ESEA Flexibility

Guidance for Renewal Process

For Windows 1 and 2 States

August 29, 2013
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ESEA FLEXIBILITY – RENEWAL GUIDANCE FOR WINDOW 1 AND 2 STATES U.S. DEPARTMENT OF EDUCATION

INTRODUCTION

In September 2011, the U.S. Department of Education (Department) offered each State educational 

agency (SEA) the opportunity to request flexibility, on behalf of itself and its local educational 

agencies (LEAs) and schools, to help them move forward with State and local reforms designed to 

improve student learning and increase the quality of instruction for all students. This voluntary 

opportunity provides educators and State and local leaders with flexibility regarding specific 

requirements of the Elementary and Secondary Education Act of 1965 (ESEA), as amended by the 

No Child Left Behind Act of 2001, in exchange for rigorous and comprehensive State-developed 

plans designed to improve educational outcomes for all students, close achievement gaps, increase 

equity, and improve the quality of instruction (ESEA flexibility). 

SEAs, LEAs, and schools implementing ESEA flexibility are meeting a high bar. They are holding 

all students to high standards, and protecting students by ensuring that low-achieving students in 

each subgroup are identified for targeted interventions based on need. ESEA flexibility also 

challenges SEAs to meet the goal of having an effective teacher in every classroom and an effective 

principal in every school. 

Through its four core principles, ESEA flexibility builds on and supports significant State and local 

reform efforts. Under Principle 1, each SEA is implementing college- and career-ready standards, 

which serve as the basis for what all students are taught, and will implement high-quality

assessments aligned to those standards, to ensure that every student graduates from high school 

college- and career-ready. Under Principle 2, each SEA is implementing targeted and differentiated

accountability systems, providing rigorous supports and interventions to the lowest-performing

schools and schools with the lowest graduation rates, and identifying and supporting low-achieving

students based on need. Under Principle 3, each SEA is implementing teacher and principal 

evaluation and support systems that provide teachers and principals with the feedback and support 

they need to improve their practices and increase student achievement. Under Principle 4, each SEA 

is working to reduce duplication and unnecessary burden. Additional details about ESEA flexibility 

and its principles are described in the document titled ESEA Flexibility (updated June 7, 2012, and 

available at: http://www.ed.gov/esea/flexibility/documents/esea-flexibility-acc.doc).

The Department invited interested SEAs to request this flexibility pursuant to section 9401 of the 

ESEA, which allows the Secretary to waive, with certain exceptions, statutory or regulatory 

requirements of the ESEA for an SEA that receives funds under a program authorized by the ESEA 

and requests a waiver. Approvals of State requests have occurred in several iterations: Window 1, 

for which SEAs submitted requests in November 2011; Window 2, for which SEAs submitted 

requests in February 2012; Window 3, for which SEAs submitted requests in September 2012; and 

Window 4, for which SEAs submitted requests in spring 2013. Generally, the Department approved 

the requests of SEAs that requested flexibility in Windows 1 and 2 through the end of the 2013–

2014 school year. The Department is now inviting Window 1 and Window 2 SEAs to request a

two-year renewal of ESEA flexibility through the end of the 2015–2016 school year. In the event 

that Congress reauthorizes the ESEA prior to the end of the 2015–2016 school year, the 

Department will provide guidance on the transition to the new law. 

 
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ESEA FLEXIBILITY – RENEWAL GUIDANCE FOR WINDOW 1 AND 2 STATES U.S. DEPARTMENT OF EDUCATION

An SEA seeking renewal of ESEA flexibility must submit an updated ESEA flexibility request

describing how it will continue to meet the four principles and, consistent with ESEA section 

9401(d), demonstrate that the waivers have been effective in enabling the State to carry out the 

activities for which the waivers were requested, they have contributed to improved student 

achievement, and their extension is in the public’s best interest. In order to receive renewal, an SEA 

must address each of the items described below (Sections I—III of this document), provide 

narrative responses within its currently approved ESEA flexibility request and attach any new 

documentation or evidence where appropriate, and submit a revised version of its currently 

approved flexibility request to the Department. In addition, the SEA must submit a completed

ESEA flexibility renewal form indicating where changes have been made in its currently approved 

ESEA flexibility request. If an SEA’s request for ESEA flexibility is not renewed, the SEA and its 

LEAs will be required to resume complying with all ESEA requirements by the beginning of the 

2014–2015 school year, including making adequate yearly progress (AYP) determinations based on 

assessments administered during the 2013–2014 school year, identifying schools and LEAs for 

improvement, and taking required improvement actions, including offering and paying for 

supplemental educational services and transportation for public school choice, as required by Title I 

of the ESEA. The Department has set the deadlines for renewal submissions outlined below to 

allow sufficient time for the Department to review the submissions and make determinations prior 

to the beginning of the 2014–2015 school year.

The request for renewal of ESEA flexibility also provides an opportunity for an SEA to strengthen 

its initial request as part of a continuous improvement process to ensure it is improving student 

achievement and increasing the quality of instruction. An SEA may choose, but is not required, to 

amend its currently approved ESEA flexibility request to make any additional changes it deems 

necessary to improve implementation moving forward and/or to reflect more accurately 

implementation activities that have already occurred (Section IV).

The purpose of each of the requirements, that must be met, to receive renewal is to confirm that an 

SEA is meeting its commitments in accordance with the principles and timelines of ESEA flexibility. 

To assist in the renewal process, the Department will perform a data analysis, described below, to 

confirm that schools and subgroups are being properly identified and supported under the State 

systems. After only a year and a half of implementation, it is too early to use student outcomes in 

making renewal decisions, however the Department anticipates that any future extension of these 

waivers will be outcomes-driven, based primarily on whether or not an SEA has improved student 

achievement and made progress towards closing achievement gaps. 

REVIEW AND EVALUATION OF REQUESTS FOR RENEWAL

The Department will review SEA requests for renewal of ESEA flexibility against the principles of 

ESEA flexibility, as well as the specific information requested in this document. As in the initial 

review process, this renewal process will ensure that each request approved by the Department is 

consistent with the principles of ESEA flexibility; is likely to close achievement gaps, improve 

student academic achievement, and increase the quality of instruction; and is both educationally and 

technically sound. Similar to the initial invitation to request flexibility, each SEA will have the

opportunity, if necessary, to clarify its plans and to resolve issues that may arise during the review. 
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ESEA FLEXIBILITY – RENEWAL GUIDANCE FOR WINDOW 1 AND 2 STATES U.S. DEPARTMENT OF EDUCATION

GENERAL INSTRUCTIONS

An SEA seeking approval to continue to implement ESEA flexibility must submit a revised version 

of its currently approved flexibility request that addresses all items described below and, when 

indicated, includes a high-quality plan or process. Consistent with ESEA section 9401(d), the 

Department intends to renew ESEA flexibility through the end of the 20152016 school year. In 

order to provide a complete picture of an SEA’s reform efforts and demonstrate how ESEA 

flexibility will continue to improve student achievement for all students, close achievement gaps, and 

increase the quality of instruction, each SEA must submit a revised flexibility request that includes in 

redline: any changes made to the currently approved flexibility request; all narrative responses to the 

items described below (Sections I – III of this document) and, where appropriate and not already 

provided during monitoring1, any documentation and evidence addressing each of the items listed 

below and on the ESEA flexibility renewal form. In addition, any SEA is invited to make additional 

changes to its approved request in order to address challenges, build on successes from early 

implementation, or further align its implementation with other reform efforts within the SEA. To 

ensure transparency, an SEA may also choose to make amendments to its request to reflect more 

accurately its ESEA flexibility implementation to date. 

High-Quality Plans and Processes: An SEA is not required to submit an entirely new ESEA 

flexibility request. Each SEA need address only the items below by embedding narrative responses 

and evidence, as necessary, in redline within its currently approved flexibility request. 

When the renewal guidance states that an SEA must submit a high-quality plan, the Department is 

seeking a new plan in an SEA’s currently approved flexibility request. This plan should reflect 

continuous improvement of ESEA flexibility systems by building on data, evidence, or feedback 

from the first two years of implementation of ESEA flexibility, and should include, at a minimum:

key activities to be accomplished, a detailed timeline, parties responsible, supporting evidence, and 

resources necessary to complete key activities that will occur in school years 2014–2015 and 2015–

2016.

When the renewal guidance states that an SEA must describe a process, the Department is seeking 

additional information about how the SEA is implementing and executing its plans under its 

currently approved flexibility request.

Preparing the Request: To prepare a high-quality request for renewal of ESEA flexibility, an SEA 

should continue to refer to the document titled ESEA Flexibility, which includes the principles, 

definitions, and timelines. Additionally, the document titled ESEA Flexibility Frequently Asked 

Questions provides helpful guidance for SEAs regarding the effective implementation of ESEA 

flexibility. Please note that all guidance provided in the document titled ESEA Flexibility Frequently 

 

1 The Department will be monitoring Window 1 and Window 2 states between May, 2013 thru October, 2013. This 

monitoring cycle will focus on assessing the implementation of elements from an SEA’s approved ESEA flexibility 

request for Principles 1, 2, and 3. This monitoring will also assess an SEA’s systems and processes that are 

fundamental to supporting implementation of ESEA flexibility and improving student outcomes, with specific focus 

on elements related to monitoring, technical assistance, data collection and use, and family and community 

engagement and outreach.
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ESEA FLEXIBILITY – RENEWAL GUIDANCE FOR WINDOW 1 AND 2 STATES U.S. DEPARTMENT OF EDUCATION

Asked Questions applies to all SEAs requesting renewal of ESEA flexibility. In order to receive 

renewal, an SEA must ensure that its flexibility request complies with all requirements of ESEA 

flexibility, consistent with the guidance issued by the Department.

As used in this guidance, the following terms have the definitions set forth in the document titled 

ESEA Flexibility: (1) college- and career-ready standards, (2) focus school, (3) high-quality 

assessment, (4) priority school, (5) student growth, and (6) turnaround principles. 

Each SEA request for renewal of ESEA flexibility must provide the following, through redline edits 

to its most current approved ESEA flexibility request, as well as relevant attachments, if necessary

(page numbers are references to pages within this document):

 Waivers requested and assurances given;

 A description of how the SEA has met the consultation requirements, consistent with 

Section I (p. 6);

 A narrative response updating the SEA’s currently approved ESEA flexibility request to 

address each of the items under Sections II and III (pp. 6-11) and, where applicable and 

not provided through monitoring, evidence of updated plans and processes responsive 

to those items; and

 Any other amendments beyond the requested items, and a rationale supporting each of 

those amendments, consistent with Section IV (p. 11). 

An SEA must use the text boxes provided on the ESEA flexibility renewal form to indicate the page 

numbers where changes have been made or attachments have been added in the request. 

Please ensure that a request does not include personally identifiable information.

Process for Submitting a Renewal Request: In order to be considered for renewal of ESEA 

flexibility, an SEA must submit a redlined flexibility request to the Department, together with a 

completed copy of the ESEA flexibility renewal form indicating the page numbers where edits have 

been made and attachments have been added. The renewal form and other pertinent documents are 

available on the Department’s Web site at: http://www.ed.gov/esea/flexibility/. 

Electronic Submission: The Department strongly prefers to receive an SEA’s request for 

renewal of ESEA flexibility electronically. The SEA should submit it to the following 

address: ESEAflexibility@ed.gov.

Paper Submission: As an alternative, an SEA may submit a redlined request for renewal of 

ESEA flexibility and two copies to the following address:

Dr. Monique M. Chism, Director

Student Achievement and School Accountability Programs

U.S. Department of Education

400 Maryland Avenue, SW

Room 3W224

Washington, DC 20202-6132 
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ESEA FLEXIBILITY – RENEWAL GUIDANCE FOR WINDOW 1 AND 2 STATES U.S. DEPARTMENT OF EDUCATION

Due to potential delays in processing mail sent through the U.S. Postal Service, SEAs are 

encouraged to use alternate carriers for paper submissions. 

REQUEST SUBMISSION DEADLINE 

An SEA that was approved for ESEA flexibility in Window 1 or Window 2 that is interested in 

renewal of ESEA flexibility must submit its request for renewal during one of three phases: January 

2–10, 2014 (Phase A); January 22–31, 2014 (Phase B); or February 12–21, 2014 (Phase C). All 

requests for renewal of ESEA flexibility must be received no later than February 21, 2014. In 

general, requests will be reviewed in the phase that they are received by the Department. The 

Department requests that an SEA submit a letter of intent by December 15, 2013 via e-mail to: 

ESEAflexibility@ed.gov. This letter of intent should identify whether or not an SEA intends to 

seek renewal and the phase in which the SEA intends to submit its request.

TECHNICAL ASSISTANCE

The Department will assist SEAs in preparing their renewal requests through webinars, email, and 

telephone communications with SEA contacts. Please visit the Department’s website at: 

http://www.ed.gov/esea/flexibility/ for relevant technical assistance materials and feel free to email 

or call your SEA’s contact within the Department with any questions you may have.
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ESEA FLEXIBILITY – RENEWAL GUIDANCE FOR WINDOW 1 AND 2 STATES U.S. DEPARTMENT OF EDUCATION

GUIDANCE

SECTION I: WAIVERS, ASSURANCES, AND CONSULTATION

An SEA must renew its request for each of the waivers offered under ESEA flexibility by checking

the box next to each waiver on the ESEA flexibility renewal form. An SEA may also request, or opt

to no longer request, the three optional waivers (21st Century Community Learning Centers, making 

AYP determinations, and within-district Title I allocations).

An SEA must also renew the assurances made under ESEA flexibility and, through this renewal (as 

described in items 1 and 4 in Section II), also provide additional assurances that it remains 

committed to ensuring the full implementation of college- and career-ready standards (see item 1 of 

Section II); that it will, in submitting a comprehensive equity plan that meets the requirements of 

sections 1111(b)(8)(C) and 1112(c)(1)(L), use effectiveness data from teacher and principal 

evaluation and support systems by October 2015 (see item 13 of Section II) and, if applicable, that it 

is participating in one of the two State consortia that received a grant under the Race to the Top 

Assessment competition (see item 4 of Section II). The SEA provides these assurances by checking 

the box next to each assurance on the ESEA flexibility renewal form.

In addition, an SEA must provide a description and documentation of how it meaningfully engaged 

and solicited input on the implementation of ESEA flexibility, and the changes that it made to its 

currently approved flexibility request in order to seek renewal, from LEAs, teachers, their 

representatives, administrators, students, parents, community-based organizations, civil rights 

organizations, organizations representing students with disabilities and English Learners, business 

organizations, and Indian tribes.

SECTION II: CONTINUED COMMITMENT TO AND PROGRESS 

TOWARDS ESEA FLEXIBILITY PRINCIPLES

An SEA seeking renewal of ESEA flexibility must demonstrate a continued commitment to 

implementing the ESEA flexibility principles. Specifically, an SEA must provide narrative responses 

and evidence, where appropriate, for each of the items enumerated below showing that the SEA has 

met or is on track to meeting ESEA flexibility implementation timelines. This is to demonstrate that 

the SEA is complying with ESEA flexibility requirements in all guidance issued to date, and that it 

has a high-quality plan for continued implementation, including for the 20142015 and 2015–2016 

school years. 

If an SEA has already provided documentation or evidence relevant to a particular item during 

ESEA flexibility monitoring, the SEA need not resubmit that documentation or evidence, but need 

only provide any updates regarding its implementation in a narrative response. 

1. Each SEA approved for ESEA flexibility committed to fully implement college- and careerready standards for all students, including for English Learners, students with disabilities, 

and low-achieving students, by the start of the 2013–2014 school year. In its request for 

renewal, the SEA must provide an assurance of its continued commitment to implementing 
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ESEA FLEXIBILITY – RENEWAL GUIDANCE FOR WINDOW 1 AND 2 STATES U.S. DEPARTMENT OF EDUCATION

these standards and demonstrate that it is meeting this commitment by providing evidence 

of its process for ensuring that all students are being taught using college- and career-ready 

standards. Specifically, in this portion of its request, the SEA must describe how it is 

monitoring and supporting effective implementation of college- and career-ready standards 

for all students. The SEA must provide evidence of its process for ensuring 

implementation, support, and oversight. For example, such evidence may include the use of

capacity audits and educator surveys.

2. Full implementation of college- and career- ready standards and aligned assessments requires 

that each SEA and LEA provide teachers and principals of all students, particularly teachers 

of students with disabilities and English learners with appropriate resources and support. 

Such support includes leveraging available Federal, State, and local funds to provide 

professional development; gathering local educators’ feedback to identify their professional 

development needs; and determining, through ongoing feedback, if educator needs are being 

met.

Pursuant to ESEA section 2122, in order to be eligible to receive Title II, Part A funds, an 

LEA must conduct a needs assessment involving teachers and must submit an application to 

the SEA describing how proposed activities will meet certain requirements identified in 

ESEA section 2122. Therefore, building on the requirements included in current statute, in 

its request for renewal of ESEA flexibility, an SEA must describe its systematic process for 

ensuring that:

a) Each LEA’s use of Title II, Part A funds is aligned with the findings of the local needs 

assessment and derived from sources of student and educator data such as educator 

surveys and evaluation results, classroom observations, student mastery of standards, 

professional learning communities and performance tasks; and

b) When an LEA is using ESEA Title II, Part A funds for professional development, (1) 

the professional development for teachers and principals of all students is deepening 

their knowledge of college- and career-ready standards and the instructional practices, 

curricula, and high-quality assessments tied to those standards; (2) such professional 

development is evidence-based and is intended to have a substantial, measurable, and 

positive impact on educators’ subject-matter knowledge and instructional practices and 

student academic achievement, including for students with disabilities, English learners, 

and low-achieving students; and (3) an LEA’s teachers and principals have collaborated 

in preparing the local professional development plan and that their ongoing input and 

feedback are used to monitor and improve that plan.

Further, the SEA and its LEAs must ensure that educators and parents have easy access to 

information about how each LEA’s Title II, Part A funds are used.

3. Each SEA approved for ESEA flexibility provided an assurance that it would adopt English 

language proficiency (ELP) standards that correspond to the State’s college- and career-ready 

standards no later than the 2013–2014 school year. Each SEA also provided an assurance 

that it will develop and administer ELP assessments aligned with the State’s ELP standards.

In its request for renewal of ESEA flexibility, an SEA must provide a narrative description 

of its progress in meeting both of these assurances.
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ESEA FLEXIBILITY – RENEWAL GUIDANCE FOR WINDOW 1 AND 2 STATES U.S. DEPARTMENT OF EDUCATION

4. Each SEA approved for ESEA flexibility committed to develop and administer statewide, 

aligned, high-quality assessments no later than the 2014–2015 school year. In its request for 

renewal of ESEA flexibility, an SEA must demonstrate that it is on track to meet this 

commitment by providing an assurance that it continues to be a member of one of the two 

Race to the Top Assessment consortia or evidence that the SEA has carried out or is 

continuing to carry out all activities necessary to administer its own statewide aligned, highquality assessments beginning no later than the 2014–2015 school year. In addition, each 

SEA must describe a process for ensuring that each of its LEAs is able to administer collegeand career-ready assessments in the 2014–2015 school year, particularly in terms of 

accessibility, capacity and infrastructure. 

5. An SEA approved for ESEA flexibility committed to develop and administer no later than 

the 2014–2015 school year alternate assessments based on grade-level academic achievement 

standards or alternate assessments based on alternate academic achievement standards for 

students with the most significant cognitive disabilities that are consistent with 34 C.F.R. § 

200.6(a)(2) and are aligned with the State’s college- and career-ready standards. In its request 

for renewal of ESEA flexibility, an SEA must provide a narrative description of its progress 

in meeting this assurance. 

6. An SEA approved for ESEA flexibility that previously administered alternate assessments

based on modified academic achievement standards committed to no longer administer 

those assessments beginning no later than the 2014–2015 school year. In its request for 

renewal of ESEA flexibility, an SEA must demonstrate either that it has phased out these 

alternate assessments or that it has a process to phase out these assessments by 2014–2015, 

and must provide evidence of a process for ensuring that students with disabilities who 

previously were assessed using these assessments are prepared to take the general 

assessments, with appropriate accommodations.

7. Transparency and communication with families and stakeholders are critical elements of 

ESEA flexibility. Consistent with those priorities, the Department released updated report 

card guidance in February 2013, clarifying SEA and LEA reporting requirements under 

ESEA flexibility. An SEA that has not provided the Department with examples of SEA and 

LEA report cards that reflect the February 2013 Report Card Guidance through monitoring 

must provide that documentation in its request for renewal of ESEA flexibility. 

8. When the Department invited SEAs to request ESEA flexibility, it indicated that waivers 

would generally be approved for two years with a possible extension for one additional year. 

As a result, many SEAs provided a description of three years of implementation of 

interventions and supports for priority schools (i.e., implementation through the 2014−2015 

school year). As the Department is now offering to renew ESEA flexibility for an additional 

two years, an SEA must provide a high-quality plan for implementation of interventions 

aligned with the turnaround principles in priority schools in the 2014–2015 and 2015–2016 

school years, including how the SEA will identify future cohorts of priority schools. 

Additionally, the SEA must describe how it will increase the rigor of interventions and 

supports in those previously-identified priority schools that have not yet met the SEA’s exit 

criteria after three years of implementing interventions aligned with the turnaround 

principles. Through ESEA flexibility monitoring, the Department found variability in how 

interventions and supports were fully implemented in the priority schools in a State starting 
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ESEA FLEXIBILITY – RENEWAL GUIDANCE FOR WINDOW 1 AND 2 STATES U.S. DEPARTMENT OF EDUCATION

with the 2012−2013 and 2013–2014 school years, as well as in other priority schools in the 

2014–2015 school year. Therefore, an SEA must provide as an attachment, a list of the 

SEA’s priority schools that began full implementation of rigorous interventions and supports

aligned with the turnaround principles in the 2012–2013 and 2013–2014 school years, as well 

as a list of the priority schools that will begin full implementation in the 2014–2015 school 

year.

9. To receive ESEA flexibility, an SEA had to ensure that its LEAs would implement

interventions and supports in their focus schools. In its renewal request, an SEA must 

provide a high-quality plan for implementation of interventions in focus schools in the 

2014–2015 and 2015–2016 school years, including how the SEA will identify future cohorts 

of focus schools. Additionally, the SEA must describe how it will increase the rigor of 

interventions and supports in those previously-identified focus schools that have not yet met 

the SEA’s exit criteria after implementing interventions that are based on the needs of 

students and designed to improve the performance of low-achieving students and reduce 

achievement gaps among subgroups.

10. Each SEA approved for ESEA flexibility committed to provide incentives and supports to 

ensure continuous improvement in other Title I schools that, based on the SEA’s AMOs 

and other measures, were not making progress in improving student achievement and 

narrowing achievement gaps. Through ESEA flexibility monitoring and discussions with 

SEAs and other stakeholders, the Department found variability in how some SEAs were 

meeting this requirement. In addition, in a guidance letter issued to SEAs on November 26, 

2012, the Department clarified that each SEA approved for ESEA flexibility must 

incorporate, to a significant degree, the four-year adjusted cohort graduation rate in its Statedeveloped system of differentiated recognition, accountability, and support, including using 

graduation rate targets for all students and for all subgroups to drive incentives, 

interventions, and supports in all other Title I schools. As a result, each SEA seeking an 

renewal of ESEA flexibility must demonstrate that its high-quality plan for ensuring 

continuous improvement in other Title I schools includes a clear and rigorous process for 

providing interventions and supports for low-achieving students in those schools when one

or more subgroups miss AMOs or graduation rate targets over a number of years. To the 

extent that an SEA has sufficiently addressed this requirement in its original request, the 

SEA may reference the relevant pages in its request in response to this requirement.

11. Each SEA approved for ESEA flexibility committed to hold LEAs accountable for 

improving school and student performance, particularly in priority and focus schools. The 

SEA’s plan for holding LEAs accountable should consist of a process for determining 

LEAs’ progress in improving school and student performance, and using the information

and data gathered through that process to provide differentiated recognition, interventions, 

and support for LEAs based on need. Therefore, each SEA seeking a renewal of ESEA 

flexibility must demonstrate that its high-quality plan for holding LEAs accountable includes 

a clear and rigorous process to provide differentiated recognition, accountability, and 

support to LEAs based on improved school and student performance. To the extent that an 

SEA has sufficiently addressed this requirement in its original request, the SEA may 

reference the relevant pages in its request in response to this requirement.
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ESEA FLEXIBILITY – RENEWAL GUIDANCE FOR WINDOW 1 AND 2 STATES U.S. DEPARTMENT OF EDUCATION

12. Each SEA approved for ESEA flexibility in Window 1 or Window 2 committed to ensuring 

that its LEAs fully implement teacher and principal evaluation and support systems that 

meet the requirements of Principle 3 of ESEA flexibility by no later than the 2014–2015 

school year. The results of those systems, including student growth data, must be used to 

inform personnel decisions no later than the 2015–2016 school year, unless the SEA has 

received additional flexibility to begin using the results of those systems to inform personnel 

decisions in the 20162017 school year. Each Window 1 or Window 2 SEA also committed 

to pilot these systems no later than the 2013–2014 school year. In its request for renewal of 

ESEA flexibility, an SEA must demonstrate that it is on track for full implementation of its 

teacher and principal evaluation and support systems no later than the 2014–2015 school 

year. This should include providing a process for collecting and incorporating data and 

feedback on implementation in all of its LEAs, including collecting and incorporating data

on measures of growth for tested and non-tested grades and subjects to ensure that growth 

is included as a significant factor. In addition, each SEA seeking renewal of ESEA flexibility 

must provide a detailed timeline of the SEA’s plan for implementation of teacher and 

principal evaluation and support systems, including when data from the systems will be 

collected, publicly reported and incorporated into ratings, when ratings will be given to 

teachers and principals, when ratings will be used to guide professional development, and 

when ratings will be used to make personnel decisions. 

13. In the document titled ESEA Flexibility, the Department stated that once the teacher and 

principal evaluation and support systems developed under Principle 3 were fully 

implemented in a State, an SEA and its LEAs could use the data from these systems to meet 

the requirements of ESEA sections 1111(b)(8)(C) and 1112(c)(1)(L) that poor and minority 

children not be taught at higher rates than other children by inexperienced, unqualified, or 

out-of-field teachers. As SEAs transition toward full implementation of teacher and 

principal evaluation and support systems, the effectiveness data derived from those systems 

will serve to measure teacher quality and determine whether a teacher is unqualified. 

Accordingly, in its request for renewal of ESEA flexibility, an SEA must describe how it will 

transition to ensuring that poor and minority students are not taught at higher rates than 

other children by inexperienced, ineffective, or out-of-field teachers and must provide an 

assurance that it will submit a comprehensive equity plan that meets the requirements of 

sections 1111(b)(8)(C) and 1112(c)(1)(L) using effectiveness data from teacher and principal 

evaluation and support systems by October 2015.

SECTION III: RESOLUTION OF STATE-SPECIFIC IMPLEMENTATION 

ISSUES

In July 2013, the Department began an analysis of data on the differentiated recognition, 

accountability, and support systems each Window 1 and Window 2 SEA has developed and 

implemented under ESEA flexibility, examining the extent to which each SEA’s system identified 

low-performing schools and subgroups for the 20122013 school year based on student 

achievement and graduation rate. Specifically, the Department used 20102011 and 2011–2012 data 

to determine the relationship between the following factors and school identification: 
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ESEA FLEXIBILITY – RENEWAL GUIDANCE FOR WINDOW 1 AND 2 STATES U.S. DEPARTMENT OF EDUCATION

1. Student achievement for all ESEA subgroups

2. Graduation rate for all ESEA subgroups

3. Performance against AMOs and graduation rate targets for all ESEA subgroups

4. Participation rate on State assessments for all ESEA subgroups

5. Use of a combined subgroup (where applicable)

6. N-size over 30 (where applicable)

Results of the data analysis will be shared with SEAs starting in October 2013. Where the data 

analysis appears to indicate that an SEA’s system of differentiated recognition, accountability, and 

support is not identifying low-performing schools and subgroups appropriately or sufficiently, the

Department will work with the SEA to determine if there is any misidentification or underidentification of schools and the causes thereof. If, as a result of this process, an SEA’s system is 

found to have misidentified or under-identified low-performing schools or subgroups, the SEA 

must revise its system to address the factors enumerated above that are contributing to the 

misidentification or under-identification. These revisions, and data demonstrating that the changes 

made address the identified concerns, must be included in the redlined request to receive renewal of 

ESEA flexibility. 

In addition, an SEA must resolve any other outstanding issues relating to implementation of ESEA 

flexibility. These issues may include outstanding findings of non-compliance, conditions placed on 

approval, next steps identified in ESEA flexibility and related program monitoring reports, and 

other areas of concern raised during the initial approval process. 

All outstanding implementation and compliance issues that an SEA must address in its request for 

renewal of ESEA flexibility, including any issues identified in the data analyses described above, will 

be included in a letter sent to the SEA starting October 2013. The SEAs receiving ESEA flexibility 

monitoring in October 2013 will begin receiving letters in November 2013.

SECTION IV: ADDITIONAL AMENDMENTS (OPTIONAL)

The Department expects each SEA approved for ESEA flexibility to continuously evaluate the 

effectiveness of its plan and other elements of its currently approved flexibility request as the SEA 

proceeds with implementation. As part of this continuous improvement process, the Department 

encourages each SEA to consider if changes are necessary to address any challenges that it identifies,

to implement its currently approved flexibility request more efficiently and/or effectively, or to 

further align its implementation with other reform efforts within the SEA. If an SEA wishes to 

make any additional amendments to its currently approved flexibility request to clarify or revise how 

the SEA and its LEAs will close achievement gaps, improve student achievement, and increase the 

quality of instruction, the SEA must include those amendments in its redlined request and identify 

on the renewal request form the page numbers where edits have been made. An SEA need not 

make any amendments beyond those discussed in Sections I–III above in order to receive renewal

of ESEA flexibility. For any additional amendments the SEA makes to its currently approved 

flexibility request consistent with this Section, an SEA must provide a rationale for the proposed 

change, either in the text of the ESEA flexibility request or on the ESEA flexibility renewal form.
12

ESEA FLEXIBILITY – RENEWAL GUIDANCE FOR WINDOW 1 AND 2 STATES U.S. DEPARTMENT OF EDUCATION

In considering whether or not to make additional amendments to its approved ESEA flexibility 

request, an SEA should keep in mind that any amendment may not conflict with the ESEA 

flexibility principles.