# ESEA Flexibility

Request

U.S. Department of Education Washington, DC 20202 OMB Number: 1810

- 0581 **Public Burden Statement:** According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. Public reporting burden for this collection of information is estimated to average 336 hours per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. The obligation to respond to this collection is required to obtain or retain benefit (

Title I, Part A Elementary and Secondary Education Act ). Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the U.S. Department of Education, 400 Maryland Ave., SW, Washington, DC 20210

- 4537 or email ICDocketMgr@ed.gov and reference the OMB Control Number 1810

- 0581 . Note: Please do not return the completed ESEA Flexibilities Request to this address.

### TABLE OF CONTENTS : ESEA FLEXIBILITY REQUEST

Introduction iii General Instructions iv Table of Contents 1 Cover Sheet for ESEA Flexibility Request 3 Waiver s 4 Assurances 7 Consultation 9 Evaluation Overview of SEA’s ESEA Flexibility Request 9 9 Principle 1 : College

- and C areer - R eady E xpectations for All S tudents 10 Principle 2 : State

- D eveloped D ifferentiated R ecognition, A ccountability , and S upport 1 2 Principle 3 : Supporting E ffective I nstruction and L eadership 1 8 Sample Plan Template 19**ii**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION 

### INTRODUCTION The U.S. Department of Edu cation (Department) is offering each State educational agency (SEA) the opportunity to request flexibility on behalf of itself , its local educational agencies ( LEAs) , and its schools, in order to better focus on improv ing student learning and increasing th e quality of instruction . This voluntary opportunity will provide educators and State and local leaders with flexibility regarding specific requirements of the N o Child Left Behind Act of 2001 (N CLB) in exchange for rigorous and comprehensive State

- develo ped plans designed to improve educational outcomes for all students , close achievement gaps, increase equity, and improve the quality of instruction . This flexibility is intended to build on and support the significant State and local reform efforts alrea dy underway in critical areas such as transitioning to college

- and career

- ready standards and assessments; developing systems of differentiated recognition, accountability , and support ; and evaluating and supporting teacher and principal effectiveness. The Department invites interested SEAs to request this flexibility pursuant to the authority in section 9401 of the E lementary and Secondary Education Act of 1965 (E SEA ) , which allows the Secretary to waive , with certain exceptions, any statutory or regul atory requirement of the ESEA for an SEA that receives funds under a program authorized by the ESEA and requests a waiver. Under this flexibility, the Department would grant waivers through the 2013

 2014 school year, after which time an SEA may request an extension of this flexibility. REVIEW AND EVALUATIO N OF REQUESTS The Department will use a review process that will include both external peer review ers and staff review ers to evaluate SEA requests for this flexibility . This review process will h elp ensure that each request for this flexibility approved by the Department is consistent with the principles described in the document titled ESEA Flexibility, which are designed to support State efforts to improve student academic achievement and increa se the quality of instruction, and is both educationally and technically sound. Reviewers will evaluate whether and how each request for this flexibility will support a comprehensive and coherent set of improvements in the areas of standards and assessmen t s, accountability, and teacher and principal effectiveness that will lead to improved student outcomes. Each SEA will have an opportunity , if necessary, to clarify its plans for peer and staff reviewers and to answer any questions reviewers may have. Th e peer reviewers will then provide comments to the Department. Taking those comments into consideration, the Secretary will make a decision regarding each S EA ’s request for this flexibility
. If a n S EA ’s request for this flexibility is not granted, reviewers and the Department will provide feedback to the SEA about the components of the S EA ’s request that need additional development in order for the request to be approved.**iii**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION 

### GENERAL INSTRUCTIONS An SEA seeking approval to implement this flexibility must submit a high

- quality request that addresses all aspects of the principles and waivers and, in each place where a plan is required, includes a high

- quality plan. Consistent with ESEA section 9401(d)(1), the Secretary intends to grant waivers that are includ ed in this flexibility through the end of the 2013

–2014 school year. An SEA will be permitted to request an extension of the initial period of this flexibility prior to the start of the 2014

–2015 school year unless this flexibility is superseded by reauth orization of the ESEA. The Department is asking SEAs to submit requests that include plans through the 2014

–2015 school year in order to provide a complete picture of the S EA ’s reform efforts. The Department will not accept a request that meets only some of the principles of this flexibility. This version of the ESEA Flexibility Request replaces the document originally issued on September 23, 2011 and revised on September 28, 2011. Through this revised version, the following section ha s been removed: 3.A, Option B (Option C has been renamed Option B)
. Additions have also been made to the following sections: Waivers and Assurances. Finally, this revised guidance modifies the following section s : Waivers; Assurances; 2.A.ii; 2.C.i; 2.D.i; 2.E.i; Table 2 ; 2.G; and 3.A , Option s A and B. High

- Quality Request : A high

- quality request for this flexibility is one that is comprehensive and coherent in its approach, and that clearly indicates how this flexibility will help an SEA and its LEAs improve student achievement and the quality of instruction for students
. A high

- quality request will (1) if an SEA has already met a principle, provide a description of how it has done so, including evidence as required; and (2) if an SEA has not yet met a principle, d escribe how it will meet the principle on the required timelines, including any progress to date. For example, an SEA that has not adopted minimum guidelines for local teacher and principal evaluation and support systems consistent with P rinciple 3 by the time it submits its request for the flexibility will need to provide a plan demonstrating that it will do so by the end of the 2011

–2012 school year. In each such case, an SEA’s plan must include, at a minimum, the following ele ments for each principle that the SEA has not yet met: 1. Key milestones and activities : Significant milestones to be achieved in order to meet a given principle, and essential activities to be accomplished in order to reach the key milestones. The SEA should also include any esse ntial activities that have already been completed or key milestones that have already been reached so that reviewers can understand the context for and fully evaluate the SEA’s plan to meet a given principle. 2. Detailed timeline : A specific schedule setting forth the dates on which key activities will begin and be completed and milestones will be achieved so that the SEA can meet the principle by the required date. 3. Party or parties responsible : Identification of the SEA staff ( e.g. , position, title, or o ffice) and, as appropriate, others who will be responsible for ensuring that each key activity is accomplished.**iv**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION 4. Evidence : Where required, documentation to support the plan and demonstrate the SEA’s progress in implementing the plan. This ESEA Flexibilit y Request indicates the specific evidence that the SEA must either include in its request or provide at a future reporting date. 5. Resources : Resources necessary to complete the key activities, including staff time and additional funding. 6. Significant obs tacles : Any major obstacles that may hinder completion of key milestones and activities ( e.g., State laws that need to be changed) and a plan to overcome them. Included on page 19 of this document is an example of a format for a table that an SEA may use to submit a plan that is required for any principle of this f lexibility that the SEA has not already met . An SEA that elects to use this format may also supplement the table with text that provides an overview of the plan. An SEA should keep in mind the required timelines for meeting each principle and develop credible plans that allow for completion of the activities necessary to meet each principle. Although the plan for each principle will reflect that particular principle, as discussed above, an SEA should look across all plans to make sure that it puts forward a comprehensive and coherent request for this f lexibility. Preparing the Request : To prepare a high

- quality request, it is extremely important that an SEA refer to all of the provided resources, including the document titled ESEA Flexibility, which includes the principles , definitions, and timelines ; the document titled ESEA Flexibility Review Guidance, which includes th e criteria that will be used by the peer reviewers to determine if the reque st meets the principles of this flexibility ; and the document titled ESEA Flexibility Frequently Asked Questions, which provide s additional guidance for SEAs in preparing their requests
. As used in this request form, the following terms have th e 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 ) reward school, ( 6) standards that are common to a significant number of State s, ( 7) State network of ins titutions of higher education, ( 8) student growth, and (9 ) turnaround principles. Each request must include:  A table of contents and a list of attachments , using the forms on pages 1 and 2.  The cover sheet (p. 3), waivers reque sted (p. 4

- 6), and assurances (p. 7

- 8).  A description of how the SEA has met the consultation requirements (p. 9 ).  Evidence and plans to meet the principles (p. 10

- 18)
. An SEA will enter narrative text in the text boxes provided, c omplete the required t ables , and provide other required evidence. An SEA may supplement the narrative text in a text box with attachments, which will be included in an appendix. Any supplemental attachments that are included in an appendix must be referenced in the related na rrative text. R equests should not include personally identifiable information.**v**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION Process for Submitting the Request : A n SEA must submit a request to the Department to receive the flexibility. This request form and other pertinent documents are availab le 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 the f lexibility electronically. The SEA should submit it to the following address: ESEAflexibility@ed.gov
. Paper Submission : In the alternative, an SEA may submit the original and two copies of its request for the f

lexibility to the following addr ess: Patricia McKee, Acting Director Student Achievement and School Accountability Programs U.S. Department of Education 400 Maryland Avenue, SW, Room 3W320 Washington, DC 20202

- 6132 Due to potential delays in processing mail sent through the U.S. Pos tal Service, SEAs are encouraged to use alternate carriers for paper submissions. REQUEST SUBMISSION D EADLINE SEAs have multiple opportunities to submit requests for the flexibility. The submission dates are November 14, 201 X , February 28 , 201 X , and an additional opportunity following the conclusion of the 201 X

–201 X school year
. TECHNICAL ASSISTANCE MEETING FOR SEA S The Department has conducted a number of webinars t o assist SEAs in preparing their request s and to respond to questions . Please visit th e Department’s Web site at: http://www.ed.gov/esea/flexibility for copies of previously conducted webinars and information on upcoming webinars. FOR FURTHER INFORMAT ION If you have any questions, please contact the Department by e

- mail at ESEAflexibility @ed.gov
.**1**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION 

### T**ABLE** 

### O **F** 

### C **ONTENTS** Insert page numbers prior to submitting the request, and place the table of contents in front of the SEA’s flexibility request . 

### C **ONTE NTS**  

### P **AGE** Cover Sheet for ESEA Flexibility Request Waiver s Assurances Consultation Evaluation Overview of SEA’s Request for the ESEA Flexibility **Principle 1: College**  **- and Career**  **- Ready Expectati**  **ons for All Students**  1.A Adopt college

- and career

- ready standards 1.B Transition to college

- and career

- ready standards 1.C Develop and administer annual, statewide, aligned, high

- quali ty assessments that measure student growth **Principle 2: State**  **- Developed Differentiated**  **Recognition, Accountability**  **, and**  **Support** 2.A Develop and implement a State

- based system of differentiated recognition, acco untability , and support 2.B Set ambitious but achievable annual measurable objectives 2.C Reward schools 2.D Priority schools 2.E Focus schools 2.F Pro vide incentives and supports for other Title I schools 2. G Build SEA, LEA, and school capacity to improve student learning **Principle 3: Support**  **ing Effective Instruction and Leadership** 3.A D evelop and adopt guidelines for local teacher and principal evaluation and support systems 3.B Ensure LEAs implement teacher and principal evaluation and support systems**2**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION

**T ABLE**  **O F**  **C ONTENTS**  **, CONTINUED**  For each attachment included in the ESEA Flexibility Request , label the attachment with the corresponding number from the list of attachments below and indicate the page number where the attachment is located. If an attachment is not applicable to the SEA’s request, indicate “N/A” instead of a page number. Reference relevant attachment s in the narrative portions of the request. 

### L **ABEL** 

### L **IST OF** 

### A

**TTACHMENTS** 

### P **AGE** 1 N otice to LEAs 2 Comments on request received from LEAs (if applicable) 3 Notice and information provided to the public regarding the request 4 Evidence that the State has formally adopted college

- and career

- ready conten t standards consistent with the State’s standards adoption process 5 Memorandum of understanding or letter from a State network of institutions of higher education (IHEs) certifying that meeting the State’s standards corresponds to bei ng college

- and career

- ready without the need for remedial coursework at the postsecondary level (if applicable) 6 State’s Race to the Top Assessment M emorandum of Understanding (M OU) (if applicable) 7 Evidence tha t the SEA has submitted high

- quality assessments and academic achievement standards to the Department for peer review, or a timeline of when the SEA will submit the assessments and academic achievement standards to the Department for peer review (if applic able) 8 A copy of the average statewide proficiency based on asses sments administered in the 2010

 2011 school year in reading/language arts and mathematics for the “all students” group and all subgroups (if applicable) 9 Table 2: Reward, Priority, and Focus Schools 1 0 A copy of the guidelines that the SEA has developed and adopted for local teacher and principal evaluation and support systems (if applicable) 1 1 Evidence that the SEA has adopt ed all of the guidelines for local teacher and principal evaluation and support systems**3**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION



### C **OVER** 

### S **HEET FOR** 

### ESEA **F LEXIBILITY**  

### R**EQUEST** L egal Na me o f Requester: Click here to enter text. Requester’s M ailing A ddr ess: Click here to ent er text.

S tate Contact fo r the ESEA Flexibility Request Name : Click here to enter text.
P o s it i on a nd Office: Click here to enter text.
Contact’s Mailing A ddres s: Click here to enter text.

T elephone : Click here to enter text. F ax : Click here t o enter text. E mail add re ss: Click here to enter text. C hief S tate Schoo l Of

ficer ( Printed Na me): Click here to enter text. Teleph one: Click here to enter text. Signature of th e C hief S tate Sc hool Offi cer : X_______________________________ Date : Click here to enter text. The State, through its authorized representative, agrees to meet all principles of the ESEA Flexibility.**4**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION


### W **AIVER S**  By submitting this flexib ility request, the SEA requests flexibility through waivers of the ten ESEA requir ements listed below and their associated regulatory, administrative, and reporting requirements by checking each of the boxes below . The provisions below represent the general areas of flexibility requested; a chart appended to the document titled ESEA Fl exibility Frequently Asked Questions enumerates each specific provision of which the SEA requests a waiver , which the SEA incorporates into its request by reference
. 1. The requirements in ESEA section 1111(b)(2)(E )

- (H) that prescribe how an SEA must establish annual measurable objectives (AMOs) for determining adequate yearly progress (AYP) to ensure that all students meet or exceed the State’s proficient level of academic achievement on the State’s assessments in reading/language art s and mathematics no later than the end of the 2013

–2014 school year. The SEA requests this waiver to develop new ambitious but achievable AMOs in reading/language arts and mathematics in order to provide meaningful goals that are used to guide support an d improvement efforts for the State, LEAs, schools, and student subgroups
. 2. The requirements in ESEA section 1116(b) for an LEA to identify for improvement, corrective action, or restructuring, as appropriate, a Title I school that f ails, for two consecutive years or more, to make AYP, and for a school so identified and its LEA to take certain improvement actions. The SEA requests this waiver so that an LEA and its Title I schools need not comply with these requirements. 3. The requirements in ESEA section 1116(c) for an SEA to identify for improvement or corrective action, as appropriate, an LEA that, for two consecutive years or more, fails to make AYP, and for an LEA so identified and its SEA to take certain i mprovement actions. The SEA requests this waiver so that it need not comply with these requirements with respect to its LEAs. 4. The requirements in ESEA sections 6213(b) and 6224(e) that limit participation in , and use of funds under the Small, Rural School Achievement (SRSA) and Rural and Low

- Income School (RLIS) programs based on whether an LEA has made AYP and is complying with the requirements in ESEA section 1116. The SEA requests this waiver so that an LEA that receive s SRSA or RLIS funds may use those funds for any authorized purpose regardless of whether the LEA makes AYP
. 5. The requirement in ESEA section 1114(a)(1) that a school have a poverty percentage of 40 percent or more in order to operate a schoolw ide program. The SEA requests this waiver so that an LEA may implement interventions consistent with the turnaround principles or interventions that are based on the needs of the students in the school and designed to enhance the entire educational progra m in a school in any of its priority and focus schools that meet the definitions of “priority schools” and “focus schools,” respectively, set forth in the document titled ESEA Flexibility, as appropriate, even if those schools do not have a poverty percent age of 40 percent or more. 6. The requirement in ESEA section 1003(a) for an SEA to distribute funds reserved under that**5**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION section only to LEAs with schools identified for improvement, corrective action, or restructuring. The SEA reques ts this waiver so that it may allocate section 1003(a) funds to its LEAs in order to serve any of the State’s priority and focus schools that meet the definitions of “priority schools” and “focus schools,” respectively, set forth in the document titled ESE A Flexibility
. 7. The provision in ESEA section 1117(c)(2)(A) that authorizes an SEA to reserve Title I, Part A funds to reward a Title I school that (1) significantly closed the achievement gap between subgroups in the school; or (2) h as exceeded AYP for two or more consecutive years. The SEA requests this waiver so that it may use funds reserved under ESEA section 1117(c)(2)(A) for any of the State’s reward schools that meet the definition of “reward schools” set forth in the document titled ESEA Flexibility
. 8. The requirements in ESEA section 2141(a), (b), and (c) for an LEA and SEA to comply with certain requirements for improvement plans regarding highly qualified teachers. The SEA requests this waiver to all ow the SEA and its LEAs to focus on developing and implementing more meaningful evaluation and support systems. 9. The limitations in ESEA section 6123 that limit the amount of funds an SEA or LEA may transfer from certain ESEA programs to other ESEA programs. The SEA requests this waiver so that it and its LEAs may transfer up to 100 percent of the funds it receives under the authorized programs among those programs and into Title I, Part A. 10. The requirements in ESEA section 1003(g)(4) and the definition of a Tier I school in Section I.A.3 of the School Improvement Grants (SIG) final requirements. The SEA requests this waiver so that it may award SIG funds to an LEA to implement one of the four SIG models in any of the State’s priority schools that meet the definition of “priority schools” set forth in the document titled ESEA Flexibility
. Optional Flexibilit

ies: If an SEA chooses to request waivers of any of the following requirements, it should check the corre sponding box(es) below: 11. The requirements in ESEA sections 4201(b)(1)(A) and 4204(b)(2)(A) that restrict the activities provided by a community learning center under the Twenty

- First Century Community Learning Centers (21st CCLC) pr ogram to activities provided only during non

- school hours or periods when school is not in session (i.e. , before and after school or during summer recess). The SEA requests this waiver so that 21st CCLC funds may be used to support expanded learning time during the school day in addition to activities during non

- school hours or periods when school is not in session. 12. The requirements in ESEA sections 1116(a)(1)(A)

- (B) and 1116(c)(1)(A) that require LEAs and SEAs to make determinations of adequate yearly progress (AYP) for schools and LEAs, respectively. The SEA requests this waiver because continuing to determine whether an LEA and its schools make AYP is inconsistent with the SEA’s State

- developed differentiated recognition, accounta bility, and support system included in its ESEA flexibility request. The**6**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION SEA and its LEAs must report on their report cards performance against the AMOs for all subgroups identified in ESEA section 1111(b)(2)(C)(v), and use performance against the AMOs to support continuous improvement in Title I schools that are not reward schools, priority schools, or focus schools. 13. The requirements in ESEA section 1113(a)(3)

- (4) and (c)(1) that require an LEA to serve eligible schools under Title I in rank order of poverty and to allocate Title I, Part A funds based on that rank ordering. The SEA requests this waiver in order to permit its LEAs to serve a Title I

- eligible high school with a graduation rate below 60 percent that the SEA has identif ied as a priority school even if that school does not rank sufficiently high to be served.**7**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION


### A **SSURANCES** By submitting this application, the SEA assures that: 1. It requests waivers of the above

- referenced requirements based on its agreement to meet Principles 1 through 4 of the f lexibility, as described throughout the remainder of this request. 2. It will adopt English language proficiency (ELP) standards that correspond to the State’s college

- and career

- ready standards , consistent with the requirement in ESEA section 3113(b)(2), and that reflect the academic language skills necessary to access and meet the new college

- and career - ready standards , no later than the 2013

–2014 school year
. (Principle 1) 3. It will 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. (Principle 1) 4. I t will develop and administer ELP assessments aligned with the State’s ELP standards, consistent with the requirements in ESEA section s 1111(b)(7), 3113(b)(2), and 3122(a)(3)(A)(ii). (Principle 1) 5. It will report annually to the public on college

- going and college credit

- accumulation rates f or all students and subgroups of students in each LEA and each public high school in the State
. (Principle 1) 6. If the SEA includes student achievement on assessments in addition to reading/language arts and mathematics in its differen tiated recognition, accountability , and support system and uses achievement on those assessments to identify priority and focus schools, it has technical documentation, which can be made available to the Department upon request, demonstrating that the asse ssment s are administered statewide ; include all students, including by providing appropriate accommodations for English Learners and students with disabilities, as well as alternate assessments based on grade

- level academic achievement standards or alterna te assessments based on alternate academic achievement standards for students with the most significant cognitive disabilities, consistent with 34 C.F.R. § 200.6(a)(2) ; and are valid and reliable for use in the SEA’s differentiated recognition, accountability, and support system. (Principle 2) 7. It will report to the public its lists of reward schools, priority schools, and focus schools at the time the SEA is approved to implement the flexibility, and annually thereafter, it will publicly recognize its reward schools as well as make public its lists of priority and focus schools if it chooses to update those lists
. (Principle 2) 8
. Prior to submitting this request, it provided student growth data on their current s tudents and the students they taught in the previous year to, at a minimum, all teachers of reading/language arts and mathematics in grades in which the State administers assessments in those subjects in a manner that is timely and informs instructional pr ograms , or it will do so no later than the deadline required under the State Fiscal Stabilization Fund
. (Principle 3)**8**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION

9
. It will evaluate and, based on that evaluation, revise its own administrative requirements to reduce duplication and unnecessary burden on LEAs and schools
. (Principle 4) 1 0
. It has consulted with its Committee of Practitioners regarding the information set forth in its request. 1 1
. P rior to submitting this request, it provide d all LEAs with notice and a reasonable opportunity to comment on the request and has attached a copy of that notice (Attachment 1 ) as well as copies of any comments it received from LEAs (Attachment 2). 1 2
. Prior to submitting this r equest, it provided notice and information regarding the request to the public in the manner in which the State customarily provides such notice and information to the public ( e.g. , by publishing a notice in the newspaper; by posting information on its w eb site) and has attached a copy of, or link to, that notice (Attachment 3 ). 1 3 . It will provide to the Department, in a timely manner, all required reports, data, and evidence regarding its progress in implementing the plans contained thr oughout this request. 14 . It will report annually on its State report card, and will ensure that its LEAs annually report on their local report cards, for the “all students” group and for each subgroup described in ESEA section 1111(b) (2)(C)(v)(II): information on student achievement at each proficiency level ; data comparing actual achievement levels to the State’s annual measurable objectives; the percentage of students not tested; performance on the other academic indicator for elemen tary and middle schools; and graduation rates for high schools. It will also annually report, and will ensure that its LEAs annually report, all other information and data required by ESEA section 1111(h)(1)(C) and 1111(h)(2)(B), respectively. **If the S**  **EA selects Option A in section 3.A of its request, indicating that it has not yet developed and adopted all**  **the guidelines for teacher and principal evaluation and support**  **systems, it must also assure that:** 1 5
. It will submit to the Dep artment for peer review and approval a copy of the guidelines that it will adopt by the end of the 2011

–2012 school year
. (Principle 3)**9**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION


### C **ONSULTATION** An SEA must meaningfully engage and solicit input from diverse stakeholders and communities in the development of its request. To demonstrate that an SEA has done so, the SEA must provide an assurance that it has consulted with the State’s Committee of Practitioners regarding the information set forth in the request and provide the following: 1. A desc ription of how the SEA meaningfully engaged and solicited input on its request from teachers and their representatives. Click here to enter text. 2. A description of how the SEA meaningfully engaged and solicited input on its request from other diverse com munities , such as students, parents, community

- based organizations, civil rights organizations, organizations representing students with disabilities and English Learners, business organizations , and Indian tribes
. Click here to enter text. 

### E **VALUATIO N**  The Department encourages a n SEA that receives approval to implement the flexibility to collaborate with the Department to evaluate at least one program, practice, or strategy the SEA or its LEAs implement under principle 1, 2, or 3. U pon receipt of approval of the flexibility , an interested SEA will need to nominate for evaluation a program, practice, or strategy the SEA or its LEAs will implement under principles 1, 2, or 3
. The Department will work with the SEA to determine the feasibility and design of the evaluation and, if it is determined to be feasible and appropriate, will fund and conduct the evaluation in partnership with the SEA, ensuring that the implementation of the chosen program, practice, or strategy is consistent with the evaluation design. Check here if you are interested in collaborating with the Department in this evaluation , if your request for the flexibility is approved
.



### O **VERVIEW OF** 

### SEA’ **S** 

### R**EQUEST FOR THE** 

### ESEA **F LEXIBILITY**  Provide an overview (abo ut 500 words) of the SEA’s request for the f lexibility that: 1. explains the SEA’s comprehensive approach to implement the waivers and principles and describes the SEA’s strategy to ensure this approach is coherent within and across the principles; and 2. desc ribes how the implementation of the waivers and principles will enhance the SEA’s and its LEAs’ ability to increase the quality of instruction for students and improve student achievement.**10**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION Click here to enter text.
. 

## P **RINCIPLE** 

## 1: **C OLLEGE**  

## - **AND** 

## C **AREER**

## - **R E**  **ADY** 

## E **XPECTATIONS F**  **OR** 

## A **LL** 

## S **TUDENTS** 

### 1.A **A DOPT**  

### C **OLLEGE** 

### - **AND** 

### C **AREER** 

### - **R EADY**  

### S **TANDARDS** Select the option that p ertains to the SEA and provide evidence corresponding to the option selected. **Option A** The S tate has adopted college

- and career

ready standards in at least reading/language arts and mathematics that are common to a significant number of States , consistent with part (1) of the definition of college

- and career - ready standards
. i. Attach evidence that the State has adopted the standards, consistent with the State’s standards adoption process. (Attachment 4

) **Option B** The State has adopted college

- and career

ready standards in at least reading/language arts and mathematics that have been approved and certified by a State network of institutions of higher education (IHEs) , consistent with part (2) of the definition of college

- and career

- ready standards
. i. Attach evidence that the State has adopted the standards , consistent with the State’s standards adoption process. (Attachment 4

) ii. Attach a copy of the memorandum of understanding or letter from a State network of IHEs certifying that students who meet these standards will not need remedial coursework at the postsecondary level
. (Attachment 5 ) 

### 1.B **T RANSITION TO**  

### C **OLLEGE** 

### - **AND** 

### C **AREER** 

### - **R EADY**  

### S **TANDARDS** Provide the SEA’s plan to transition to and implement no later than the 2013

–2014 school year college

- and career

- ready standards statewide in at least reading/language arts a nd mathematics for all students and schools and include an explanation of how this transition plan is likely to lead to all students, including English Learners, students with disabilities, and low

- achieving students, gaining access to and learning content aligned with such standards. The Department encourages an SEA to include in its plan activities related to each of the italicized questions in the corresponding section of the document titled ESEA Flexibility Review Guidance, or to explain why one or mor e of those activities is not necessary to its plan. Insert plan and explanation here.**11**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION


### 1.C **D EVELOP AND**  

### A**DMINISTER** 

### A **NNUAL** 

### , **S TATEWIDE**  

### , **A LIGNED**  

### , **H IGH**  

### **Q UALITY**  

### A **SSESSMENTS THAT** 

### M **EASURE** 

### S **TUDENT** 

### G **ROWTH** Select the option that pertains to the SEA and provide evidence corresponding to the option selected. **Option A** The SEA is participating in one of the two State consortia that received a grant under the Race to the Top Assessment competition. i. Attach the State’s M emorandum of Underst anding (M OU) under that competition. (Attachment 6) **Option B** The SEA is not participating in either one of the two State consortia that received a grant under the Race to the Top Assessment competitio n, and has not yet developed or admi nistered statewide aligned, high

- quality assessments that measure student growth in reading/language arts and in mathematics in at least grades 3

- 8 and at least once in high school in all LEAs
. i. Provide the SEA’s plan to develop and administer annually, be ginning no later than the 2014

 2015 school year, statewide aligned, high

- quality assessments that measure student growth in reading/language arts and in mathematics in at least grades 3

- 8 and at least once in high school in all LEAs , as well as set academic achievement standards for th ose assessments . **Option C** The SEA has developed and begun annually administering statewide aligned, high

- quality assessments that measure student growth in reading/language arts and in mathematics in at least grades 3

- 8 and at least on ce in high school in all LEAs. i. Attach evidence that the SEA has submitted these assessments and academic achievement standards to the Department for peer review or attach a timeline of when the SEA will submit the assessments and academic achievement stan dards to the Department for peer review. (Attachment 7)

For Option B, insert plan here**12**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION 

## P **RINCIPLE** 

## 2: **S TATE**  

## - **D EVELOPED**  

## D **IFFERENTIATED** 

## R**ECOGNITION** 

## ,

**A CCOUNTABILITY**  

## , **AND** 

## S **UPPORT** 

### 2.A **D EVELOP AND**  

### I **MPLEMENT A** 

### S **TATE** 

### - **B ASED**  

### S **YSTEM OF** 

### D **IFFERENTIATED** 

### R**ECOGNITION** 

### , **A CCOUNTABILITY**  

### , **AND** 

### S **UPPORT** 2.A.i Provide a description of the SEA’s differentiated recognition, accountability , and support system that includes all the components listed in Principle 2 , the SEA’s plan for implementation of the differentiat ed recognition, accountability , and support system no later than the 2012

–2013 school year , and an explanation of how the SEA’s differentiated recognition, accountability, and support system is designed to improve student achievement and school performance , close achievement gaps, and increase the quality of instruction for students
. Insert description, plan, and explanation here. 2.A.ii Select the option that pertains to the SEA and provide the corresponding information, if any . **Option A** The SEA includes student achievement only on reading/language arts and mathematics assessments in its differentiated recognition, accountability, and support system and to identify reward, priority , and focus schools. **Option B** If the SEA includes student achievement on assessments in addition to reading/language arts and mathematics in its differentiated recognition, accountability, and support system or to identify reward, priority, and focus schools, it must:

a. provide the percent age of students in the “all students” group that performed at the proficient level on the State’s most recent administration of each assessment for all grades assessed; and b. include an explanation of how the included assessments will be weighted in a manne r that will result in holding schools accountable for ensuring all students achieve college

- and career

- ready standards. Insert text for Option B here.**13**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION 

### 2.B **S ET**  

### A

**MBITIOUS BUT** 

### A**CHIEVABLE** 

### A **NNUAL** 

### M **EASURABLE** 

### O **BJECTIVES** Select the method the SEA will use to set new ambitious but achievable annual measurable objectives (

AMOs) in at least reading/language arts and mathematics for the State and all LEAs, schools, and subgroups that provide meaningful goals and are used to guide support and improvement ef

forts
. If the SEA sets AMOs that differ by LEA, school, or subgroup , the AMOs for LEAs, schools, or subgroups that are further behind must require greater rates of annual progress. **Option A** Set AMOs in annual equal increments toward a goal of reducing by half the percentage of students in the “all students” group and in each subgroup who are not proficient within six years. The SEA must use current proficiency rates based on assessments administered in the 2010

– 2011 school year as th e starting point for setting its AMOs. i. Provide the new AMOs and an explanation of the method used to set these AMOs. **Option B** Set AMOs that increase in annual equal increments and result in 100 percent of students achieving proficien cy no later than the end of the 2019

–2020 school year. The SEA must use the average statewide proficiency based on assessments administered in the 2010

–2011 school year as the starting point for setting its AMOs. i. Provide the new AMOs and an explanation o f the method used to set these AMOs. **Option C** Use another method that is educationally sound and results in ambitious but achievable AMOs for all LEAs, schools, and subgroups. i. Provide the new AMOs and an explanation of the method used to set these AMOs. ii. Provide an educationally sound rationale for the pattern of academic progress reflected in the new AMOs in the text box below. iii. Provide a link to the State’s report card or attach a copy of the average statewide proficiency based on asse ssments administered in the 2010

 2011 school year in reading/language arts and mathematics for the “all students” group and all subgroups. (A ttachment 8) Insert text for Option C here.**14**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION 

### 2.C **R EWARD**  

### S **CHOOLS** 2.C.i Describe the SEA’s methodology for identify ing highest

- performing and high

- progress schools as reward schools
. If the SEA’s methodology is not based on the definition of reward schools in ESEA Flexibility (but instead, e.g. based on school grades or ratings that take into account a number of factors), the SEA should al so demonstrate that the list provided in Table 2 is consistent with the definition, per the Department’s “Demonstrating that an SEA’s Lists of Schools meet ESEA Flexibility Definitions” guidance. Insert methodology here. 2.C.ii Provide the SEA’s list o f reward schools in Table 2. 2.C.iii Describe how the SEA will publicly recognize and, if possible, reward highest

- performing and high

- progress schools
. Insert description here
. 

### 2.D **P RIORITY**  

### S **CHOOLS** 2.D.i Describe the SEA’s methodology for ide ntify ing a number of lowest

- performing schools equal to at least five percent of the State’s Title I schools as priority schools. If the SEA’s methodology is not based on the definition of priority schools in ESEA Flexibility (but instead, e.g. based on s chool grades or ratings that take into account a number of factors), the SEA should also demonstrate that the list provided in Table 2 is consistent with the definition, per the Department’s “Demonstrating that an SEA’s Lists of Schools meet ESEA Flexibili ty Definitions” guidance. Insert methodology here. 2.D.ii Provide the SEA’s list of priority schools in Table 2. 2.D.iii Describe the meaningful interventions aligned with the turnaround principles that a n LEA with priority schools will implement. Insert description here. 2.D.iv Provide the timeline the SEA will use to ensure that its LEA s that have one or more priority schools implement meaningful interventions aligned with the turn around principles in each p riority school no later than the 2014

–2015 school year and provide a justification for the SEA’s choice of timeline
. Insert timeline and justification here.**15**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION 2.D. v Provide the criteria the SEA will use to determine when a school that is making significant progress in improving student achievement exits priority status and a justification for the criteria selected
. Insert criteria and justification here
. 

### 2.E **F OCUS**  

### S **CHOOLS** 2.E.i Describe the SEA’s methodology for identifying a number of low

- performing schools equal to at least 10 percent of the State’s Title I schools as “focus schools.” If the SEA’s methodology is not based on the definition of focus schools in ESEA Flexibility (but instead, e.g. based on school grades or ratings that take into account a number of factors), the SEA should also demonstrate that the list provided in Table 2 is consistent with the definition, per the Department’s “Demonstrating that an SEA’s Lists of Schools meet ESEA Flexibility Definitions” guidance. Insert methodology here. 2.E.ii Provide th e SEA’s list of focus schools in Table 2. 2.E.iii Describe the process and timeline the SEA will use to ensure that its LEA s that have one or more focus schools will identify the specific needs of the SEA’s focus schools and their students and provide exa mples of and justifications for the interventions focus schools will be required to implement to improve the performance of students who are the furthest behind. Insert description here. 2.E.iv Provide the criteria the SEA will use to determine when a school that is making significant progress in improving student achievement and narrowing achievement gaps exits focus status and a justification for the criteria selected
. Insert criteria and justification here
.**16**

ESEA FLEXIBILITY

– REQUEST U.S. DEPARTMENT OF E DUCATION 

### T**ABLE** 

### 2: **R EWARD**  

### , **P RIORITY**  

### , **AND** 

### F **OCUS** 

### S **CHOOLS** Provide the SEA’s list of reward, priority, and focus schools using the Table 2 template. Use the key to indicate the criter ia used to identify a school as a reward, priority, or focus school. **T ABLE**  **2: R** **EWARD ,**  **P RIORITY**  **, AND**  **F OCUS**  **S CHOOLS**  **LEA N ame**  **School Name School NCES ID #**  **REWARD SCHOOL PRIORITY SCHOOL**  **FOCUS SCHOOL** Ex. Washington Oak HS 111111100001 C Maple ES 111111100002 H Adams Willow MS 222222200001 A Cedar HS 222222200002 F Elm HS 222222200003 G

**TOTAL # of Schools: Total # of Title I schools in the State: _________**  **Total # of Title I**  **- participating high schools in the S**  **tate with graduation rates less than 60%: ___________**  **Key Reward School Criteria**  **: A.**  Highest

- performing school **B.** High

- progress school **Priority School Criteria :**  **C.** Among the lowest five percent of Title I schools in the State based on the proficiency and lack of progress of the “all students” group **D -**  **1.** Title I

- participating high school with graduation rate less than 60% over a number of years **D -**  **2.** Title I

- eligible high school with graduation rate less than 60% over a number of years **E.** Tier I or Tier II SIG school implementing a school intervention model **Focus School Criteria :**  **F.** Has the largest within

- school gaps between the highest

- achieving subgroup(s) and the lowest

- achieving subgroup(s) or, at the high school level, has the largest within

- school gaps in the graduation rate **G.** Has a subgroup or subgroups with low achievement or, at the high school level, a low graduation rate **H.** A Title I

- participating high school with graduation rate less than 60% over a number of years that is not identified as a priority school**17**

ESEA FLEXIBILITY

– REQUEST U. S. DEPARTMENT OF EDU CATION 

### 2.F **P ROVIDE**  

### I **NCENTIVES AND** 

### S **UPPORTS FOR O**  **THER** 

### T **ITLE** 

### I **S CHOOLS**  2.F Describe how the SEA’s differentiated recognition, accountability, and support system will p rovide incentives and supports to ensure continuous improvement in other Title I schools that , based on the SEA’s new AMOs and other measures, are not making progress in improving student achievement and narrowing achievement gaps, and an explanation of how these incentives and supports are likely to improve student achievement and school performance , close achievement gaps, and increase the quality of i nstruction for students
. Insert description and explanation here
. 

### 2.G **B UILD**  

### SEA, **LEA, AND**  

### S **CHOOL** 

### C **APACITY TO** 

### I **MPROVE** 

### S **TUDENT** 

### L**EARNING** 2.G Describe the SEA’s process for building SEA, LEA, and school capacity to improve student learning in all sc hools and, in particular, in low

- performing schools and schools with the largest achievement gaps, including through: i. timely and comprehensive monitoring of , and technical assistance for , LEA implementation of interventions in priority and focus schools ; ii. e nsuring sufficient support for implementation of interventions in priority schools , focus schools, and other Title I schools identified under the SEA’s differentiated recognition, accountability, and support system (including through leveraging funds the LEA was previously required to reserve under ESEA section 1116(b)(1 0), SIG funds , and other Federal funds , as permitted , along with State and local resources) ; and iii. holding LEAs accountable for improving school and student performance, particularly for turni ng around their priority schools. Explain how this process is likely to succeed in improving SEA, LEA, and school capacity. Insert description and explanation here
.**18**

ESEA FLEXIBILITY

– REQUEST U. S. DEPARTMENT OF EDU CATION 

## P **RINCIPLE** 

## 3: **S UPPORTING**  

## E **FFECTIVE** 

## I **NSTRUCTION**

**AND** 

## L**EADERSHIP** 

### 3.A **D EVELOP AN**  **D** 

### A**DOPT** 

### G **UIDELINES FOR** 

### L **OCAL** 

### T **EACHER AND** 

### P **RINCIPAL** 

### E **VALUATION AND** 

### S **UPPORT** 

### S **YSTEMS** Select the option that pertains to the SEA and provide the corresponding description and evidence, as appropriate, for the option selected. **Option A** If the SEA has not already developed and adopted all of the guidelines consistent with Principle 3, provide: i. the SEA’s plan to develop and adopt guidelines for local teacher and principal evaluation and support systems by the end of the 2011

–2012 school yea r; ii. a description of the process the SEA will use to involve teachers and principals in the development of these guidelines; and iii. an assurance that the SEA will submit to the Department a copy of the guidelines that it will adopt by the end of the 2011

– 201 2 school year (see Assurance 1 4 ). **Option B** 

If the SEA has developed and adopted all of the guidelines consistent with Principle 3, provide: i. a copy of the guidelines the SEA has adopted (Attachment 10) and an explanation of how these guidelines are likely to lead to the development of evaluation and support systems that improve student achievement and the quality of instruction for students; ii. evidence of the adoption of the guidelines (Attachment 11); and iii. a description of the process the SEA used to involve teachers and principals in the development of these guidelines.

Insert text here
. 

### 3. **B E**  **NSURE** 

### LEA **S** 

### I **MPLEMENT** 

### T **EACHER AND** 

### P **RINCIPAL** 

### E **VALUATION AND** 

### S **UPPORT** 

### S **YSTEMS** 3.B Provide the SEA’s process for ensuring that each LEA develops , adopts, pilots, and impl ements , with the involvement of teachers and principals, including mechanisms to review, revise, and improve, high

- quality teacher and principal evaluation and support systems consistent with the SEA’s adopted guideline s . Insert process here
.**19**

ESEA FLEXIBILITY

– REQUEST U. S. DEPARTMENT OF EDU CATION



### S **AMPLE** 

### F **ORMAT FOR** 

### P **LAN** Below is one example of a format an SEA may use to provide a plan to meet a particular principle in the ESEA Flexibility
. **Key Milestone or**  **Activity Detailed** 

**Timeline Party or** 

**Parties Responsible**  **Evide nce** 

**(Attachment) Resources** 

**( e.g.** **, staff time**  **, additional**  **funding )**  **Significant**

**Obstacles**