2)(iii)(B) of this section;
and
(2) Has been the subject of multiple
complaints, supported by credible
evidence, regarding implementation of
the public school choice or
supplemental educational services
requirements; and
(B) The SEA must complete its review
by the beginning of the next school year.
(4)(i) If an SEA determines under
paragraph (d)(3) of this section that an
LEA has failed to meet any of the
criteria in paragraph (d)(2)(i) of this
section, the LEA must—
(A) Spend an amount equal to the
remainder specified in paragraph
(d)(2)(iii)(B) of this section in the
subsequent school year, in addition to
its 20 percent obligation for that year, on
choice-related transportation costs,
supplemental educational services, or
parent outreach and assistance; or
(B) Meet the criteria in paragraph
(d)(2)(i) of this section and obtain
permission from the SEA before
spending less in that subsequent school
year than the amount required by
paragraph (d)(4)(i)(A) of this section.
(ii) The SEA may not grant permission
to the LEA under paragraph (d)(4)(i)(B)
of this section unless the SEA has
confirmed the LEA’s compliance with
paragraph (d)(2)(i) of this section for
that subsequent school year.
(Approved by the Office of Management and
Budget under control number 1810–0581)
*
*
*
*
*
15. Section 200.50 is amended by:
A. Redesignating paragraph (d)(1) as
paragraph (d)(1)(i).
■ B. Adding a new paragraph (d)(1)(ii).
■
■
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The addition reads as follows:
§ 200.50
SEA review of LEA progress.
*
*
*
*
*
(d) * * *
(1)(i) * * *
(ii) In identifying LEAs for
improvement, an SEA—
(A) May base identification on
whether an LEA did not make AYP
because it did not meet the annual
measurable objectives for the same
subject or meet the same other academic
indicator for two consecutive years; but
(B) May not limit identification to
those LEAs that did not make AYP only
because they did not meet the annual
measurable objectives for the same
subject or meet the same other academic
indicator for the same subgroup under
§ 200.13(b)(7)(ii) for two consecutive
years.
*
*
*
*
*
■ 16. Section 200.56 is amended by:
■ A. Revising the introductory text.
■ B. Adding a new paragraph (d).
■ C. Revising the authority citation.
The revisions and addition read as
follows:
§ 200.56 Definition of ‘‘highly qualified
teacher.’’
A teacher described in § 200.55(a) and
(b)(1) is a ‘‘highly qualified teacher’’ if
64513
the teacher meets the requirements in
paragraph (a) and paragraph (b), (c), or
(d) of this section.
*
*
*
*
*
(d) A special education teacher is a
‘‘highly qualified teacher’’ under the Act
if the teacher meets the requirements for
a ‘‘highly qualified special education
teacher’’ in 34 CFR 300.18.
(Authority: 20 U.S.C. 1401(10); 7801(23))
Note: The following appendix will not
appear in the Code of Federal Regulations.
Appendix A
[FR Doc. E8–25270 Filed 10–28–08; 8:45 am]
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BILLING CODE 4000–01–P
Agencies
[Federal Register Volume 73, Number 210 (Wednesday, October 29, 2008)]
[Rules and Regulations]
[Pages 64436-64513]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-25270]
[[Page 64435]]
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Part III
Department of Education
-----------------------------------------------------------------------
34 CFR Part 200
Title I--Improving the Academic Achievement of the Disadvantaged; Final
Rule
Federal Register / Vol. 73, No. 210 / Wednesday, October 29, 2008 /
Rules and Regulations
[[Page 64436]]
-----------------------------------------------------------------------
DEPARTMENT OF EDUCATION
34 CFR Part 200
RIN 1810-AB01
[Docket ID ED-2008-OESE-0003]
Title I--Improving the Academic Achievement of the Disadvantaged
AGENCY: Office of Elementary and Secondary Education, Department of
Education.
ACTION: Final regulations.
-----------------------------------------------------------------------
SUMMARY: The Secretary amends the regulations governing programs
administered under Part A of Title I of the Elementary and Secondary
Education Act of 1965, as amended, to clarify and strengthen current
Title I regulations in the areas of assessment, accountability, public
school choice, and supplemental educational services.
DATES: These regulations are effective November 28, 2008.
FOR FURTHER INFORMATION CONTACT: Zollie Stevenson, Jr., Director,
Student Achievement and School Accountability Programs, Office of
Elementary and Secondary Education, U.S. Department of Education, 400
Maryland Avenue, SW., room 3W230, Washington, DC 20202-6132. Telephone:
(202) 260-1824.
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SUPPLEMENTARY INFORMATION: These regulations amend regulations in 34
CFR part 200, implementing certain provisions of Title I, Part A of the
Elementary and Secondary Education Act of 1965 (ESEA), as amended by
the No Child Left Behind Act of 2001 (NCLB), which are designed to help
disadvantaged children meet high academic standards. On April 23, 2008,
the Secretary published a notice of proposed rulemaking (NPRM) for the
Title I, Part A program in the Federal Register (73 FR 22020).
These final regulations reflect an effort to respond to the results
of six years of implementation of the reforms introduced into the ESEA
by NCLB. The accountability reforms implemented during that time--
including annual testing in reading and mathematics, school and local
educational agency (LEA) accountability for the achievement of all
students (including students in certain subgroups), the measurement of
school performance and identification for improvement where necessary,
and the provision of public school choice and supplemental educational
services (SES) options to parents and their children--have resulted in
fundamental changes in the way that States and LEAs approach the
challenge of educating all students to high standards. Parents and
educators now have more information and data than ever before on how
our schools are performing and where schools and LEAs need to make
changes. Superintendents, principals, and teachers are hard at work
developing and implementing strategies for raising student achievement
and improving school performance, including by fundamentally
restructuring chronically poor-performing schools. Nearly all States
are reporting increases in student achievement, as measured by their
own assessments in reading and mathematics in grades 3 through 8 and
high school, and all States have put in place comprehensive plans for
ensuring that all students are proficient in reading and mathematics by
2014.
These final regulations build on and strengthen the advances States
have made with their assessment and accountability systems. We believe
a small number of significant regulatory changes can make a real
difference in sustaining and advancing the reforms brought about by
NCLB, pending reauthorization of the ESEA. The final regulations
reflect careful consideration of comments we received on our proposed
regulations and include a number of changes made in response to those
comments, while remaining consistent with the policy goals of the NPRM.
The most far-reaching change in these regulations is in how States,
LEAs, and schools are held accountable for graduating students from
high school. We believe that establishing a uniform and more accurate
measure of calculating graduation rate that is comparable across States
is a critical and essential step forward in improving high school
accountability. New requirements governing the provision of SES and
public school choice will help ensure that parents and students are
informed of their options in a timely and effective manner and that
LEAs make effective use of their funds to provide public school choice
and SES. The changes to the regulations regarding SES will also help
ensure that SES providers offer high-quality services. Changes
addressing the inclusion of student subgroups in school and LEA
adequate yearly progress (AYP) determinations will ensure greater
accountability for the achievement of all groups of students.
Amendments to the regulations governing restructuring of schools in
improvement will help ensure that LEAs take significant reform actions
to improve chronically underperforming schools, as required by the
statute. Requiring the inclusion of State data from the National
Assessment of Educational Progress (NAEP) on State and local report
cards will provide parents and the public with additional important
information about the performance of the students in their State.
The other provisions of these final regulations make important
clarifications or technical changes to existing policies. The
regulations permit all States to request authority to include measures
of student growth in their AYP determinations so long as States' growth
proposals meet certain criteria. The regulations also codify the
creation of the National Technical Advisory Council (National TAC) and
the Department's current policy regarding the identification of schools
and LEAs for improvement. Amendments to the assessment regulations
clarify that the term ``multiple measures'' in the statute means that
States may use single or multiple question formats, or multiple
assessments within a subject area. Lastly, technical changes to the
definition of ``highly qualified teacher'' align the Title I
regulations with the Individuals with Disabilities Education Act
(IDEA).
In the absence of reauthorization, we believe these final
regulations are necessary to further the interests of parents and
children and to improve the implementation of NCLB in order to continue
progress toward the goal of 100 percent student proficiency in reading
and mathematics by 2014.
Major Changes in the Regulations
The following is a summary of the major substantive changes in
these final regulations from the regulations proposed in the NRPM. (The
rationale for each of these changes is discussed in the Analysis of
Comments and Changes section elsewhere in this preamble.)
In Sec. 200.7(a)(2)(iii) (disaggregation of data), the
final regulations require each State to submit its revised Consolidated
State Application Accountability Workbook (Accountability Workbook),
which would include any changes to its minimum group size and other
components of AYP, to the Department for peer review in time for any
changes
[[Page 64437]]
to be in effect for AYP determinations based on 2009-2010 assessment
results.
Section 200.11 (participation in NAEP) clarifies the NAEP
data that State and LEA report cards must contain: the percentage of
students at each achievement level reported on the NAEP, in the
aggregate and, for State report cards, disaggregated for each subgroup
described in Sec. 200.13(b)(7)(ii); and participation rates for
students with disabilities and limited English proficient (LEP)
students.
The final regulations make a number of changes to Sec.
200.19 (other academic indicators). The section is reorganized to
separate the requirements for other academic indicators for elementary
and middle schools from the requirements for calculating graduation
rate (the required ``other academic indicator'' for high schools). The
final regulations maintain the current requirements for the other
academic indicators for elementary and middle schools; however, they
make a number of changes for calculating graduation rate.
--Section 200.19(b)(1)(ii)(A) adds a definition of ``students who
transfer into the cohort'' to mean those students who enroll after the
beginning of the entering cohort's first year in high school, up to and
including in grade 12.
--Section 200.19(b)(1)(ii)(B) makes clear that a student who emigrates
to another country may be removed from the cohort and clarifies that a
school or LEA must confirm in writing that a student transferred out,
emigrated to another country, or is deceased.
--Section 200.19(b)(1)(ii)(B)(1) clarifies that, to confirm that a
student transferred out, the school or LEA must have official written
documentation that the student enrolled in another school or
educational program that culminates in the award of a regular high
school diploma.
--Section 200.19(b)(1)(iii) clarifies that the term ``students who
graduate in four years'' means students who earn a regular high school
diploma at the conclusion of their fourth year, before the conclusion
of their fourth year, or during a summer session immediately following
their fourth year.
--Section 200.19(b)(1)(v) permits a State, in addition to calculating a
four-year adjusted cohort graduation rate, to propose to the Secretary
for approval an ``extended-year adjusted cohort graduation rate.''
--Section 200.19(b)(1)(v)(A) defines an extended-year adjusted cohort
graduation rate as the number of students who graduate in four years or
more with a regular high school diploma divided by the number of
students who form the adjusted cohort for the four-year adjusted cohort
graduation rate, provided that the adjustments account for any students
who transfer into the cohort by the end of the year of graduation being
considered minus the number of students who transfer out, emigrate to
another country, or are deceased by the end of that year.
--Section 200.19(b)(1)(v)(B) permits a State to calculate one or more
extended-year adjusted cohort graduation rates.
--The final regulations do not require a State to use the Averaged
Freshman Graduation Rate (AFGR) prior to the State's ability to use an
adjusted cohort graduation rate.
--Section 200.19(b)(2) permits a State to use a transitional graduation
rate before being required to use the four-year adjusted cohort
graduation rate, if that transitional rate meets the graduation rate
requirements in the current regulations.
--Section 200.19(b)(3)(i) requires a State to set a single graduation
rate goal that represents the rate the State expects all high schools
in the State to meet and annual graduation rate targets that reflect
continuous and substantial improvement from the prior year toward
meeting or exceeding the State's graduation rate goal.
--Section 200.19(b)(3)(ii) requires a State to hold any high school or
LEA that serves grade 12 and the State accountable for meeting the
State's graduation rate goal or targets beginning with AYP
determinations based on school year 2009-2010 assessment results.
--Section 200.19(b)(4)(ii) requires a State and its LEAs to report the
four-year adjusted cohort graduation rate in the aggregate and
disaggregated by the subgroups described in Sec. 200.13(b)(7)(ii)
beginning with report cards providing results of assessments
administered in the 2010-2011 school year. If a State adopts an
extended-year adjusted cohort graduation rate, the State and its LEAs
must report this rate separately from its four-year rate beginning with
the first year for which the State calculates such a rate.
--Section 200.19(b)(5) requires a State, beginning with AYP
determinations based on school year 2011-2012 assessment results, to
use the four-year adjusted cohort graduation rate to calculate AYP at
the school, LEA, and State levels, in the aggregate and disaggregated
by the subgroups described in Sec. 200.13(b)(7)(ii).
--Prior to calculating AYP under Sec. 200.20(a)(1)(ii) (meeting the
State's annual measurable objectives) based on school year 2011-2012
assessment results, a State must calculate graduation rate in the
aggregate at the school, LEA, and State levels using the four-year
adjusted cohort graduation rate or the transitional graduation rate.
--Section 200.19(b)(6) requires a State to revise its Accountability
Workbook to include certain information and submit its revisions to the
Department for technical assistance and peer review in time for any
changes to be in effect for AYP determinations based on 2009-2010
assessment results.
--Section 200.19(b)(7) permits a State that cannot meet the regulatory
deadline for reporting a four-year adjusted cohort graduation rate to
request an extension of time from the Secretary, provided the State
submits, by March 2, 2009, evidence satisfactory to the Secretary
demonstrating that it cannot meet that deadline and a detailed plan and
timeline addressing the steps the State will take to implement, as
expeditiously as possible, the four-year adjusted cohort graduation
rate. Even if a State receives an extension, it must calculate
graduation rate at the school, LEA, and State levels both in the
aggregate and disaggregated by the subgroups described in Sec.
200.13(b)(7)(ii) beginning with AYP determinations based on school year
2011-2012 assessment results.
Section 200.22(b)(1) (National TAC) makes clear that the
National TAC must include members who have knowledge of and expertise
in designing and implementing standards, assessments, and
accountability systems for all students, including students with
disabilities and LEP students.
Section 200.37(b)(5)(ii)(B) (notice of identification for
improvement, corrective action, or restructuring) requires an LEA to
indicate, in its notice to parents, those SES providers who are able to
serve students with disabilities or LEP students.
Section 200.39(c)(1) (responsibilities resulting from
identification for school improvement) requires an LEA to display
certain information regarding public school choice and SES on its Web
site in a timely manner to ensure that parents have current
information. Paragraph (c)(2) requires an SEA to post on its Web site
the required information for any
[[Page 64438]]
LEA that does not have its own Web site.
Section 200.43 (restructuring) contains two changes.
First, paragraph (a)(4) makes clear that, if a school begins to
implement a restructuring option as a corrective action, the school
need not implement a significantly more rigorous and comprehensive
reform at the restructuring stage. Second, paragraph (b)(3)(v)
clarifies that a major restructuring of a school's governance may
include replacing the principal so long as this change is part of a
broader reform effort.
Section 200.44(a)(2) (public school choice) makes clear
that an LEA must offer, through the 14-day notice required under Sec.
200.37, the option to parents to transfer their child so that the child
may transfer in the school year following the school year in which the
LEA administered the assessments that resulted in its identification of
the school for improvement, corrective action, or restructuring.
Section 200.47 (SEA responsibilities for SES) contains
several changes.
--Paragraph (a)(1)(ii)(B) requires an SEA to post on its Web site, for
each LEA, the amount of funds the LEA must spend on choice-related
transportation and SES and the maximum per-pupil amount the LEA must
spend for SES.
--Paragraph (a)(3)(ii) requires an SEA to indicate on its list of
approved SES providers those that are able to serve students with
disabilities or LEP students.
--Paragraph (b)(2)(ii)(C) requires an LEA to ensure that the
instruction a provider gives and the content a provider uses are of
high quality, research-based, and specifically designed to increase the
academic achievement of eligible children.
Section 200.48 (funding for choice-related transportation
and SES) contains several changes.
--Paragraph (d)(1)(i) no longer requires an LEA to obtain approval from
its SEA before spending less than an amount equal to at least 20
percent of its Title I, Part A allocation (the ``20 percent
obligation'') on choice-related transportation, SES, and parent
outreach and assistance. Instead, revised paragraph (d)(2) requires an
LEA that wishes to use unspent choice-related transportation and SES
funds for other allowable activities to (1) meet, at a minimum, certain
criteria specified in paragraph (d)(2)(i), (2) maintain records
demonstrating that it has met those criteria, (3) notify the SEA that
it has met the criteria and that it intends to spend the remainder of
its 20 percent obligation on other allowable activities, and (4)
specify the amount of the remainder.
--Paragraph (d)(3) requires SEAs to ensure an LEA's compliance with the
criteria in paragraph (d)(2)(i) through its regular monitoring process.
However, in addition to its regular monitoring process, for any LEA
that (1) the SEA determines has spent a significant portion of its 20
percent obligation for other allowable activities and (2) has been the
subject of multiple complaints, supported by credible evidence,
regarding its implementation of the Title I public school choice or SES
requirements, the SEA must review the LEA's compliance with the
criteria in paragraph (d)(2)(i) by the beginning of the next school
year.
--Paragraph (d)(4)(i) provides that, if an SEA finds that an LEA has
failed to meet any of the criteria in paragraph (d)(2)(i), the LEA must
(1) spend an amount equal to the remainder specified in paragraph
(d)(2)(iii)(B) in the subsequent school year, in addition to its 20
percent obligation for that year, on choice-related transportation
costs, SES, or parent outreach and assistance; or (2) meet the criteria
in paragraph (d)(2)(i) and obtain permission from the SEA before using
any unspent choice-related transportation and SES funds for other
allowable activities in that subsequent school year.
--Under paragraph (d)(4)(ii), an SEA may not grant permission to an LEA
to spend less than the amount in paragraph (d)(4)(i)(A) unless the SEA
has confirmed the LEA's compliance with the criteria in paragraph
(d)(2)(i) for that subsequent school year.
--Paragraph (d)(2)(i)(A) requires an LEA that wishes to use unspent
funds from its 20 percent obligation for other allowable activities to
partner, ``to the extent practicable,'' with outside groups, such as
faith-based organizations, other community-based organizations, and
business groups to help inform eligible students and their families of
the opportunities to transfer or receive SES.
--Paragraph (d)(2)(i)(B)(3) requires an LEA to provide a minimum of two
enrollment ``windows,'' at separate points in the school year, that are
of sufficient length to enable parents of eligible students to make
informed decisions about requesting supplemental educational services
and selecting a provider.
Section 200.56 (definition of ``highly qualified
teacher'') makes clear that a special education teacher is a ``highly
qualified teacher'' under the ESEA if the teacher meets the
requirements for a ``highly qualified special education teacher'' under
the Individuals with Disabilities Education Act (IDEA).
Analysis of Comments and Changes
In response to the Secretary's invitation in the NPRM, 400 parties
submitted comments on the proposed regulations. An analysis of the
comments and changes in the regulations since publication of the NPRM
follows.
We discuss substantive issues under the sections of the regulations
to which they pertain. Generally, we do not address technical or minor
changes, and suggested changes that we are not authorized to make under
the law.
Section 200.2 State Responsibilities for Assessment
Comment: Numerous commenters argued that the definition of multiple
measures, as proposed in Sec. 200.2(b)(7), is far too narrow and
should be expanded to permit States to include, in their AYP
definitions, other measures of student performance such as written and
oral presentations and projects, student portfolios, performance
assessments, local assessments, teacher-designed assessments, and
curriculum-embedded assessments. Other commenters stated that formative
and adaptive assessments are widely used at the local level and asked
that they be specifically referenced in the regulations. One commenter
stated that student learning needs to be assessed throughout the year
with several assessments in order to determine how much students learn
during the school year. Several commenters recommended that the
regulations specifically reference alternate assessments based on
grade-level achievement standards as one way to meet the multiple
measures requirement.
Discussion: The Secretary's intent in amending Sec. 200.2(b)(7)
was to clarify the meaning of ``multiple measures'' in the context of
State assessment systems required under section 1111(b)(3) of the ESEA,
particularly in light of frequent criticisms that school accountability
should not be based only on a single assessment of student achievement.
Section 1111(b)(3)(C)(vi) of the ESEA requires that State assessments
``involve multiple up-to-date measures of student academic achievement,
including measures that assess higher-order thinking skills and
understanding.'' In proposed Sec. 200.2(b)(7), we clarified that this
requirement could be met by using
[[Page 64439]]
single or multiple question formats that range in cognitive complexity
within a single assessment or by using multiple assessments within a
subject area. We did not in any way intend to narrow the basic
definition of the term or to permit States to use only certain types of
assessments.
The requirement that State assessments involve multiple measures of
academic achievement is one of a number of requirements in section
1111(b)(3)(C) of the ESEA that all State assessments must meet (e.g.,
that State assessments are used to measure the achievement of all
children; that they are aligned with the State's challenging academic
content and student academic achievement standards; that they are valid
and reliable; and that they are of adequate technical quality for each
purpose used). These requirements do not prevent a State from using, in
determining AYP, results from other measures of student achievement
such as those mentioned by the commenters (e.g., local assessments;
curriculum-embedded assessments; performance assessments), provided
those measures are submitted for peer review and determined by the
Secretary to meet the statutory and regulatory requirements.
The Secretary does not believe it is necessary or appropriate to
refer to specific types of assessments, such as formative assessments,
adaptive assessments, and portfolio assessments, in Sec. 200.2(b)(7).
The key point is not the type of measure but the fact that any
assessment used by a State for accountability determinations must meet
the requirements in section 1111(b)(3)(C) of the ESEA and be approved
by the Secretary.
Changes: None.
Comment: Many commenters recommended that non-test-based measures
such as attendance rates, grade-point averages, graduation and dropout
rates, in-school retention rates, and the percentage of students taking
honors and advanced placement classes be included in AYP
determinations.
Discussion: The ESEA and the Department's current regulations
already both require and permit States to use non-test-based measures,
such as those recommended by the commenters, in AYP determinations.
Specifically, both section 1111(b)(2)(C)(vi) of the ESEA and current
Sec. 200.19(a)(1) (new Sec. 200.19(a) and (b)) require a State to
include at least one other academic indicator in its AYP
determinations, which must be the graduation rate for high schools and
an academic indicator of the State's choosing for elementary and middle
schools. A State may, at its discretion, also include additional
academic indicators. Current Sec. 200.19(b) (new Sec. 200.19(c))
provides examples of additional academic indicators that a State may
use, which include additional State or local assessments, the
percentage of students completing advanced placement courses, and
retention rates. As outlined in current Sec. 200.19(c) (new Sec.
200.19(d)), however, a State's other academic indicators must be valid
and reliable; consistent with relevant, nationally recognized
professional and technical standards, if any; and consistent throughout
the State within each grade span. Moreover, under Sec. 200.19(e), a
State may not use its other academic indicators to reduce the number
of, or change, the schools that would otherwise be subject to school
improvement, corrective action, or restructuring.
Changes: None.
Comment: One commenter stated that the Department should provide
more flexibility for LEAs to experiment with various assessment systems
that are aligned with the State's academic content and student academic
achievement standards, but developed with community and local
involvement and input.
Discussion: Section 200.3 specifically permits a State to include,
in the State assessment system that it uses to determine AYP, a
combination of State and local assessments. If a State permits the
inclusion of local assessments, however, the State must, among other
things, establish technical criteria to ensure that each local
assessment meets, for example, the statutory and regulatory
requirements for validity, reliability, and technical quality, and
demonstrate that the local assessments are equivalent to one another in
their content coverage, difficulty, and quality; have comparable
validity and reliability with respect to subgroups of students; and
provide unbiased, rational, and consistent determinations of the annual
progress of schools and LEAs within the State. Moreover, locally
developed assessments that are not included as part of the annual State
assessment system under section 1111(b)(3) of the ESEA may be used as
an additional other academic indicator under current Sec. 200.19(b)
(new Sec. 200.19(c)).
Changes: None.
Comment: Numerous commenters supported the proposed changes in
Sec. 200.2(b)(7). One of these commenters, however, expressed concern
that there may be continued confusion about the differences between the
use of multiple measures and the use of multiple non-academic
indicators in accountability determinations.
Discussion: Section 200.2(b)(7) addresses only the requirement in
section 1111(b)(3)(C)(vi) of the ESEA that State assessments involve
multiple, up-to-date measures of student academic achievement. As
discussed earlier, such measures must meet all the statutory and
regulatory requirements applicable to State assessments. Separate and
apart from this requirement is the flexibility for a State to include
multiple, additional academic indicators in making AYP determinations,
consistent with section 1111(b)(2)(C)(vii) and (b)(2)(D) of the ESEA
and current Sec. 200.19(b) (new Sec. 200.19(c)). These indicators,
however, may not be used to reduce the number of, or change, the
schools that would otherwise be subject to school improvement,
corrective action, or restructuring (see Sec. 200.19(e)).
Changes: None.
Comment: One commenter expressed concern that requiring multiple
types of questions on a State assessment could delay the reporting of
results. One commenter stated that including different types of
questions to assess higher-order thinking skills would add complexity
to an assessment and may increase the time it takes to score the
assessment and make AYP determinations. Another commenter stated that
the language in the proposed regulations did not describe how States
should assess higher-order thinking skills.
Discussion: We wish to emphasize that the new language in Sec.
200.2(b)(7) is intended merely to clarify the several ways a State may
involve multiple measures in the State's assessment system. If a State
chooses to make a substantive revision to its assessment system by
changing the way it implements the multiple measures requirement in
Sec. 200.2(b)(7), it must submit its proposed change to the Department
for peer review. Otherwise, no actions are required by States as a
result of the amendment to this section.
Changes: None.
Comment: One commenter stated that the regulations on multiple
measures set a bar that any State could currently claim to meet.
Another commenter asked why the requirement to use multiple measures to
assess student achievement and higher-order thinking skills was not
negotiated as a part of the original State accountability plans, given
the statutory mandate that such measures be used. Another commenter
asked why the Department is only now emphasizing that multiple
assessments may be used in States' accountability systems. One
commenter stated that the Department objected to multiple
[[Page 64440]]
measures in the early implementation of the NCLB amendments to the ESEA
and asked why the Department has changed its position.
Discussion: The Secretary explained in the preamble to the NPRM
that the changes to Sec. 200.2(b)(7) simply clarify section
1111(b)(3)(C)(vi) of the ESEA, which requires State accountability
systems to include multiple up-to-date measures of student academic
achievement. We believe it is necessary to make these clarifications
based on our understanding that some parents, teachers, and
administrators mistakenly believe that the ESEA requires the use of a
single assessment. The changes do not impose new requirements or
require States to change their current assessment systems; nor do they
represent a change in the Department's position. The Department has
consistently made clear to States, since the early implementation of
NCLB, that multiple assessments may be used to measure student
achievement in a subject area in order to assess mastery of the breadth
of a particular content domain, provided that all assessments used to
determine AYP meet the applicable statutory and regulatory
requirements. There are States, for example, that currently use reading
and writing assessments to calculate AYP in reading/language arts or
use algebra and probability assessments to calculate AYP in
mathematics. These policies may continue under the revised regulation.
Changes: None.
Comment: One commenter requested clarification regarding whether a
State that uses multiple assessments to measure achievement must ensure
that those assessments are uniform throughout the State.
Discussion: Section 1111(b)(1)(B) of the ESEA and Sec. 200.1 make
clear that a State must adopt challenging academic content and student
achievement standards, which must be the same standards the State
applies to all students. A State's assessments must be aligned with
those standards. Therefore, a State's assessments, although they need
not necessarily be uniform, must measure the same content and the same
level of achievement.
Changes: None.
Comment: One commenter objected to the provision in proposed Sec.
200.2(b)(7)(i), which stated that multiple measures may include a
single-question format to measure student achievement. The commenter
recommended removing the words ``single or'' in Sec. 200.2(b)(7)(i).
Discussion: We believe that States should have the flexibility to
assess student academic achievement, as defined by the State, using a
single-question format. Assessments that use one type of question
format are able to, and in fact are required to, assess varying levels
of cognitive complexity and higher-order thinking skills. Therefore, we
decline to make the change suggested by the commenter.
Changes: None.
Comment: One commenter stated that the proposed regulation would
define multiple measures in a way that undermines the ESEA by subsuming
the multiple-measures requirement within the requirement to assess
higher-order thinking skills and understanding of challenging content.
The commenter stated that the purpose of multiple measures is to ensure
the validity and reliability of judgments about proficiency, as
required by the ESEA, by providing multiple ways for students to
demonstrate proficiency in the same skills and knowledge. The commenter
maintained that the regulation, as drafted, implies that the purpose of
multiple measures is to assess higher-order thinking skills and
understanding of challenging content. The commenter recommended that
the Department (1) remove the proposed language and retain the language
in the current regulations; (2) clarify that, in order to achieve the
overall purpose of ensuring validity and reliability of the proficiency
determinations made under the ESEA, multiple measures must include
different ways of measuring the same proficiencies of students in the
knowledge and skills identified in the State's standards; and (3)
provide guidance on how multiple measures can be combined in order to
make valid and reliable determinations of a student's proficiencies.
Discussion: The regulations provide clarifications that are
necessary to ensure that States understand that their assessments may
include single or multiple question formats and that they may use
multiple assessments to measure achievement in a specific content
domain. They also refer to assessments that measure objectives within a
particular content domain and assessments with items that both measure
higher-order thinking skills (e.g., reasoning, synthesis, and analysis)
and knowledge and recall items that assess the depth and breadth of
mastery of a particular content domain. The changes requested by the
commenter are not necessary given the purpose of the amendments to this
particular section of the regulations.
Changes: None.
Comment: Many commenters recommended that the final regulations in
Sec. 200.2(b)(7) include language requiring that assessments use the
principles of ``universal design'' in order to increase the
accessibility of assessments for a wide variety of students.
Discussion: Although we agree that using the principles of
universal design in developing assessments would increase the
accessibility of assessments, we do not believe it is necessary to
include such a requirement in these regulations. Section 200.2(b)(2)
already requires State assessments to be ``designed to be valid and
accessible for use by the widest possible range of students, including
students with disabilities and students with limited English
proficiency.'' In addition, the regulations in 34 CFR 300.160(g)
implementing the IDEA require States to use universal design
principles, to the extent possible, in developing all general State and
district-wide assessment programs, including assessments described
under section 1111 of the ESEA.
Changes: None.
Section 200.7 Disaggregation of Data
Comment: Many commenters objected to the Department's proposal to
amend Sec. 200.7, which would require a State to determine the minimum
number of students sufficient to yield statistically reliable
information for each purpose for which disaggregated data are used and
to ensure, to the maximum extent practicable, that all student
subgroups are included, particularly at the school level, for purposes
of making accountability decisions. Several commenters did not agree
with the statement in the preamble to the NPRM that nearly 2 million
students are not counted in NCLB subgroup accountability determinations
at the school level because States set unnecessarily large minimum
group sizes. The commenters asserted that this statement is not based
on peer-reviewed research by reputable scholars. One of the commenters
argued that the statement ignores the fact that every child is included
in at least one group (the ``all students'' group) either at the school
or LEA level. Other commenters objected to statements in the preamble
that the commenters interpreted to be a suggestion by the Department
that States set their minimum group size in order to exclude certain
subgroups and minority students from accountability determinations.
These commenters maintained that States set minimum group sizes in
order to protect the privacy of students and not to exclude certain
subgroups and minority students from accountability determinations.
[[Page 64441]]
Another commenter stated that the proposed changes would result in
schools being identified for improvement based on the scores of too few
students.
Discussion: The Secretary's intent in amending Sec. 200.7 was to
ensure that schools and LEAs are held accountable for the achievement
of all their students. The Department recognizes that, when reporting
information to the public, States must balance the need to maintain
student privacy and the need for statistically reliable information
with the clear intent of the statute to hold schools and LEAs
accountable for the achievement of their subgroups. Further, if schools
and LEAs are held accountable only for the achievement of their
students as a whole, the importance that the ESEA places on
disaggregated data and subgroup accountability would be diminished.
Section 1111(b)(2)(C)(v) of the ESEA requires a State to define AYP
so that its annual measurable objectives apply to all students as well
as to specific subgroups of students--that is, economically
disadvantaged students, students from major racial and ethnic groups,
students with disabilities, and LEP students. Section 1111(b)(2)(I) of
the ESEA makes clear that, for a school or LEA to make AYP, all
students as well as each subgroup of students must meet or exceed the
State's annual measurable objectives. This emphasis on subgroup
accountability is one of the major changes that Congress made to the
ESEA's accountability provisions when it enacted NCLB. In fact, as
stated in section 1001(3) of the ESEA, one of the primary purposes of
NCLB is to close the achievement gap between high- and low-performing
students, especially the achievement gaps between minority and non-
minority students and between disadvantaged children and their more
advantaged peers. This purpose could not be accomplished without
subgroup accountability.
Disaggregated accountability is tempered only by the need to ensure
statistical reliability and to protect student privacy. Thus, section
1111(b)(2)(C)(v) of the ESEA and Sec. 200.7 do not require
accountability determinations by student subgroup if the size of the
subgroup is too small to yield statistically reliable information or is
such that personally identifiable information about individual students
would be revealed. Logically, the larger a State's minimum group size,
the less likely that students in a subgroup will constitute an
accountability group, particularly at the school level, and that the
school will be held accountable for the performance of that subgroup.
Thus, it is appropriate that the regulations require States to find the
optimal minimum group size that maximizes the inclusion of student
subgroups in accountability decisions.
It is important to note that these regulations amend Sec.
200.7(a), which is intended to ensure that the minimum group size that
is used by a State to calculate proficiency rates in AYP determinations
yields statistically reliable information. Section 200.7(b) of the
current regulations includes an additional requirement with which a
State must comply when reporting information to the public.
Specifically under this section, a State may not report achievement
results if the results would reveal personally identifiable information
about an individual student in accordance with the Family Educational
Rights and Privacy Act (FERPA). 20 U.S.C. 1232g; 34 CFR part 99.
Because the threshold (i.e., the number of students) that a State uses
to ensure that it does not reveal personally identifiable information
is generally lower than the threshold it uses for ensuring its
proficiency calculations yield statistically reliable information, a
State can, and often does, establish separate minimum group sizes for
calculating proficiency rates and for reporting assessment results.
Changes: None.
Comment: Some commenters stated that the proposed regulations did
not go far enough to ensure that States use statistically reliable
methods to determine minimum group size. Several commenters recommended
that the Department establish a uniform minimum group size for all
States. A few commenters recommended a minimum group size of between 10
and 20 with confidence intervals that do not exceed 95 percent. Another
commenter recommended a minimum group size of no greater than 30 and no
confidence intervals greater than 90 percent. Several commenters
supported a minimum group size of 67.
Other commenters argued that a State should be permitted to use
confidence intervals along with their minimum group size in making AYP
determinations. One commenter stated that a small minimum group size
requires larger confidence intervals to make accurate school and LEA
AYP determinations. Some commenters, however, stated that confidence
intervals exceeding 95 percent are unwarranted. Still other commenters
argued that confidence intervals greater than 90 percent should not be
allowed.
Discussion: The diversity of recommendations by commenters reflects
the lack of consensus in the education community on a uniform minimum
group size that all States would be required to use. Given this lack of
consensus, as well as the lack of research supporting the use of a
specific number, we believe the requirements in Sec. 200.7 establish a
reasonable approach to ensuring that States establish minimum group
sizes that appropriately balance statistical reliability and privacy
with the statutory emphasis on disaggregation and subgroup
accountability.
A State's minimum group size must be large enough to produce
statistically reliable information and protect students' privacy, yet
small enough to maximize the inclusion of student subgroups in
accountability decisions. Further, the Department believes that a
State's minimum group size must be considered along with other
components of a State's AYP definition. Therefore, Sec.
200.7(a)(2)(ii) requires a State to explain how a State's minimum group
size interacts with the other components of its AYP definition to
affect the statistical reliability of the data, and to ensure the
maximum inclusion of students and student subgroups in AYP
determinations.
The National TAC will provide advice to the Department on how a
State should consider the interactions of the various components in its
AYP definition (such as the interaction of minimum group size and
confidence intervals). In addition, external peer reviewers will review
the evidence submitted by a State in order to help ensure that the
State is establishing a system that leads to statistically sound AYP
determinations and also maximizes the inclusion of all students and
student subgroups while ensuring student privacy.
Changes: None.
Comment: A few commenters requested that the Department consider
requiring States and LEAs to include additional groups in the student
subgroups referenced in proposed Sec. 200.7(a)(2). One commenter
suggested that the Department require States and LEAs to disaggregate
data for AYP determinations not only for students with disabilities but
by disability category.
Discussion: Although the Secretary understands the intent of these
comments, we do not think it is appropriate to expand the subgroups
covered by this regulation beyond those specified in the ESEA and Sec.
200.13(b)(7)(ii). We believe that the inclusion of these subgroups is
sufficient to ensure meaningful and comprehensive accountability for
all students. Further, the more specific the
[[Page 64442]]
categories (e.g., individual disability categories), the smaller the
groups would be and, therefore, the less likely they would meet a
State's minimum group size and be reflected in accountability
determinations.
Changes: None.
Comment: Another commenter, wanting to gain more information about
the extent to which accountability systems exclude highly mobile
students from accountability determinations, suggested that proposed
Sec. 200.7(a)(2) require States to provide information about the
number of students excluded from accountability determinations due to
student mobility.
Discussion: We agree with the commenter and believe Sec.
200.7(a)(2)(ii)(C) already requires a State to provide information in
its Accountability Workbook about students excluded from accountability
determinations due to student mobility. Section 200.7(a)(2)(ii)(C)
requires a State to provide information regarding the number and
percentage of students and student subgroups excluded from school-level
accountability determinations. This requirement encompasses subgroups
that are excluded from school-level accountability determinations as a
result of the State's minimum group size and other statistical
principles, as well as students excluded from school-level
accountability determinations as a result of not attending the same
school for a ``full academic year.''
Changes: None.
Comment: One commenter stated that lowering a State's minimum group
size would have a profound impact on small schools because the
assessment results from one or two students could affect AYP
determinations.
Discussion: It is true that if a State, through the process
outlined in the final regulations, adopts a smaller minimum group size,
the number of schools with student subgroups included in AYP
calculations is likely to increase. A State's minimum group size,
however, would still need to be of sufficient size to yield
statistically reliable information and protect the privacy of
individual students. Thus, it is unlikely that one or two students
would have a deleterious effect on AYP determinations, except when a
subgroup is at or near a State's minimum group size. In that case, the
performance of one or two students could affect AYP determinations no
matter what the minimum group size is. We believe that the requirement
that States adopt an optimal minimum group size strikes a balance
between the need to produce statistically reliable information and the
goal of maximizing inclusion of student subgroups in accountability.
When this balance is achieved, students in all schools, including small
schools, benefit because their schools are held accountable for their
achievement.
Changes: None.
Comment: One commenter recommended that States be allowed to use a
specific number or percentage of a population in their definition of
minimum group size.
Discussion: Any State that uses or wishes to use a minimum group
size that is based on a specific number or percentage of the school
population would need to demonstrate how this method yields
statistically reliable information for each purpose for which
disaggregated data are used and ensure that, to the maximum extent
practicable, all groups are included for the purposes of making
accountability determinations, consistent with Sec. 200.7(a)(2)(i).
Changes: None.
Comment: One commenter recommended that the regulations clarify
whether the minimum group size applies to graduation rate calculations.
Discussion: Section 200.7(a)(2)(i)(A) requires a State to establish
a minimum group size that yields statistically reliable information for
each purpose for which disaggregated data are used. Therefore, minimum
group size, and the requirements that accompany it, applies to
determining whether a group has met the State's annual measurable
objectives; whether it has at least a 95 percent participation rate;
whether it made AYP based on ``safe harbor;'' and whether it met the
State's objectives for the other academic indicators, including
graduation rate. Minimum group size also applies to reporting
achievement data to the public. The Department believes that the
current language is clear and declines to amend the regulations.
Changes: None.
Comment: Many commenters expressed concerns regarding the provision
in proposed Sec. 200.7(a)(2)(ii) that would require a State to revise
its Accountability Workbook to include information about its minimum
group size and the students and student subgroups excluded from school-
level accountability determinations. Several commenters representing
States asserted that revising their Accountability Workbook would be an
unnecessary fiscal and staffing burden. Others stated that the time and
resources needed to revise the Accountability Workbook were
significantly underestimated in the Summary of Costs and Benefits in
the NPRM. One commenter stated that requiring a State to revise its
Accountability Workbook gives the perception that the State is
concealing its data.
A number of other commenters supported proposed Sec.
200.7(a)(2)(ii). Several commenters recommended making information
about the exclusion of students from accountability determinations more
transparent by requiring a State to report: (a) The results of
empirical or simulation studies and the process the State used to
select its minimum group size; and (b) the number and percentage of
subgroups that made AYP using the ``safe harbor'' provision or
confidence intervals. The commenters recommended including information
about the exclusion of students from accountability determinations on
State and LEA report cards because the public is more likely to read a
report card than an Accountability Workbook.
Discussion: Transparency is a key element of NCLB. The Department
believes it is appropriate for a State to explain in its Accountability
Workbook the effect that the various components of the State's AYP
definition have on the inclusion of students and student subgroups in
accountability determinations. Making this information available
through a State's Accountability Workbook will enable the public to
gain a better understanding of how schools are being held accountable
for the performance of their students and student subgroups.
We disagree that the requirements in Sec. 200.7(a)(2)(ii) are
unnecessary or give the impression that a State is concealing data. We
believe that the benefits of increasing transparency and accountability
greatly outweigh the costs to a State of revising its Accountability
Workbook. We address the specific concerns about the costs of revising
Accountability Workbooks in the Summary of Costs and Benefits section
later in this preamble.
We do not believe it is necessary to require a State to submit the
additional information recommended by the commenters. Although some
States may include the information recommended by the commenters in
their Accountability Workbook, we believe that States should have
flexibility in how they address the requirements in Sec.
200.7(a)(2)(ii). We also do not agree that the information included in
a State's Accountability Workbook should be included on State and LEA
report cards. The information in Sec. 200.7(a)(2)(ii) that a State is
required to submit to the Department is more appropriately provided in
the State's Accountability Workbook where the
[[Page 64443]]
various elements of the State's AYP definition are outlined and to
ensure peer review of those elements.
Changes: None.
Comment: Several commenters objected to requiring a State to submit
a revised Accountability Workbook six months following the effective
date of the final regulations. The commenters stated that a six-month
timeline is too short and is unrealistic given that each State would
need to conduct an extensive policy review to establish its minimum
group size. Other commenters requested that the Department wait until
Congress reauthorizes the ESEA before requiring a State to revise its
Accountability Workbook because reauthorization will likely require
additional changes to States' accountability systems.
Discussion: In order to have a cohesive accountability system, a
State must understand how the various components of its AYP
determinations fit together to provide accurate accountability
decisions. The Secretary believes that now, more than six years after
the implementation of NCLB, is an appropriate time for a State to
reexamine its policies to ensure that there is a balance between, on
the one hand, the need for statistical reliability of AYP
determinations and students' privacy and, on the other hand, the need
to ensure maximum inclusion of students and student subgroups in
accountability determinations. Since receiving initial approval for its
accountability system, every State has amended its Accountability
Workbook with respect to the definition of AYP. Although the Department
has worked to ensure that any amendments to a State's AYP definition
are considered within the context of other components in the
definition, we believe that now is an appropriate time to reexamine how
the components fit together to ensure that sound accountability
decisions are made.
However, the Department recognizes that it will take some time for
the National TAC to provide input on the types of evidence the
Secretary should consider in reviewing a State's Accountability
Workbook and for the Department to provide guidance to States.
Therefore, we have revised Sec. 200.7(a)(2)(iii) to require a State to
submit the required information in time for changes to be in effect for
school year 2010-2011 AYP determinations using school year 2009-2010
assessment results.
Changes: We have revised Sec. 200.7(a)(2)(iii) to require each
State to submit a revised Consolidated State Application Accountability
Workbook in accordance with paragraph (a)(2)(ii) to the Department in
time for any changes to be in effect for school year 2010-2011 AYP
determinations based on school year 2009-2010 assessment results.
Comment: A few commenters recommended that Sec. 200.7(a)(2)(ii)(C)
be revised to refer to ``school-level subgroup accountability'' rather
than ``school-level accountability.'' The commenters stated that
students in an excluded group would still be included in the overall
school AYP calculation and that it is important to be clear that the
concern is with students who are excluded from school-level
accountability determinations.
Discussion: We believe Sec. 200.7(a)(2)(ii)(C) appropriately
requires each State to provide information regarding the number and
percentage of students and student subgroups that are excluded from
school-level accountability determinations, which will include, but not
be limited to, students from various subgroups who are excluded from
accountability determinations. In addition to a State's minimum group
size, other factors in a State's AYP definition affect the inclusion of
students at the school level. For example, a State's definition of
``full academic year'' also affects the number of students who are
excluded from school-level accountability determinations. We believe it
is important to understand the full impact of the components that
converge to make up a State's definition of AYP at both the school and
subgroup levels. Therefore, we decline to make the suggested change.
Changes: None.
Comment: A few commenters supported the requirements in Sec.
200.7(a)(2)(ii) regarding the submission of Accountability Workbooks,
but stated that the additional data collection will be costly. The
commenters requested that Congress provide additional funding and
resources to allow States to upgrade their data systems.
Discussion: Section 200.7(a)(2)(ii) requires a State, in its
Accountability Workbook, to: (a) Explain how the State's minimum group
size yields statistically reliable information and ensures that all
student subgroups, to the maximum extent practicable, are included in
AYP determinations; (b) explain how components of the State's
definition of AYP, in addition to the minimum group size, interact to
affect the statistical reliability of the data and to ensure the
maximum inclusion of all students and student subgroups; and (c)
provide information regarding the number and percentage of students and
student subgroups excluded from school accountability determinations.
Considering that a State uses this information each year to make AYP
determinations, the Department believes that the State should have this
information readily available and should not have to collect additional
data. In addition, evaluating a State's definition of AYP is a
statutory requirement and part of what is required in an Accountability
Workbook. We address other more specific concerns about the costs of
revising Accountability Workbooks in the Summary of Costs and Benefits
section.
With regard to the commenters' request for additional funding and
resources for a State to upgrade its data systems, the Department's
Institute of Education Sciences (IES) Statewide Longitudinal Data
Systems program has provided almost $122 million to 27 States to
design, develop, and implement statewide longitudinal data systems that
can accurately manage, analyze, disaggregate, and use individual
student data. The President's fiscal year 2009 budget request for this
program is $100 million, a significant increase intended to support new
awards to States that have not yet received funding, as well as to
support the expansion of systems in previously funded States. The 2009
request would support approximately 32 awards for developing
longitudinal data systems or expanding existing data systems.
Changes: None.
Comment: One commenter suggested that the Department identify
States that need to change their minimum group size and require only
those States to revise their Accountability Workbooks. Another
commenter recommended that the Department establish a specific minimum
group size and require States that want a different minimum group size
to revise their Accountability Workbooks.
Discussion: The Department believes that each State should re-
examine its minimum group size, along with the other components of its
AYP definition, in order to ensure that the components interact to
provide statistically reliable information while maximizing the
inclusion of students and student subgroups in accountability
determinations. Section 200.7(a)(2)(ii) is focused not only on a
State's minimum group size, but also on ensuring that the entirety of a
State's AYP definition is coherent and results in statistically
reliable accountability determinations. For the reasons stated
previously in this section, at this time, we do not believe
[[Page 64444]]
it is appropriate to establish one minimum group size for all States.
Changes: None.
Comment: One commenter expressed concern that decisions regarding
minimum group size would be partisan and biased if States were required
to justify their minimum group size to the National TAC.
Discussion: The National TAC will not evaluate States' minimum
group size. Rather, the National TAC will provide advice to the
Department on how States should consider the interactions of the
various components in their AYP definition and will provide
recommendations to the Secretary that the Secretary and peer reviewers
may consider when reviewing each State's revised Accountability
Workbook. We note that the National TAC is a nonpartisan group that is
subject to Federal Advisory Committee Act (FACA) requirements, thus
guarding against any perception that its recommendations are based on
anything but sound education policy.
Changes: None.
Comment: None.
Discussion: In the course of our internal review of the proposed
regulations, we determined that the regulations should refer to
``minimum group size'' rather than ``minimum subgroup size'' because
AYP determinations are made for the ``all students'' group as well as
student subgroups.
Changes: We have revised Sec. 200.7(a)(2)(ii) to change the term
``minimum subgroup size'' to ``minimum group size.''
Section 200.11 Participation in NAEP
Section 200.11(c) Report Cards
Comment: Many commenters supported the proposal in Sec. 200.11(c)
that States and LEAs be required to include results from the NAEP on
their report cards, stating that this information provides an important
tool to help the public evaluate and compare results across States and
to help parents learn more about how the rigor of their State's
standards and assessments might compare with other States and with
national benchmarks.
However, several commenters recommended that the regulations
encourage, but not require, States to include NAEP results on State and
LEA report cards. One commenter maintained that States should have the
discretion to determine whether information on the NAEP would be
valuable to the public and, if so, how to disseminate it. Several
commenters stated that it is unnecessary to require States to include
NAEP results on State and LEA report cards because many States already
post NAEP results on their Web sites. Other commenters recommended
requiring NAEP results to be posted on State and LEA Web sites instead
of requiring that they be included on SEA and LEA report cards. One
commenter stated that State Web sites are the most appropriate vehicle
for making publicly available comparisons of results from State
assessments and the NAEP and for communicating the relationship between
the NAEP and State assessments. Finally, several commenters stated that
this proposed requirement could be viewed as an effort to push States
to adopt a national curriculum that is aligned with the standards and
curriculum implicit in the NAEP.
Discussion: The NAEP is the only nationally representative and
continuing assessment of what America's students know and can do in
various grades and subject areas and, therefore, is an important source
of information about student achievement. The Secretary believes that
NAEP data should be easily accessible and available to parents and the
public in order to provide them with a tool for comparing how students
in a State are performing on the NAEP with how students in the State
are performing on State assessments.
The Department does not believe that giving States the option to
include NAEP data on State and LEA report cards or requiring only that
they post NAEP results on State or LEA Web sites would be sufficient.
We believe that including NAEP results on State and LEA report cards
provides the greatest transparency and gives parents easy access to an
important tool for assessing the educational performance of students in
their State. We also do not agree with commenters who stated that
requiring the inclusion of NAEP data on State and LEA report cards may
be viewed as an effort to push States to adopt a national curriculum
aligned with the standards and curriculum implicit in the NAEP. The
purpose of requiring State and LEA report cards to include NAEP results
is to ensure that NAEP results are easily accessible and available to
parents and the public.
Changes: None.
Comment: A number of commenters supported requiring NAEP results on
State report cards, but not on LEA report cards. One commenter stated
that State NAEP results on LEA report cards would be irrelevant to
parents because the data would not help a parent decide which school
their child should attend. Other commenters stated that including the
information on LEA report cards would lead parents and the public to
conclude, mistakenly, that students in that LEA participated in the
NAEP.
Discussion: While we agree that including NAEP results on LEA
report cards will not likely help a parent decide which school their
child should attend, we believe that t